Code of Federal Regulations 49 Parts 200-299

49
Parts 200 to 299

Revised as of October 1, 2007
Transportation
Containing a codification of documents

of general applicability and future effect
As of October 1, 2007
With Ancillaries
Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register

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Table of Contents
Page
Explanation ................................................................................................ v
Title 49:
Subtitle B—Other Regulations Relating to Transportation (Contin-

ued)
Chapter II—Federal Railroad Administration, Department of

Transportation ............................................................................ 5
Finding Aids:
Material Approved for Incorporation by Reference ............................ 917
Table of CFR Titles and Chapters ....................................................... 921
Alphabetical List of Agencies Appearing in the CFR ......................... 939
List of CFR Sections Affected ............................................................. 949

iii
Cite this Code: CFR
To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 49 CFR 200.1
refers to title 49, part
200, section 1.
iv
Explanation
The Code of Federal Regulations is a codification of the general and permanent
rules published in the Federal Register by the Executive departments and agen-
cies of the Federal Government. The Code is divided into 50 titles which represent
broad areas subject to Federal regulation. Each title is divided into chapters
which usually bear the name of the issuing agency. Each chapter is further sub-
divided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued
on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1
Title 17 through Title 27 .................................................................as of April 1
Title 28 through Title 41 ..................................................................as of July 1
Title 42 through Title 50 .............................................................as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially noticed (44
U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text
of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual issues
of the Federal Register. These two publications must be used together to deter-
mine the latest version of any given rule.
To determine whether a Code volume has been amended since its revision date
(in this case, October 1, 2007), consult the ‘‘List of CFR Sections Affected (LSA),’’
which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which
appears in the Reader Aids section of the daily Federal Register. These two lists
will identify the Federal Register page number of the latest amendment of any
given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal Reg-
ister since the last revision of that volume of the Code. Source citations for
the regulations are referred to by volume number and page number of the Federal
Register and date of publication. Publication dates and effective dates are usu-
ally not the same and care must be exercised by the user in determining the
actual effective date. In instances where the effective date is beyond the cut-
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date. In those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be inserted following
the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies
to display an OMB control number with their information collection request.
Many agencies have begun publishing numerous OMB control numbers as amend-
ments to existing regulations in the CFR. These OMB numbers are placed as
close as possible to the applicable recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on the cover
of each volume are not carried. Code users may find the text of provisions in
effect on a given date in the past by using the appropriate numerical list of
sections affected. For the period before January 1, 2001, consult either the List
of CFR Sections Affected, 1949–1963, 1964–1972, 1973–1985, or 1986–2000, published
in 11 separate volumes. For the period beginning January 1, 2001, a ‘‘List of CFR
Sections Affected’’ is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was established
by statute and allows Federal agencies to meet the requirement to publish regu-
lations in the Federal Register by referring to materials already published else-
where. For an incorporation to be valid, the Director of the Federal Register
must approve it. The legal effect of incorporation by reference is that the mate-
rial is treated as if it were published in full in the Federal Register (5 U.S.C.
552(a)). This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the Federal Register
will approve an incorporation by reference only when the requirements of 1 CFR
part 51 are met. Some of the elements on which approval is based are:
(a) The incorporation will substantially reduce the volume of material pub-
lished in the Federal Register.
(b) The matter incorporated is in fact available to the extent necessary to
afford fairness and uniformity in the administrative process.
(c) The incorporating document is drafted and submitted for publication in
accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are listed in the
Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If you have any
problem locating or obtaining a copy of material listed in the Finding Aids of
this volume as an approved incorporation by reference, please contact the agency
that issued the regulation containing that incorporation. If, after contacting the
agency, you find the material is not available, please notify the Director of the
Federal Register, National Archives and Records Administration, Washington DC
20408, or call 202-741-6010.
CFR INDEXES AND TABULAR GUIDES
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volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS.
This volume contains the Parallel Table of Statutory Authorities and Agency
Rules (Table I). A list of CFR titles, chapters, and parts and an alphabetical
list of agencies publishing in the CFR are also included in this volume.
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revision dates of the 50 CFR titles.
vi
REPUBLICATION OF MATERIAL
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in the Code of Federal Regulations.
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odd-numbered pages.
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RAYMOND A. MOSLEY,
Director,
Office of the Federal Register.
October 1, 2007.
vii
THIS TITLE
Title 49—TRANSPORTATION is composed of nine volumes. The parts in these vol-

umes are arranged in the following order: Parts 1–99, parts 100–185, parts 186–
199, parts 200–299, parts 300–399, parts 400–599, parts 600–999, parts 1000–1199, part
1200 to End. The first volume (parts 1–99) contains current regulations issued
under subtitle A—Office of the Secretary of Transportation; the second volume
(parts 100–185) and the third volume (parts 186–199) contain the current regula-
tions issued under chapter I—Pipeline and Hazardous Materials Safety Adminis-
tration (DOT); the fourth volume (parts 200–299) contains the current regulations
issued under chapter II—Federal Railroad Administration (DOT); the fifth volume
(parts 300–399) contains the current regulations issued under chapter III—Federal
Motor Carrier Safety Administration (DOT); the sixth volume (parts 400–599) con-
tains the current regulations issued under chapter IV—Coast Guard (DHS), chap-
ter V—National Highway Traffic Safety Administration (DOT); the seventh vol-
ume (parts 600–999) contains the current regulations issued under chapter VI—
Federal Transit Administration (DOT), chapter VII—National Railroad Passenger
Corporation (AMTRAK), and chapter VIII—National Transportation Safety
Board; the eighth volume (parts 1000–1199) contains the current regulations issued
under chapter X—Surface Transportation Board and the ninth volume (part 1200
to End) contains the current regulations issued under chapter X—Surface Trans-
portation Board, chapter XI—Research and Innovative Technology Administra-
tion, and chapter XII—Transportation Security Administration, Department of
Transportation. The contents of these volumes represent all current regulations
codified under this title of the CFR as of October 1, 2007.
In the volume containing parts 100–185, see § 172.101 for the Hazardous Materials
Table. The Federal Motor Vehicle Safety Standards appear in part 571.
Redesignation tables for chapter III—Federal Motor Carrier Safety Administra-

tion, Department of Transportation and chapter XII—Transportation Security
Administration, Department of Transportation appear in the Finding Aids sec-
tion of the fifth and ninth volumes.
For this volume Robert J. Sheehan, was Chief Editor. The Code of Federal
Regulations publication program is under the direction of Michael L. White, as-
sisted by Ann Worley.
ix
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Title 49—Transportation
(This book contains parts 200 to 299)
Part
SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION

(CONTINUED)
CHAPTER II—Federal Railroad Administration, Department

of Transportation ............................................................... 200
Subtitle B—Other Regulations
Relating to Transportation
(Continued)
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CHAPTER II—FEDERAL RAILROAD
ADMINISTRATION, DEPARTMENT OF
TRANSPORTATION
EDITORIAL NOTE: Nomenclature changes to chapter II appear at 69 FR 18803, Apr. 9, 2004.
Part Page
200 Informal rules of practice for passenger service ..... 7
201 Formal rules of practice for passenger service ....... 9
207 Railroad police officers ........................................... 15
209 Railroad safety enforcement procedures ................. 16
210 Railroad noise emission compliance regulations .... 67
211 Rules of practice ..................................................... 73
212 State safety participation regulations .................... 94
213 Track safety standards ........................................... 104
214 Railroad workplace safety ...................................... 158
215 Railroad freight car safety standards ..................... 187
216 Special notice and emergency order procedures:
Railroad track, locomotive and equipment .......... 202
217 Railroad operating rules ......................................... 206
218 Railroad operating practices ................................... 210
219 Control of alcohol and drug use .............................. 223
220 Railroad communications ....................................... 264
221 Rear end marking device—passenger, commuter
and freight trains ................................................. 272
222 Use of locomotive horns at public highway-rail
grade crossings ..................................................... 277
223 Safety glazing standards—locomotives, passenger
cars and cabooses ................................................. 332
224 Reflectorization of rail freight rolling stock .......... 338
225 Railroad accidents/incidents: Reports classifica-
tion, and investigations ....................................... 363
227 Occupational noise exposure ................................... 385
228 Hours of service of railroad employees ................... 404
229 Railroad locomotive safety standards ..................... 418
230 Steam locomotive inspection and maintenance
standards .............................................................. 464
231 Railroad safety appliance standards ....................... 529
49 CFR Ch. II (10–1–07 Edition)
Part Page
232 Brake system safety standards for freight and
other non-passenger trains and equipment; end-
of-train devices .................................................... 572
233 Signal systems reporting requirements .................. 616
234 Grade crossing signal system safety ....................... 618
235 Instructions governing applications for approval of
a discontinuance or material modification of a
signal system or relief from the requirements of
part 236 ................................................................. 630
236 Rules, standards, and instructions governing the
installation, inspection, maintenance, and repair
of signal and train control systems, devices, and
appliances ............................................................. 634
238 Passenger equipment safety standards ................... 692
239 Passenger train emergency preparedness ................ 775
240 Qualification and certification of locomotive engi-
neers ..................................................................... 786
241 United States locational requirement for dis-
patching of United States rail operations ............ 834
244 Regulations on safety integration plans governing
railroad consolidations, mergers, and acquisi-
tions of control ..................................................... 841
245 Railroad user fees .................................................... 847
250 Guarantee of certificates of trustees of railroads in
reorganization ...................................................... 852
256 Financial assistance for railroad passenger termi-
nals ....................................................................... 858
260 Regulations governing loans and loan guarantees
under the railroad rehabilitation and improve-
ment financing program ....................................... 868
261 Credit assistance for surface transportation
projects ................................................................ 880
265 Nondiscrimination in federally assisted railroad
programs .............................................................. 881
266 Assistance to States for local rail service under
section 5 of the Department of Transportation
Act ....................................................................... 892
268 Magnetic levitation transportation technology de-
ployment program ................................................ 907
269–299 [Reserved]
PART 200—INFORMAL RULES OF (h) FRA means the Federal Railroad
PRACTICE FOR PASSENGER Administration.
SERVICE (i) Railroad means a person providing
railroad transportation for compensa-
Sec. tion.
200.1 Genera1. (j) Shipper means a person con-
200.3 Definitions. tracting with one or more railroads for
200.5 Applications. freight transportation.
200.7 Objections.
200.9 Hearings. § 200.5 Applications.
200.11 Orders, approvals, and determina-
tions. (a) Each application and objection
200.13 Publication. under this part shall be submitted in
writing to: Docket Clerk, Office of the
AUTHORITY: Secs. 402(e) and 406 of Pub. L.
Chief Counsel, Federal Railroad Ad-
91–518, 84 Stat. 1327, as amended by sec. 10(2)
of Pub. L. 93–146, 87 Stat. 548 and sec. 121 of ministration, 400 7th Street, SW.,
Pub. L. 96–73, 93 Stat. 537 (45 U.S.C. 562(e), Washington, DC 20590.
566); 49 CFR 1.49. (b) Any procedural issues arising
SOURCE: 45 FR 64192, Sept. 29, 1980, unless
from the submission or consideration
otherwise noted. of applications under this part, such as
timeliness and adequacy, shall be heard
§ 200.1 General. and decided by the Administration’s
This part prescribes procedures under panel established under § 200.9.
which applications will be received and (c) Any railroad adversely affected by
heard and by which rules and orders the preference requirement of sub-
will be issued under subsection 402(e) section 402(e) of the Act may apply to
and section 406 of the Rail Passenger the Administrator for an order altering
Service Act (45 U.S.C. 562(e) and 566). that requirement. Each application
shall:
§ 200.3 Definitions. (1) List by endpoints the routes that
(a) Act means the Rail Passenger are so affected; and
Service Act (45 U.S.C. 500 et seq.). (2) Explain for every route listed how
(b) Administrator means the Federal the preference requirement of sub-
Railroad Administrator, the Deputy section 402(e) will materially lessen the
Administrator of FRA, or the delegate quality of freight service afforded by
of either. the applicant to its shippers, including
(c) Amtrak means the National Rail- information, data or documents suffi-
road Passenger Corporation. cient to support that explanation; and
(d) Amtrak trains means trains oper- (3) Include an analysis of whether
ated by or on behalf of Amtrak. and by how much Amtrak’s compensa-
(e) Chief Counsel means the Chief tion to the railroad should be reduced
Counsel or Acting Chief Counsel of the if the preference requirement is al-
FRA. tered.
(f) Downgrading of a facility means a (d) In accordance with section 406 of
reduction in track classification as the Act, any railroad may apply to the
specified in FRA track safety stand- Administrator for approval to down-
ards (49 CFR part 213), or any other grade or dispose of its facilities. Each
change in facilities which may increase application shall:
the time required for a passenger train (1) List the facilities for proposed
to operate over the route on which downgrading or disposal;
such facility is located. (2) Describe and give the location of
(g) Facility means railroad tracks, each such facility and identify the
right-of-way, fixed equipment and fa- most recent passenger service that
cilities, real-property appurtenant made use of such facilities; and
thereto, and includes signal systems, (3) Contain for each facility an anal-
passenger station and repair tracks, ysis of the costs the railroad could
station buildings, platforms, and ad- avoid if it were not required to main-
junct facilities such as water, fuel, tain or retain the facility in the condi-
steam, electric, and air lines. tion requested by Amtrak, including
§ 200.7 49 CFR Ch. II (10–1–07 Edition)
information, data and documents suffi- cluding the Chief Counsel or a member
cient to support the analysis. of his or her staff who shall serve as
(e) In addition to the data provided chairman of the panel and the Asso-
with their applications, applicants ciate Administrator for Intercity Pro-
shall furnish the Administrator with grams or his or her delegate.
any other information that the Admin- (d) Hearings shall be informal fact-
istrator finds necessary in order to finding proceedings, limited to the
make the determinations required by issues identified by the panel. Sections
the Act. 556 and 557 of title 5, U.S.C., shall not
(f) Each applicant shall promptly no- apply.
tify, by registered or certified mail, (e) All direct evidence shall be re-
any party affected by any application, duced to writing and submitted to the
whether Amtrak or a railroad, of the Docket Clerk thirty days in advance of
submission of such application under the hearing unless this requirement is
this part, and shall provide a copy of expressly waived by the panel. Copies
the application with such notice. An shall be furnished to all parties concur-
official United States Postal Service rently with the submission to the
receipt from the registered or certified Docket Clerk.
mailing constitutes prima facie evi- (f) The panel may provide for oral
dence of notice. presentations and cross-examination,
§ 200.7 Objections. and shall apply rules of evidence as it
finds necessary.
(a) Amtrak or any other party shall (g) To the extent deemed appropriate
have 30 days from the date an applica- by the panel, interested persons, in-
tion is received by FRA pursuant to cluding members of the public, may
section 402(e) of the Act to object to participate in the hearings through the
the proposed alteration of the pref- submission of written data, oral pres-
erence requirement. Such objections entations, or arguments.
shall be in writing and shall reference,
by date, railroad, and former passenger § 200.11 Orders, approvals, and deter-
routes, the application to which it per- minations.
tains.
(a) The Administrator shall promptly
(b) Amtrak shall have 30 days from
approve the downgrading or disposal of
the date an application is received by
any facility to which Amtrak does not
FRA pursuant to section 406 of the Act
submit a timely objection under this
to object to any or all of the facility
part.
downgradings or disposals proposed in
such application. Such objections shall (b) Orders, approvals, and determina-
be in writing and shall reference, by tions issued by the Administrator’s
date, railroad, and former passenger panel under this part constitute the
routes, the application to which it per- Administrator’s action and shall be
tains and shall list, by facility descrip- final.
tion and location, the specific (c) Determinations under this part
downgradings or disposals to which are not required to be based exclusively
Amtrak objects. on the record of a hearing.
§ 200.9 Hearings. § 200.13 Publication.

(a) Pursuant to any application (a) General notice of any hearing
under this part, a prehearing con- under this subpart shall be published in
ference will be held if found necessary the FEDERAL REGISTER not less than 10
or desirable by the Administrator. days before the hearing, and shall in-
(b) Pursuant to any application clude (1) a statement of the time,
under this part, an oral hearing will be place, and nature of the hearing, (2) a
held if required by statute or if found reference to the legal authority under
necessary or desirable by the Adminis- which the hearing is being held and (3)
trator. a description of the subject and issues
(c) Hearings shall be conducted by a involved.
panel designated by the Administrator, (b) Any order, approval, or deter-
consisting of three FRA employees, in- mination resulting from any hearing
Federal Railroad Administration, DOT § 201.5
held under this part shall be published her intent to participate in the hearing
in the FEDERAL REGISTER. pursuant to §§ 201.7 and 201.16(b).
(2) Witness means any person who
PART 201—FORMAL RULES OF submits written direct testimony on an
PRACTICE FOR PASSENGER application to the Secretary under this
SERVICE part. A person may be both a party and
a witness.
Sec.
201.1 General. § 201.4 Scope of regulations.
201.3 Definitions. The procedural regulations in this
201.4 Scope of regulations. part govern the practice and procedure
201.5 Applications.
201.6 Notice of hearing.
in hearings held under subsections
201.7 Notification by interested persons. 402(f) and (h) of the Act. These hearings
201.8 Presiding officer. will be governed by the provisions of 5
201.9 Direct testimony submitted as written U.S.C. 556 and 557 of the Administra-
documents. tive Procedure Act. The regulations
201.10 Mailing address. shall be construed to secure the just,
201.11 Inspection and copying of documents. speedy, and inexpensive determination
201.12 Ex parte communications.
of all issues raised with respect to any
201.13 Prehearing conference.
201.14 Final agenda of the hearing. proposal to increase speeds or to add
201.15 Determination to cancel the hearing. trains pursuant to subsections 402(f)
201.16 Rebuttal testimony and new issues of and (h) of the Act with full protection
fact in final agenda. for the rights of all persons affected
201.17 Waiver of right to participate. thereby.
201.18 Conduct of the hearing.
201.19 Direct testimony. § 201.5 Applications.
201.20 Cross-examination.
201.21 Oral and written arguments. (a) Each application and objection
201.22 Recommended decision, certification under this part shall be submitted in
of the transcript, and submission of com- writing to: Docket Clerk, Office of the
ments on the recommended decision. Chief Counsel, Federal Railroad Ad-
201.23 Administrator’s decision.
ministration, 400 7th Street, SW.,
AUTHORITY: Secs. 402(f) and (h) of Pub. L. Washington, DC 20590.
91–518, 84 Stat. 1327, as amended by sec. 10(2) (b) Any procedural issues arising
of Pub. L. 93–146, 87 Stat. 548 and sec. 216 of
from the submission or consideration
Pub. L 96–254, 94 Stat. 418 (45 U.S.C. 562 (f)
and (h)); sec. 1.49 of Title 49, Code of Federal of applications under this part, such as
Regulations. timeliness and adequacy, shall be heard
and decided by the presiding officer ap-
SOURCE: 46 FR 2614, Jan. 12, 1981, unless
otherwise noted. pointed under § 201.8.
(c) In accordance with subsection
§ 201.1 General. 402(f) of the Act, Amtrak may apply to
This part prescribes procedures under the Administrator for an order requir-
which applications will be received and ing a railroad to permit accelerated
heard and by which rules and orders speeds by Amtrak trains. Each applica-
will be issued under subsections 402(f) tion shall:
and (h) of the Rail Passenger Service (1) List by endpoints the routes for
Act (45 U.S.C. 562 (f) and (h)). which Amtrak desires such accelera-
tion;
§ 201.3 Definitions. (2) Not list routes of more than one
(a) The definitions set forth in § 200.3 railroad;
shall apply to this part. (3) Indicate by route and train the
(b) The following definitions shall maximum speeds for Amtrak trains
also apply to this part: permitted by the railroad and the max-
(1) Party means— imum speeds desired by Amtrak;
(i) The Administrator or his rep- (4) Indicate for each route listed the
resentative; or track classification as specified in FRA
(ii) A person who has notified the Ad- track safety standards (49 CFR part
ministrator by specified dates of his or 213); and
§ 201.6 49 CFR Ch. II (10–1–07 Edition)
(5) Explain why the maximum speeds where the draft and comments thereon
Amtrak desires are safe and prac- may be viewed and copied;
ticable, or what track, signal system, (6) The place(s) where records and
or other facility improvements would submitted direct testimony will be
make such speeds safe and practicable. kept for public inspection;
(d) In accordance with subsection (7) The final date for filing a notice
402(h) of the Act, Amtrak may apply to of intent to participate in the hearing;
the Administrator for an order to re- (8) The final date for submission of
quire a railroad to permit or provide direct testimony on the application,
the operation of additional passenger and the number of copies required;
trains on its rail lines. Each applica- (9) The docket number assigned to
tion shall: the case, which shall be used in all sub-
(1) List the railroad, the endpoints of sequent proceedings; and
the proposed additional train or trains, (10) The place and date of the pre-
and the proposed schedule for such ad- hearing conference.
ditional train or trains, and
§ 201.7 Notification by interested per-
(2) Describe and give the background sons.
of all prior efforts and negotiations to
obtain a satisfactory voluntary agree- Any person desiring to participate as
ment with the railroad for the oper- a party shall notify the Administrator,
ation of the proposed additional train by registered or certified mail, on or
or trains. before the date specified in the notice.
(e) In addition to the data provided § 201.8 Presiding officer.
with their applications, applicants
shall furnish the Administrator with (a) Upon publication of the notice of
any other information that the Admin- hearing pursuant to § 201.6, the Admin-
istrator finds necessary in order to istrator shall appoint a presiding offi-
make the determinations required by cer pursuant to 5 U.S.C. 3105. No indi-
the Act. vidual who has any conflict of interest,
(f) Each applicant shall promptly no- financial or otherwise, shall serve as
tify, by registered or certified mail, presiding officer in such proceeding.
any party affected by any application, (b) The presiding officer, in any pro-
whether Amtrak or a railroad, of the ceeding under this part, shall have
submission of each application under power to:
this part, and shall provide a copy of (1) Change the time and place of the
the application with such notice. An hearing and adjourn the hearing;
official U. S. Postal Service return re- (2) Evaluate direct testimony sub-
ceipt from the registered or certified mitted pursuant to these regulations,
mailing constitutes prima facie evi- make a preliminary determination of
dence of notice. the issues, conduct a prehearing con-
ference to determine the issues for the
§ 201.6 Notice of hearing. hearing agenda, and cause to be pub-
lished in the FEDERAL REGISTER a final
(a) A notice of hearing on an applica- hearing agenda;
tion shall be published in the FEDERAL (3) Rule upon motions, requests, and
REGISTER. admissibility of direct testimony;
(b) The notice shall state: (4) Administer oaths and affirma-
(1) The nature of the hearing; tions, question witnesses, and direct
(2) The place and date of the hearing. witnesses to testify;
The date shall not be less than 60 days (5) Modify or waive any rule (after
after publication of notice of the hear- notice) upon determining that no party
ing; will be prejudiced;
(3) The legal authority under which (6) Receive written comments and
the hearing is to be held; hear oral agruments;
(4) Issues of fact which may be in- (7) Render a recommended decision;
volved in the hearing; and
(5) If a draft Environmental Impact (8) Do all acts and take all measures,
Statement is required, the date of pub- including regulation of media cov-
lication of the draft and the place(s) erage, for the maintenance of order at
10
and the efficient conduct of the pro- a witness who is not a party, the wit-
ceeding. ness shall state his relationship to the
(c) In case of the absence of the origi- party;
nal presiding officer or his inability to (2) Facts that are relevant and mate-
act, the Administrator may assign to a rial; and
successor the powers and duties of the (3) Any proposed issues of fact not
original presiding officer without stated in the notice of the hearing and
abatement of the proceeding unless the reason(s) why such issues should be
otherwise ordered by the Adminis- considered at the hearing.
trator. (c) Ten copies of all direct testimony
(d) The presiding officer may upon
shall be submitted unless the notice of
his own motion withdraw as presiding
the hearing specifies otherwise.
officer in a proceeding if he deems him-
self to be disqualified. (d) Upon receipt, direct testimony
(e) A presiding officer may be re- shall be assigned a number and
quested to withdraw at any time prior stamped with that number and the
to the recommended decision. Upon the docket number.
filing by an interested person in good (e) Contemporaneous with the publi-
faith of a timely and sufficient affi- cation of the notice of hearing, Am-
davit alleging the presiding officer’s trak’s direct testimony in support of
personal bias, malice, conflict of inter- its application shall be available for
est, or other basis which might result public inspection as specified in the no-
in prejudice to a party, the hearing tice of hearing. Amtrak may submit
shall recess. The Administrator shall additional direct testimony during the
immediately act upon such allegation time periods allowed for submission of
as a part of the record and decision in such testimony by witnesses.
the proceeding, after making such in-
vestigation or holding such hearings, § 201.10 Mailing address.
or both, as he may deem appropriate in Unless otherwise specified in the no-
the circumstances. tice of hearing, all direct testimony
shall be addressed to the Docket Clerk,
§ 201.9 Direct testimony submitted as
written documents. Office of the Chief Counsel, Federal
Railroad Administration, 400 7th
(a) Unless otherwise specified, all di- Street, SW., Washington, DC 20590. All
rect testimony, including accom- affidavits and exhibits shall be clearly
panying exhibits, shall be submitted to marked with the docket number of the
the presiding officer in writing no later proceeding.
than the dates specified in the notice of
the hearing, the final hearing agenda, § 201.11 Inspection and copying of doc-
or within 15 days after the conclusion uments.
of the prehearing conference, as the
case may be. All direct testimony shall (a) If confidential financial informa-
be in affidavit form, and exhibits con- tion is not involved, any document in a
stituting part of such testimony, re- file pertaining to any hearing author-
ferred to in the affidavit and made a ized by this part or any document
part thereof, shall be attached to the forming part of the record of such a
affidavit. Direct testimony submitted hearing may be inspected or copied in
with exhibits shall state the issue to the Office of the Chief Counsel, Federal
which the exhibit relates; if no such Railroad Administration, 400 7th
statement is made, the presiding offi- Street, SW., Washington, DC 20590, un-
cer shall determine the relevance of less the file is in the care and custody
the exhibit to the issues published in of the presiding officer in which case he
the FEDERAL REGISTER. shall notify the parties as to where and
(b) The direct testimony submitted when the record may be inspected.
shall contain: (b) If confidential financial informa-
(1) A concise statement of the wit- tion is involved, the presiding officer,
ness’ interest in the proceeding and his at his discretion, upon the request of
position regarding the issues presented. any party, may deny the public inspec-
If the direct testimony is presented by tion and copying of such information.
11
§ 201.12 49 CFR Ch. II (10–1–07 Edition)
§ 201.12 Ex parte communications. final agenda which shall be published

(a) After notice of a hearing is pub- in the FEDERAL REGISTER within ten
lished in the FEDERAL REGISTER, all days after the conclusion of the con-
communications, whether oral or writ- ference. A copy of the final agenda
ten, involving any substantive or pro- shall be mailed to all parties.
cedural issue and directed either to the (b) The final agenda shall list:
presiding officer or to the Adminis- (1) All the issues the hearing shall
trator, without reference to these rules address, the order in which those issues
of procedure, shall be deemed ex parte shall be presented, and the direct testi-
communications and shall not be con- mony submitted on those issues; and
sidered part of the record for decision. (2) A final date for submission of di-
A record of oral ex parte communica- rect testimony on issues of fact not in-
tions shall be made by the persons con- cluded in the notice of hearing if such
tacted. All written ex parte commu- issues are presented.
nications shall be available for public
viewing at the places(s) specified in the The final agenda may also specify a
notice of hearing. final date for submission of direct tes-
(b) The presiding officer shall not timony to rebut testimony previously
consult any person or party on any fact submitted during the time specified in
in issue or on the merits of the matter the notice of the hearing.
unless notice and opportunity is given (c) The presiding officer shall publish
for all parties to participate. with the final agenda a list of wit-
nesses who may appear at the hearing,
§ 201.13 Prehearing conference.
a list of parties, the nature of the in-
(a) After an examination of all the di- terest of each party, and which parties’
rect testimony submitted, the pre- interests are adverse on the issues pre-
siding officer shall make a preliminary sented.
determination of issues of fact to be
addressed at the hearing. § 201.15 Determination to cancel the
(b) The presiding officer’s prelimi- hearing.
nary determination shall be made
available at the place or places pro- (a) If the presiding officer concludes
vided in the notice of the hearing at that no issues of fact are presented by
least five days before the prehearing the direct testimony submitted, he
conference is held. shall publish such conclusion in the
(c) The purpose of the prehearing FEDERAL REGISTER with a notice that a
conference shall be to enable the prehearing shall not be held. The notice
siding officer to determine, on the shall set forth a date for filing written
basis of the direct testimony submitted comments on the proposed rec-
and prehearing discussions: ommended decision. Written comments
(1) Whether the presiding officer’s may include proposed findings and con-
preliminary determination of issues of clusions, arguments, or briefs.
fact for the hearing has omitted or (b) A person need not be a party to
misconstrued any significant issues, submit written comments.
and
(c) Promptly after expiration of the
(2) The nature of the interest of each
period for receiving written comments,
party and which parties’ interests are
adverse. the presiding officer shall make a rec-
(d) Only parties may participate in ommended decision based on the
the prehearing conference. A party record, which in this case shall consist
may appear in person or be represented of the testimony, exhibits, and written
by counsel. comments submitted. He shall transfer
(e) Parties who do not appear at the to the Administrator his recommended
prehearing conference shall be bound decision, the record, and a certificate
by the conference’s determinations. stating that the record contains all the
written direct testimony and com-
§ 201.14 Final agenda of the hearing. ments submitted. The Administrator
(a) After the prehearing conference, shall then make a final decision in ac-
the presiding officer shall prepare a cordance with these regulations.
12
§ 201.16 Rebuttal testimony and new lished in the FEDERAL REGISTER; the
issues of fact in final agenda. draft Environmental Impact Statement
(a) Direct testimony to rebut testi- if it is required, and the comments
mony offered during the time period thereon and agency responses to the
specified in the notice of hearing may comments; and a list of all parties. Di-
be submitted pursuant to these regula- rect testimony shall then be received
tions within fifteen days after the con- with respect to the matters specified in
clusion of the prehearing conference the final agenda in such order as the
unless the presiding officer otherwise presiding officer shall announce. With
specifies in the final agenda. respect to direct testimony submitted
(b) If the final agenda presents issues as rebuttal testimony or in response to
not included in the notice of the hear- new issues presented by the prehearing
ing published pursuant to § 201.6, conference, the presiding officer shall
(1) Any person interested in partici- determine the relevance of such testi-
pating at the hearing on such issues mony.
presented shall notify the Adminis- (c) The hearing shall be publicly con-
trator by certified mail of an intent to
ducted and reported verbatim by an
participate not later than ten days
offical reporter.
after publication of the final agenda.
Such person may present direct testi- (d) If a party objects to the admission
mony or cross-examine witnesses only or rejection of any direct testimony or
on such issues presented unless he pre- to any other ruling of the presiding of-
viously notified the Administrator pur- ficer during the hearing, he shall state
suant to § 201.7, and briefly the grounds of such objection,
(2) Additional written direct testi- whereupon an automatic exception will
mony concerning such issues may be follow if the objection is overruled by
submitted within the time provided in the presiding officer. The transcript
the final agenda. Such direct testi- shall not include argument or debate
mony will comply with the require- thereon except as ordered by the pre-
ments of § 201.9. siding officer. The ruling of the pre-
siding officer on any objection shall be
§ 201.17 Waiver of right to participate. a part of the transcript and shall be
Persons who fail to notify the Ad- subject to review at the same time and
ministrator pursuant to §§ 201.7 and in the same manner as the Administra-
201.16 shall be deemed to have waived tor’s final decision. Only objections
their right to participate as parties in made before the presiding officer may
any part of the hearing. subsequently be relied upon in the pro-
ceedings.
§ 201.18 Conduct of the hearing.
(e) All motions and requests shall be
(a) The hearing shall be held at the addressed to, and ruled on by, the pre-
time and place fixed in the notice of siding officer if made prior to his cer-
hearing, unless the presiding officer tification of the transcript, or by the
changes the time or place. If a change Administrator if made thereafter.
occurs, the presiding officer shall pub-
lish the change in the FEDERAL REG- § 201.19 Direct testimony.
ISTER and shall expeditiously notify all
parties by telephone or by mail; pro- (a) Direct testimony shall be sub-
vided, that if the change in time or mitted by affidavit as provided in these
place of hearing is made less than five regulations and introduced at the hear-
days before the date previously fixed ing by a witness in order to be consid-
for the hearing, the presiding officer ered part of the record. Such direct tes-
shall also announce, or cause to be an- timony shall not be read into evidence
nounced, the change at the time and but shall become a part of the record
place previously fixed for the hearing. subject to exclusion of irrelevant and
(b) The presiding officer shall, at the immaterial parts thereof.
commencement of the hearing, intro- (b) The witness introducing direct
duce into the record. The notice of testimony shall:
hearing as published in the FEDERAL (1) State his name, address, and occu-
REGISTER; all subsequent notices pub- pation;
13
§ 201.20 49 CFR Ch. II (10–1–07 Edition)
(2) State his qualifications for intro- counsel cross-examines the witness,
ducing the direct testimony. If an ex- counsel shall state for the record the
pert, the witness shall briefly state the authority to act as counsel. Cross-ex-
scientific or technical training that aminers shall be assumed to be famil-
qualifies him as an expert; iar with the direct testimony.
(3) Identify the direct testimony pre- (c) Any party or party’s counsel who
viously submitted in accordance with fails to appear at the hearing to cross-
these regulations; and examine an ‘‘adverse’’ witness shall be
(4) Submit to appropriate direct and deemed to have waived the right to
cross examination. Cross-examination cross-examine that witness.
shall be by a party whose interests are (d) Scientific, technical, or commer-
adverse to those of the witness on the cial publications may be used only for
issue presented if the witness is a the limited purpose of impeaching wit-
party, or adverse to the interests of the nesses under cross-examination unless
party who presented the witness if the previously submitted and introduced in
witness is not a party. accordance with these regulations.
(c) A party shall be deemed to have
waived the right to introduce direct § 201.21 Oral and written arguments.
testimony if such party fails to present
a witness to introduce the direct testi- (a) The presiding officer may, in his
mony. discretion, provide for oral argument
(d) Offical notice may be taken of at the end of the hearing. Such argu-
such matters as are judicially noticed ment, when permitted, may be limited
by the courts of the United States, pro- by the presiding officer to the extent
vided, that parties shall be given ade- necessary for the expeditious disposi-
quate notice by the presiding officer at tion of the proceeding.
the hearing of matters so noticed and (b) The presiding officer shall an-
shall be given adequate opportunity to nounce at the hearing a reasonable pe-
show that such facts are inaccurate or riod of time within which any inter-
are erroneously noticed. ested person may file with the pre-
siding officer any written comments on
§ 201.20 Cross-examination. the application, including proposed
(a) The presiding officer may: findings and conclusions or written ar-
(1) Require the cross-examiner to guments or brief based upon the record,
outline the intended scope of the cross- citing where practicable the relevant
examination; page or pages of the transcript. If a
(2) Prohibit parties from cross-exam- party filing a brief desires the pre-
ining witnesses unless the presiding of- siding officer to reconsider any objec-
ficer has determined that the cross-ex- tion made by such party to a ruling of
aminer has an adverse interest on the the presiding officer, he shall specifi-
facts at issue to the party-witness. For cally identify such rulings by reference
the purposes of this subsection, the Ad- to the pertinent pages of the transcript
ministrator’s or his representative’s in- and shall state his arguments thereon
terest shall be considered adverse to all as a part of the brief.
parties; (c) Oral or written arguments shall
(3) Limit the number of times any be limited to issues arising from direct
party or parties having a common in- testimony on the record.
terest may cross-examine an ‘‘adverse’’
witness on the same matter; and § 201.22 Recommended decision, cer-
(4) Exclude cross-examination ques- tification of the transcript, and sub-
tions that are immaterial, irrelevant, mission of comments on the rec-
or unduly repetitious. ommended decision.
(b) Any party shall be given an op- (a) Promptly after expiration of the
portunity to appear, either in person or period for receiving written briefs, the
through an authorized counsel or rep- presiding officer shall make a rec-
resentative, to cross-examine wit- ommended decision based on the record
nesses. Before cross-examining a wit- and transmit the decision to the Ad-
ness, the party or counsel shall state ministrator. The recommended deci-
his name, address, and occupation. If sion shall include:
14
(1) A statement containing a descrip- (3) Rulings on issues of law.

tion of the history of the proceedings; (c) The Administrator’s decision
(2) Findings on issues of fact with the shall be published in the FEDERAL REG-
reasons therefor; and ISTER. If the Amtrak application is ap-
(3) Rulings on issues of law. proved in whole or in part, the final
(b) The presiding officer shall also order shall be promulgated with the de-
transmit to the Administrator the cision.
transcript of the hearing, the original
and all copies of the direct testimony, PART 207—RAILROAD POLICE
and written comments. The presiding OFFICERS
officer shall attach to the original
transcript of the hearing a certificate Sec.
stating that, to the best of his knowl- 207.1 Application.
edge and belief, the transcript is a true 207.2 Definitions.
transcript of the testimony given at 207.3 Designation and commissioning.
the hearing except in such particulars 207.4 Notice to State officials.
as are specified. 207.5 Authority in States where officer not
commissioned.
(c) Immediately after receipt of the
recommended decision, the Adminis- AUTHORITY: 45 U.S.C. 446; 49 CFR 1.49(ff).
trator shall give notice thereof in the SOURCE: 59 FR 6587, Feb. 11, 1994, unless
FEDERAL REGISTER, send copies of the otherwise noted.
recommended decision to all parties,
and provide opportunity for the sub- § 207.1 Application.
mission of comments. The rec- This part applies to all railroads, as
ommended decision may be reviewed such term is defined in section 202(e) of
and/or copied in the Office of the Chief the Federal Railroad Safety Act of
Counsel, Federal Railroad Administra- 1970, as amended, Public Law 91–458 (45
tion, 400 7th Street, SW., Washington, U.S.C. 431(e)).
DC 20590.
(d) Within twenty days after the no- § 207.2 Definitions.
tice of receipt of the recommended de- As used in this part:
cision has been published in the FED- (a) Railroad police officer means a
ERAL REGISTER, any interested person peace officer who is commissioned in
may file with the Administrator any his or her state of legal residence or
written comments on the recommended state of primary employment and em-
decision. All comments shall be sub- ployed by a railroad to enforce state
mitted during the twenty-day period to laws for the protection of railroad
the Administrator at the above ad- property, personnel, passengers, and/or
dress. cargo.
(b) Commissioned means that a state
§ 201.23 Administrator’s decision. official has certified or otherwise des-
(a) Upon receipt of the recommended ignated a railroad employee as quali-
decision and transcript and after the fied under the licensing requirements
twenty-day period for receiving written of that state to act as a railroad police
comments on the recommended deci- officer in that state.
sion has passed, the Administrator’s (c) Property means rights-of-way,
decision may affirm, modify, or set easements, appurtenant property,
aside, in whole or in part, the rec- equipment, cargo, facilities, and build-
ommended findings, conclusions, and ings and other structures owned,
decision of the presiding officer. The leased, operated, maintained, or trans-
Administrator may also remand the ported by a railroad.
hearing record to the presiding officer
for a fuller development of the record. § 207.3 Designation and commis-
(b) The Administrator’s decision sioning.
shall include: (a) A railroad may designate employ-
(1) A statement containing a descrip- ees to be commissioned by a state au-
tion of the history of the proceeding; thority as railroad police officers to
(2) Findings on issues of fact with the serve in the states in which the rail-
reasons therefor; and road owns property.
15
§ 207.4 49 CFR Ch. II (10–1–07 Edition)
(b) The designated railroad police of- (1) The railroad’s employees, pas-
ficer shall be commissioned by the rail- sengers, or patrons;
road police officer’s state of legal resi- (2) The railroad’s property or prop-
dence or the railroad police officer’s erty entrusted to the railroad for
state of primary employment. transportation purposes;
(3) The intrastate, interstate, or for-
§ 207.4 Notice to State officials. eign movement of cargo in the rail-
(a) After the designated railroad po- road’s possession or in possession of an-
lice officer is commissioned by a state other railroad or non-rail carrier while
or states, the railroad shall send, by on the railroad property; and
certified mail, written notice to appro- (4) The railroad movement of per-
priate officials of every other state in sonnel, equipment, and materials vital
which the railroad police officer shall to the national defense.
protect the railroad’s property, per- (c) The authority exercised under
sonnel, passengers, and cargo. The no- this part by an officer for whom the
tice of commission shall contain the railroad has provided notice in accord-
following information: ance with § 207.4 shall be the same as
(1) The name of the railroad police that of a railroad police officer com-
officer; missioned under the laws of that state.
(2) The badge number, identification (d) The railroad police officer’s law
number, rank, code, or other identi- enforcement powers shall apply only on
fying information assigned to the rail- railroad property, except that an offi-
road police officer; cer may pursue off railroad property a
(3) The date of commission; person suspected of violating the law
(4) The state or states where the rail- on railroad property, and an officer
road police officer is commissioned; may engage off railroad property in
(5) The date the railroad police offi- law enforcement activities, including,
cer received training or retraining re- without limitation, investigation and
garding the laws of such state or arrest, if permissible under state law.
states;
(6) The name of the railroad official PART 209—RAILROAD SAFETY
who designated the employee as a rail- ENFORCEMENT PROCEDURES
road police officer; and
(7) Color photographs of the types of Subpart A—General
badges, identification cards, and other
identifying materials the railroad uses Sec.
to identify its railroad police officers. 209.1 Purpose.
209.3 Definitions.
(b) The railroad shall keep copies of 209.5 Service.
all such notices at a central location. 209.6 Requests for admission.
(c) The authority set forth in § 207.5 209.7 Subpoenas; witness fees.
shall be effective upon receipt by such 209.8 Depositions in formal proceedings.
state(s) of written notice conforming 209.9 Filing.
to the requirements of this section. 209.11 Request for confidential treatment.
209.13 Consolidation.
§ 207.5 Authority in States where offi- 209.15 Rules of evidence.
cer not commissioned. 209.17 Motions.
(a) A railroad police officer who is Subpart B—Hazardous Materials Penalties
designated by a railroad and commis-
sioned under the laws of any state is CIVIL PENALTIES
authorized to enforce the laws (as spec- 209.101 Civil penalties generally.
ified in paragraph (b) of this section) of 209.103 Minimum and maximum penalties.
any state in which the railroad owns 209.105 Notice of probable violation.
property and to which the railroad has 209.107 Reply.
provided notice in accordance with 209.109 Payment of penalty; compromise.
209.111 Informal response and assessment.
§ 207.4.
209.113 Request for hearing.
(b) Under the authority of paragraph 209.115 Hearing.
(a) of this section, a railroad police of- 209.117 Presiding officer’s decision.
ficer may enforce only relevant laws 209.119 Assessment considerations.
for the protection of—
209.121 Appeal.
16
CRIMINAL PENALTIES enforcement of those laws. This part
209.131 Criminal penalties generally. describes certain procedures employed
209.133 Referral for prosecution. by the Federal Railroad Administra-
tion in its enforcement of statutes and
Subpart C—Compliance Orders regulations related to railroad safety.
209.201 Compliance orders generally. By delegation from the Secretary of
209.203 Notice of investigation. Transportation, the Administrator has
209.205 Reply. responsibility for:
209.207 Consent order. (a) Enforcement of subchapters B and
209.209 Hearing. C of chapter I, subtitle B, title 49, CFR,
209.211 Presiding officer’s decision. with respect to the transportation or
209.213 Appeal.
209.215 Time limitation. shipment of hazardous materials by
railroad (49 CFR 1.49(s));
Subpart D—Disqualification Procedures (b) Exercise of the authority vested
in the Secretary by the Federal Rail-
209.301 Purpose and scope.
road Safety Act of 1970, 45 U.S.C. 421,
209.303 Coverage.
209.305 Notice of proposed disqualification. 431–441, as amended by the Rail Safety
209.307 Reply. Improvement Act of 1988, Public Law
209.309 Informal response. 100–342 (June 22, 1988) (49 CFR 1.49(m));
209.311 Request for hearing. and
209.313 Discovery. (c) Exercise of the authority vested
209.315 Subpoenas. in the Secretary pertaining to railroad
209.317 Official record.
209.319 Prehearing conference.
safety as set forth in the statutes
209.321 Hearing. transferred to the Secretary by section
209.323 Initial decision. 6(e) of the Department of Transpor-
209.325 Finality of decision. tation Act, 49 App. U.S.C. 1655(e) (49
209.327 Appeal. CFR 1.49 (c), (d), (f), and (g)).
209.329 Assessment considerations.
209.331 Enforcement of disqualification [42 FR 56742, Oct. 28, 1977, as amended at 53
order. FR 52920, Dec. 29, 1988; 54 FR 42905, Oct. 18,
209.333 Prohibitions. 1989]
209.335 Penalties.
209.337 Information collection. § 209.3 Definitions.
Subpart E—Reporting of Remedial Actions As used in this part—

Administrator means the Adminis-
209.401 Purpose and scope. trator of FRA, the Deputy Adminis-
209.403 Applicability. trator of FRA, or the delegate of ei-
209.405 Reporting of remedial actions. ther.
209.407 Delayed reports.
209.409 Penalties. Chief Counsel means the Chief Coun-
sel of FRA or his or her delegate.
APPENDIX A TO PART 209—STATEMENT OF
AGENCY POLICY CONCERNING ENFORCE- Day means calendar day.
MENT OF THE FEDERAL RAILROAD SAFETY Federal hazardous material transpor-
LAWS tation law means 49 U.S.C. 5101 et seq.
APPENDIX B TO PART 209—FEDERAL RAILROAD Federal railroad safety laws means the
ADMINISTRATION GUIDELINES FOR INITIAL provisions of law generally at 49 U.S.C.
HAZARDOUS MATERIALS ASSESSMENTS subtitle V, part A or 49 U.S.C. chap. 51
APPENDIX C TO PART 209—FRA’S POLICY
STATEMENT CONCERNING SMALL ENTITIES
or 57 and the rules, regulations, orders,
and standards issued under any of
AUTHORITY: 49 U.S.C. 5123, 5124, 20103, 20107, those provisions. See Pub. L. 103–272
20111, 20112, 20114; 28 U.S.C. 2461, note; and 49
(1994). Before recodification, these stat-
CFR 1.49.
utory provisions were contained in the
SOURCE: 42 FR 56742, Oct. 28, 1977, unless following statutes: (i) the Federal Rail-
otherwise noted. road Safety Act of 1970 (Safety Act) (49
U.S.C. 20101–20117, 20131, 20133–20141,
Subpart A—General 20143, 21301, 21302, 21304, 21311, 24902, and
24905, and sections 4(b)(1), (i), and (t) of
§ 209.1 Purpose. Pub. L. 103–272, formerly codified at 45
Appendix A to this part contains a U.S.C. 421, 431 et seq.); (ii) the Haz-
statement of agency policy concerning ardous Materials Transportation Act
17
§ 209.3 49 CFR Ch. II (10–1–07 Edition)
(Hazmat Act) (49 U.S.C. 5101 et seq., for- describe an entity that FRA alleges to
merly codified at 49 App. U.S.C. 1801 et have committed a violation of the pro-
seq.); (iii) the Sanitary Food Transpor- visions of law formerly contained in
tation Act of 1990 (SFTA) (49 U.S.C. the Hazardous Materials Transpor-
5713, formerly codified at 49 App. U.S.C. tation Act or contained in the Haz-
2801 (note)); and those laws transferred ardous Materials Regulations, has the
to the jurisdiction of the Secretary of same meaning as in 49 U.S.C. 5102(9)
Transportation by subsection (e)(1), (2), (formerly codified at 49 App. U.S.C.
and (6)(A) of section 6 of the Depart- 1802(11)), i.e., an individual, firm, co-
ment of Transportation Act (DOT Act), partnership, corporation, company, as-
as in effect on June 1, 1994 (49 U.S.C. sociation, joint-stock association, in-
20302, 21302, 20701–20703, 20305, 20502– cluding any trustee, receiver, assignee,
20505, 20901, 20902, and 80504, formerly or similar representative thereof, or
codified at 49 App. U.S.C. 1655(e)(1), (2), government, Indian tribe, or authority
and (6)(A)). 49 U.S.C. 20111 and 20109, of a government or tribe when offering
formerly codified at 45 U.S.C. 437 (note) hazardous material for transportation
and 441(e). Those laws transferred by in commerce or transporting hazardous
the DOT Act include, but are not lim- material to further a commercial en-
ited to, the following statutes: (i) the terprise, but such term does not in-
Safety Appliance Acts (49 U.S.C. 20102, clude the United States Postal Service
20301, 20302, 20304, 21302, and 21304, for- or, for the purposes of 49 U.S.C. 5123–
merly codified at 45 U.S.C. 1–14, 16); (ii) 5124 (formerly contained in sections 110
the Locomotive Inspection Act (49 and 111 of the Hazardous Materials
U.S.C. 20102, 20701–20703, 21302, and Transportation Act and formerly codi-
21304, formerly codified at 45 U.S.C. 22– fied at 49 App. U.S.C. 1809–1810), a de-
34); (iii) the Accident Reports Act (49 partment, agency, or instrumentality
U.S.C. 20102, 20701, 20702, 20901–20903, of the Federal Government.
21302, 21304, and 21311, formerly codified Pleading means any written submis-
at 45 U.S.C. 38–43); (iv) the Hours of sion setting forth claims, allegations,
Service Act (49 U.S.C. 20102, 21101–21107, arguments, or evidence.
21303, and 21304, formerly codified at 45 Presiding Officer means any person
U.S.C. 61–64b); and (v) the Signal In- authorized to preside over any hearing
spection Act (49 U.S.C. 20102, 20502– or to make a decision on the record, in-
20505, 20902, 21302, and 21304, formerly cluding an administrative law judge.
codified at 49 App. U.S.C. 26).
Railroad means any form of non-
FRA means the Federal Railroad Ad-
highway ground transportation that
ministration, U.S. Department of
runs on rails or electro-magnetic
Transportation.
guideways, including (i) commuter or
FRA Safety Inspector means an FRA
other short-haul railroad passenger
safety inspector, a state inspector par-
service in a metropolitan or suburban
ticipating in railroad safety investiga-
area and commuter railroad service
tive and surveillance activities under
that was operated by the Consolidated
part 212 of this chapter, or any other
Rail Corporation on January 1, 1979;
official duly authorized by FRA.
and (ii) high speed ground transpor-
Motion means a request to a presiding
tation systems that connect metropoli-
officer to take a particular action.
tan areas, without regard to whether
Person generally includes all cat-
those systems use new technologies not
egories of entities covered under 1
associated with traditional railroads;
U.S.C. 1, including but not limited to
but does not include rapid transit oper-
the following: a railroad; any manager,
ations in an urban area that are not
supervisor, official, or other employee
connected to the general railroad sys-
or agent of a railroad; any owner, man-
tem of transportation.
ufacturer, lessor, or lessee of railroad
equipment, track, or facilities; any Respondent means a person upon
independent contractor providing whom FRA has served a notice of prob-
goods or services to a railroad; and any able violation, notice of investigation,
employee of such owner, manufacturer, or notice of proposed disqualification.
lessor, lessee, or independent con- [59 FR 43676, Aug. 24, 1994, as amended at 71
tractor; however, person, when used to
FR 77294, Dec. 26, 2006]
18
§ 209.5 Service. (e) Upon motion, the presiding officer

may order any party to respond to a re-
(a) Each order, notice, or other docu-
quest for admission.
ment required to be served under this
part shall be served personally or by [54 FR 42906, Oct. 18, 1989]
registered or certified mail, except as
§ 209.7 Subpoenas; witness fees.
otherwise provided herein.
(b) Service upon a person’s duly au- (a) The Chief Counsel may issue a
thorized representative constitutes subpoena on his or her own initiative
service upon that person. in any matter related to enforcement
(c) Service by registered or certified of the railroad safety laws. However,
mail is complete upon mailing. An offi- where a proceeding under subpart B, C,
or D of this part has been initiated,
cial United States Postal Service re-
only the presiding officer may issue
ceipt from the registered or certified
subpoenas, and only upon the written
mailing constitutes prima facie evi-
request of any party to the proceeding
dence of service. who makes an adequate showing that
(d) Service of requests for admission the information sought will materially
and motions may be made by first-class advance the proceeding.
mail, postage prepaid. (b) A subpoena may require attend-
(e) Each pleading must be accom- ance of a witness at a deposition or
panied by a certificate of service speci- hearing or the production of documen-
fying how and when service was made. tary or other tangible evidence in the
possession or control of the person
[42 FR 56742, Oct. 28, 1977, as amended at 54
FR 42906, Oct. 18, 1989] served, or both.
(c) A subpoena may be served person-
§ 209.6 Requests for admission. ally by any person who is not an inter-
ested person and is not less than eight-
(a) A party to any proceeding under een (18) years of age, or by certified or
subpart B, C, or D of this part may registered mail.
serve upon any other party written re- (d) Service of a subpoena shall be
quests for the admission of the genu- made by delivering a copy of the sub-
ineness of any relevant documents poena in the appropriate manner, as
identified within the request, the truth set forth below. Service of a subpoena
of any relevant matters of fact, and the requiring attendance of a person is not
application of law to the facts as set complete unless delivery is accom-
forth in the request. panied by tender of fees for one day’s
(b) Each matter of which an admis- attendance and mileage as specified by
sion is requested shall be deemed to be paragraph (f) of this section. However,
admitted unless, within 30 days after when a subpoena is issued upon the re-
receipt of the request, the party to quest of any officer or agency of the
whom the request is directed serves United States, fees and mileage need
upon the party requesting the admis- not be tendered at the time of service
sion a written answer under oath or ob- but will be paid by FRA at the place
jection addressed to the matter, signed and time specified in the subpoena for
by the party. attendance.
(c) The sworn answer shall specifi- Delivery of a copy of the subpoena may
cally admit or deny the matter or set be made:
forth in detail the reasons why the an- (1) To a natural person by:
swering party cannot truthfully admit (i) Handing it to the person;
or deny the matter. If an objection is (ii) Leaving it at his or her office
with the person in charge thereof;
made, the reasons therefor shall be
(iii) Leaving it at his or her dwelling
stated.
place or usual place of abode with some
(d) Any matter admitted under this person of suitable age and discretion
section is conclusively established un- then residing therein;
less the presiding official permits with- (iv) Mailing it by registered or cer-
drawal or amendment of the admission tified mail to him or her at his or her
for good cause shown. last known address; or
19
§ 209.8 49 CFR Ch. II (10–1–07 Edition)
(v) Any method whereby actual no- modify the subpoena. The application
tice of the issuance and content is shall contain a brief statement of the
given (and the fees are made available) reasons relied upon in support of the
prior to the return date. action sought therein. The issuing offi-
(2) To an entity other than a natural cial or the Chief Counsel, as the case
person by: may be, may:
(i) Handing a copy of the subpoena to (1) Deny the application;
a registered agent for service or to any (2) Quash or modify the subpoena; or
officer, director, or agent in charge of (3) In the case of subpoena to produce
any office of the person; documentary or other tangible evi-
(ii) Mailing it by registered or cer- dence, condition denial of the applica-
tified mail to any representative listed tion upon the advancement by the
in paragraph (d)(2)(i) of this section at party in whose behalf the subpoena is
his or her last known address; or issued of the reasonable cost of pro-
(iii) Any method whereby actual no- ducing the evidence.
tice is given to such representative (i) If there is a refusal to obey a sub-
(and the fees are made available) prior poena served upon any person under
to the return date. the provisions of this section, the FRA
(e) The original subpoena bearing a may request the Attorney General to
certificate of service shall be filed in seek the aid of the United States Dis-
accordance with § 209.9. trict Court for any district in which
(f) A witness subpoenaed by the FRA the person is found to compel that per-
shall be entitled to the same fees and son, after notice, to appear and give
mileage as would be paid to a witness testimony, or to appear and produce
in a proceeding in the district courts of the subpoenaed documents before the
the United States. See 28 U.S.C. 1821. FRA, or both.
The witness fees and mileage shall be (j) Attendance of any FRA employee
paid by the person requesting that the engaged in an investigation which gave
subpoena be issued. In an appropriate rise to a proceeding under subpart B or
case, the Chief Counsel or the hearing C of this part for the purpose of elic-
officer may direct the person request- iting factual testimony may be assured
ing issuance of a subpoena for the pro- by filing a request with the Chief Coun-
duction of documentary or other tan- sel at least fifteen (15) days before the
gible evidence to reimburse the re- date of the hearing. The request must
sponding person for actual costs of pro- indicate the present intent of the re-
ducing and/or transporting such evi- questing person to call the employee as
dence. a witness and state generally why the
(g) Notwithstanding the provisions of witness will be required.
paragraph (f) of this section, and upon [42 FR 56742, Oct. 28, 1977, as amended at 54
request, witness fees and mileage or FR 42906, Oct. 18, 1989]
the costs of producing other evidence
may be paid by the FRA if the official § 209.8 Depositions in formal pro-
who issued the subpoena determines on ceedings.
the basis of good cause shown that: (a) Any party to a proceeding under
(1) The presence of the subpoenaed subpart B, C, or D of this part may
witness or evidence will materially ad- take the testimony of any person, in-
vance the proceedings; and cluding a party, by deposition upon
(2) The party at whose instance the oral examination on order of the pre-
subpoena was issued would suffer a se- siding officer following the granting of
rious financial hardship if required to a motion under paragraph (b) of this
pay the witness fees and mileage. section. Depositions may be taken be-
(h) Any person to whom a subpoena is fore any disinterested person who is
directed may, prior to the time speci- authorized by law to administer oaths.
fied therein for compliance, but in no The attendance of witnesses may be
event more than ten (10) days after the compelled by subpoena as provided in
date of service of such subpoena, apply § 209.7 and, for proceedings under sub-
in writing to the official who issued the part D of this part, § 209.315.
subpoena, or if that person is unavail- (b) Any party desiring to take the
able, to the Chief Counsel, to quash or deposition of a witness shall file and
20
serve a written motion setting forth part shall be submitted in duplicate to

the name of the witness; the date, the Assistant Chief Counsel for Safety,
time, and place of the deposition; the (RCC–30), Office of Chief Counsel, Fed-
subject matter of the witness’ expected eral Railroad Administration, 400 Sev-
testimony; whether any party objects enth Street, SW., Washington, DC
to the taking of the deposition; and the 20590, except that documents produced
reasons for taking such deposition. in accordance with a subpoena shall be
Such motion shall be granted only presented at the place and time speci-
upon a showing of good cause. Good fied by the subpoena.
cause exists to take a person’s deposi- [54 FR 42906, Oct. 18, 1989]
tion when the information sought is
relevant to the subject matter involved § 209.11 Request for confidential treat-
in the proceeding and: ment.
(1) The information is not obtainable (a) This section governs the proce-
from some other source that is more dures for requesting confidential treat-
convenient, less burdensome, and less ment of any document filed with or
expensive; or otherwise provided to FRA in connec-
(2) The request is not unreasonably
tion with its enforcement of statutes
cumulative, unduly burdensome, or un-
or FRA regulations related to railroad
duly expensive, taking into account
safety. For purposes of this section,
the needs of the case, limitations on
‘‘enforcement’’ shall include receipt of
the parties’ resources, and the impor-
documents required to be submitted by
tance of the issues in the case.
FRA regulations, and all investigative
(c) Such notice as the presiding offi-
and compliance activities, in addition
cer shall order will be given for the
to the development of violation reports
taking of a deposition, but this shall
and recommendations for prosecution.
not be less than 10 days’ written notice
(b) A request for confidential treat-
unless the parties agree to a shorter
ment with respect to a document or
period.
portion thereof may be made on the
(d) Each witness testifying upon dep-
basis that the information is—
osition shall be sworn and the adverse
(1) Exempt from the mandatory dis-
party shall have the right to cross-ex-
closure requirements of the Freedom of
amine. The questions propounded and
Information Act (5 U.S.C. 552);
the answers thereto, together with all
(2) Required to be held in confidence
objections made, shall be reduced to
by 18 U.S.C. 1905; or
writing, subscribed by the witness, and
(3) Otherwise exempt by law from
certified by the reporter.
public disclosure.
(e) Depositions taken under this sec-
(c) Any document containing infor-
tion may be used for discovery, to con-
mation for which confidential treat-
tradict or impeach the testimony of
ment is requested shall be accompanied
the deponent as a witness, or as evi-
at the time of filing by a statement
dence in the proceeding as permitted
justifying nondisclosure and referring
by paragraph (f) of this section and in
to the specific legal authority claimed.
accordance with the limitations of Fed.
(d) Any document containing any in-
R. Civ. Pro. 32 as though it were appli-
formation for which confidential treat-
cable to these proceedings.
ment is requested shall be marked
(f) Subject to such objections to the
‘‘CONFIDENTIAL’’ or ‘‘CONTAINS
questions and answers as were noted at
CONFIDENTIAL INFORMATION’’ in
the time of taking the deposition and
bold letters. If confidentiality is re-
as would be valid were the witness per-
quested as to the entire document, or if
sonally present and testifying, such
it is claimed that nonconfidential in-
deposition may be offered in evidence
formation in the document is not rea-
by any party to the proceeding.
sonably segregable from confidential
[54 FR 42906, Oct. 18, 1989] information, the accompanying state-
ment of justification shall so indicate.
§ 209.9 Filing. If confidentiality is requested as to a
All materials filed with FRA or any portion of the document, then the per-
FRA officer in connection with a pro- son filing the document shall file to-
ceeding under subpart B, C, or D of this gether with the document a second
21
§ 209.13 49 CFR Ch. II (10–1–07 Edition)
copy of the document from which the desired and the grounds therefor. Un-
information for which confidential less otherwise specified by the pre-
treatment is requested has been de- siding officer, any objection to a writ-
leted. If the person filing a document ten motion must be filed within 10 days
of which only a portion is requested to after receipt of the motion.
be held in confidence does not submit a
second copy of the document with the [54 FR 42907, Oct. 18, 1989]
confidential information deleted. FRA
may assume that there is no objection Subpart B—Hazardous Materials
to public disclosure of the document in Penalties
its entirety.
(e) FRA retains the right to make its CIVIL PENALTIES
own determination with regard to any
claim of confidentiality. Notice of a de- § 209.101 Civil penalties generally.
cision by the FRA to deny a claim, in (a) Sections 209.101 through 209.121
whole or in part, and an opportunity to prescribe rules of procedure for the as-
respond shall be given to a person
sessment of civil penalties pursuant to
claiming confidentiality of information
the Federal hazardous materials trans-
no less than five days prior to its pub-
portation safety law, 49 U.S.C. Chapter
lic disclosure.
51.
[42 FR 56742, Oct. 28, 1977, as amended at 70 (b) When the FRA has reason to be-
FR 11094, Mar. 7, 2005] lieve that a person has knowingly com-
§ 209.13 Consolidation. mitted an act which is a violation of
any provision of subchapter B or C of
At the time a matter is set for hear- chapter I, subtitle B of this title for
ing under subpart B, C, or D of this which the FRA exercises enforcement
part, the Chief Counsel may consoli- responsibility or any waiver or order
date the matter with any similar mat-
issued thereunder, it may conduct a
ter(s) pending against the same re-
proceeding to assess a civil penalty.
spondent or with any related matter(s)
pending against other respondent(s) [42 FR 56742, Oct. 28, 1977, as amended at 61
under the same subpart. However, on FR 38646, July 25, 1996]
certification by the presiding officer
that a consolidated proceeding is un- § 209.103 Minimum and maximum pen-
manageable or otherwise undesirable, alties.
the Chief Counsel will rescind or mod- (a) A person who knowingly violates
ify the consolidation. a requirement of the Federal hazardous
[54 FR 42906, Oct. 18, 1989] material transportation law, an order
issued thereunder, subchapter A or C of
§ 209.15 Rules of evidence. Chapter I, subtitle B, of this title, or a
The Federal Rules of Evidence for special permit or approval issued under
United States Courts and Magistrates subchapter A or C of Chapter I, subtitle
shall be employed as general guidelines B, of this title is liable for a civil pen-
for proceedings under subparts B, C, alty of at least $250 but not more than
and D of this part. However, all rel- $50,000 for each violation, except that—
evant and material evidence shall be (1) The maximum civil penalty for a
received into the record. violation is $100,000 if the violation re-
[54 FR 42907, Oct. 18, 1989] sults in death, serious illness or severe
injury to any person, or substantial de-
§ 209.17 Motions. struction of property and
Motions shall be in writing, filed (2) A minimum $450 civil penalty ap-
with the presiding officer, and copies plies to a violation related to training.
served upon the parties in accordance (b) When the violation is a con-
with § 209.5, except that oral motions tinuing one, each day of the violation
may be made during the course of any constitutes a separate offense. 49
hearing or appearance before the pre- U.S.C. 5123.
siding officer. Each motion shall state (c) The maximum and minimum civil
the particular order, ruling, or action penalties described in paragraph (a)
22
above apply to violations occurring on and including the maximum penalty

or after August 10, 2005. amount of $100,000.
[71 FR 77294, Dec. 26, 2006] [42 FR 56742, Oct. 28, 1977, as amended at 61
FR 38646, July 25, 1996; 69 FR 30591, May 28,
§ 209.105 Notice of probable violation. 2004; 71 FR 77295, Dec. 26, 2006]
(a) FRA, through the Chief Counsel, § 209.107 Reply.
begins a civil penalty proceeding by
serving a notice of probable violation (a) Within thirty (30) days of the
on a person charging him or her with service of a notice of probable violation
having violated one or more provisions issued under § 209.105, the respondent
of subchapter A or C of chapter I, sub- may—
title B of this title. Appendix B to this (1) Pay as provided in § 209.109(a) and
part contains guidelines used by the thereby close the case;
chief counsel in making initial penalty (2) Make an informal response as pro-
assessments. vided in § 209.111; or
(b) A notice of probable violation (3) Request a hearing as provided in
issued under this section includes: § 209.113.
(1) A statement of the provision(s) (b) The Chief Counsel may extend the
which the respondent is believed to thirty (30) days period for good cause
have violated; shown.
(2) A statement of the factual allega- (c) Failure of the respondent to reply
tions upon which the proposed civil by taking one of the three actions de-
penalty is being sought; scribed in paragraph (a) of this section
(3) Notice of the maximum amount of within the period provided constitutes
civil penalty for which the respondent a waiver of his or her right to appear
may be liable; and contest the allegations and author-
(4) Notice of the amount of the civil izes the Chief Counsel, without further
penalty proposed to be assessed; notice to the respondent, to find the
facts to be as alleged in the notice of
(5) A description of the manner in
probable violation and to assess an ap-
which the respondent should make pay-
propriate civil penalty.
ment of any money to the United
States; § 209.109 Payment of penalty; com-
(6) A statement of the respondent’s promise.
right to present written explanations,
(a) Payment of a civil penalty may be
information or any materials in answer
made by certified check, money order,
to the charges or in mitigation of the or credit card. Payments made by cer-
penalty; and tified check or money order should be
(7) A statement of the respondent’s made payable to the Federal Railroad
right to request a hearing and the pro- Administration and sent to DOT/FRA,
cedures for requesting a hearing. Mike Monroney Aero Center, General
(c) The FRA may amend the notice of Accounting Division, AMZ–300, P.O.
probable violation at any time prior to Box 25082, Oklahoma City, OK 73125.
the entry of an order assessing a civil Overnight express payments may be
penalty. If the amendment contains sent to DOT/FRA, Mike Monroney Aero
any new material allegation of fact, Center, General Accounting Division,
the respondant is given an opportunity AMZ–300, 6500 South MacArthur Blvd.
to respond. In an amended notice, FRA Headquarters Building, Room 176,
may change the civil penalty amount Oklahoma City, OK 73169. Payment by
proposed to be assessed up to and in- credit card must be made via the Inter-
cluding the maximum penalty amount net at https://www.pay.gov/paygov/. In-
of $50,000 for each violation, except structions for online payment are
that if the violation results in death, found on the Web site.
serious illness or severe injury to any (b) At any time before an order as-
person, or substantial destruction of sessing a penalty is referred to the At-
property, FRA may change the penalty torney General for collection, the re-
spondent may offer to compromise for
amount proposed to be assessed up to
23
§ 209.111 49 CFR Ch. II (10–1–07 Edition)
a specific amount by contracting the paragraph (a) of this section, the Chief
Chief Counsel. Counsel schedules a hearing for the
[42 FR 56742, Oct. 28, 1977, as amended at 71
earliest practicable date.
FR 77295, Dec. 26, 2006] (c) The Chief Counsel or the hearing
officer appointed under § 209.115 may
§ 209.111 Informal response and as- grant extensions of the time of the
sessment. commencement of the hearing for good
(a) If a respondent elects to make an cause shown.
informal response to a notice of prob-
§ 209.115 Hearing.
able violation, respondent shall submit
to the Chief Counsel such written ex- (a) When a hearing is requested and
planations, information or other mate- scheduled under § 209.113, a hearing offi-
rials as respondent may desire in an- cer designated by the Chief Counsel
swer to the charges or in mitigation of convenes and presides over the hearing.
the proposed penalty. If requested by respondent and if prac-
(b) The respondent may include in his ticable, the hearing is held in the gen-
or her informal written response a re- eral vicinity of the place where the al-
quest for a conference. Upon receipt of leged violation occurred, or at a place
such a request, the Chief Counsel ar- convenient to the respondent. Testi-
ranges for a conference as soon as prac- mony by witnesses shall be given under
ticable at a time and place of mutual oath and the hearing shall be recorded
convenience. verbatim.
(c) Written explanations, information (b) The presiding official may:
or materials, submitted by the re- (1) Administer oaths and affirma-
spondent and relevant information pre- tions;
sented during any conference held (2) Issue subpoenas as provided by
under this section are considered by § 209.7;
the Chief Counsel in reviewing the no- (3) Adopt procedures for the submis-
tice of proposed violation and deter- sion of evidence in written form;
mining the fact of violation and the (4) Take or cause depositions to be
amount of any penalty to be assessed. taken;
(d) After consideration of an informal (5) Rule on offers of proof and receive
response, including any relevant infor- relevant evidence;
mation presented at a conference, the (6) Examine witnesses at the hearing;
Chief Counsel may dismiss the notice (7) Convene, recess, reconvene, and
of probable violation in whole or in adjourn and otherwise regulate the
part. If he or she does not dismiss it in course of the hearing;
whole, he or she may issue an order as- (8) Hold conferences for settlement,
sessing a civil penalty. simplification of the issues or any
other proper purpose; and
§ 209.113 Request for hearing. (9) Take any other action authorized
(a) If a respondent elects to request a by or consistent with the provisions of
hearing, he or she must submit a writ- this subpart pertaining to civil pen-
ten request to the Chief Counsel refer- alties and permitted by law which may
ring to the case number which ap- expedite the hearing or aid in the dis-
peared on the notice of the probable position of an issue raised, therein.
violation. The request must— (c) The Chief Counsel has the burden
(1) State the name and address of the of providing the facts alleged in the no-
respondent and of the person signing tice of proposed violation and may
the request if different from the re- offer such relevant information as may
spondent; be necessary fully to inform the pre-
(2) State with respect to each allega- siding officer as to the matter con-
tion whether it is admitted or denied; cerned.
and (d) The respondent may appear and
(3) State with particularity the be heard on his or her own behalf or
issues to be raised by the respondent at through counsel of his or her choice.
the hearing. The respondent or his or her counsel
(b) After a request for hearing which may offer relevant information includ-
complies with the requirements of ing testimony which he or she believes
24
should be considered in defense of the may file an appeal with the Adminis-
allegations or which may bear on the trator. The appeal must be filed within
penalty proposed to be assessed and twenty (20) days of service of the pre-
conduct such cross-examination as siding officer’s order.
may be required for a full disclosure of (b) Prior to rendering a final deter-
the material facts. mination on an appeal, the Adminis-
(e) At the conclusion of the hearing trator may remand the case for further
or as soon thereafter as the hearing of- proceedings before the hearing officer.
ficer shall provide, the parties may file
(c) In the case of an appeal by a re-
proposed findings and conclusions, to-
gether with supporting reasons. spondent, if the Administrator affirms
the assessment and the respondent
[42 FR 56742, Oct. 28, 1977; 42 FR 59755, Nov. does not pay the civil penalty within
21, 1977]
twenty (20) days after service of the
§ 209.117 Presiding officer’s decision. Administrator’s decision on appeal, the
matter may be referred to the Attor-
(a) After consideration of the evi-
ney General with a request that an ac-
dence of record, the presiding officer
may dismiss the notice of probable vio- tion to collect the penalty be brought
lation in whole or in part. If the pre- in the appropriate United States Dis-
siding officer does not dismiss it in trict Court.
whole, he or she will issue and serve on
the respondent an order assessing a CRIMINAL PENALTIES
civil penalty. The decision of the pre-
§ 209.131 Criminal penalties generally.
siding officer will include a statement
of findings and conclusions as well as A person who knowingly violates 49
the reasons therefor on all material U.S.C. 5104(b) or § 171.2(l) of this title or
issues of fact, law, and discretion. willfully or recklessly violates a re-
(b) If, within twenty (20) days after quirement of the Federal hazardous
service of an order assessing a civil material transportation law or a regu-
penalty, the respondent does not pay lation, order, special permit, or ap-
the civil penalty or file an appeal as proval issued thereunder shall be fined
provided in § 209.121, the case may be under title 18, United States Code, or
referred to the Attorney General with imprisoned for not more than 5 years,
a request that an action to collect the or both, except the maximum amount
penalty be brought in the appropriate
of imprisonment shall be 10 years in
United States District Court.
any case in which the violation in-
§ 209.119 Assessment considerations. volves the release of a hazardous mate-
rial which results in death or bodily in-
The assessment of a civil penalty
under § 209.117 is made only after con- jury to any person.
sidering: [71 FR 77295, Dec. 26, 2006]
(a) The nature and circumstances of
the violation; § 209.133 Referral for prosecution.
(b) The extent and gravity of the vio-
If an inspector, including a certified
lation;
state inspector under part 212 of this
(c) The degree of the respondent’s
culpabilty; chapter, or another employee of FRA
(d) The respondent’s history of prior becomes aware of a possible knowing
offenses; violation of 49 U.S.C. 5104(b) or a will-
(e) The respondent’s ability to pay; ful or reckless violation of the Federal
(f) The effect on the respondent’s hazardous materials transportation
ability to continue in business; and law or a regulation issued under those
(g) Such other matters as justice laws for which FRA exercises enforce-
may require. ment responsibility, he or she shall re-
port it to the Chief Counsel. If evidence
§ 209.121 Appeal. exists tending to establish a prima
(a) Any party aggrieved by a pre- facie case, and if it appears that assess-
siding officer’s decision or order issued ment of a civil penalty would not be an
under § 209.117 assessing a civil penalty
25
§ 209.201 49 CFR Ch. II (10–1–07 Edition)
adequate deterrent to future viola- whether it is admitted or denied. Even

tions, the Chief Counsel refers the re- though formally denied, a factual alle-
port to the Department of Justice for gation set forth in a notice of inves-
criminal prosecution of the offender. tigation is considered to be admitted
[61 FR 38647, July 25, 1996, as amended at 71
for purposes of the proceeding unless:
FR 77295, Dec. 26, 2006] (1) Opposed by the affidavit of an in-
dividual having personal knowledge of
the subject matter;
Subpart C—Compliance Orders (2) Challenged as defective on its face
§ 209.201 Compliance orders generally. together with a supporting explanation
as to why it is believed to be defective;
(a) This subpart prescribes rules of or
procedure leading to the issuance of (3) Otherwise actively put at issue
compliance orders pursuant to the Fed- through the submission of relevant evi-
eral railroad safety laws at 49 U.S.C. dence.
5121(a) and/or 20111(b). (c) The reply must set forth any af-
(b) The FRA may commence a pro- firmative defenses and include a state-
ceeding under this subpart when FRA ment of the form and nature of proof
has reason to believe that a person is by which those defenses are to be es-
engaging in conduct or a pattern of tablished.
conduct that involves one or more vio- (d) If it is necessary to respond to an
lations of the Federal railroad safety amendment to the notice of investiga-
laws or any regulation or order issued tion, the respondent may amend the
under those laws for which FRA exer- reply concerning the substance of mat-
cises enforcement authority. ters contained in the amendment to
[61 FR 38647, July 25, 1996] the notice at any time before the
issuance of an order under § 209.211.
§ 209.203 Notice of investigation. (e) If the respondent elects not to
(a) FRA begins a compliance order contest one or more factual allega-
proceeding by serving a notice of inves- tions, he or she should so state in the
tigation on the respondent. reply. An election not to contest a fac-
(b) The notice of investigation con- tual allegation is an admission of that
tains: allegation solely for the purpose of
(1) A statement of the legal authority issuing a compliance order. That elec-
for the proceeding; tion constitutes a waiver of hearing as
(2) A statement of the factual allega- to that allegation but does not, by
tions upon which the remedial action is itself, constitute a waiver of the right
being sought; and to be heard on other issues. In connec-
(3) A statement of the remedial action with a statement of election not
tion being sought in the form of a pro- to contest a factual allegation, the re-
posed compliance order. spondent may propose an appropriate
(c) The FRA may amend the notice of order for issuance by the Adminis-
investigation at any time prior to the trator or propose the negotiation of a
entry of a final compliance order. If an consent order.
amendment includes any new material (f) Failure of the respondent to file a
allegation of fact or seeks new or addi- reply within the period provided con-
tional remedial action, the respondent stitutes a waiver of his or her right to
is given an opportunity to respond. appear and contest the allegation and
authorizes the Administrator, without
§ 209.205 Reply. further notice to the respondent, to
(a) Within thirty (30) days of service find the facts to be as alleged in the no-
of a notice of investigation, the re- tice of proposed violation and to issue
spondent may file a reply with the an appropriate order directing compli-
FRA. The Chief Counsel may extend ance.
the time for filing for good cause
shown. § 209.207 Consent order.
(b) The reply must be in writing, (a) At any time before the issuance of
signed by the person filing it, and state an order under § 209.211, the Chief Coun-
with respect to each factual allegation sel and the respondent may execute an
26
agreement proposing the entry by con- tice of investigation and may offer
sent of an order directing compliance. such relevant information as may be
The Administrator may accept the pro- necessary fully to inform the presiding
posed order by signing it. If the Admin- officer as to the matter concerned.
istrator rejects the proposed order, he (d) The respondent may appear and
or she directs that the proceeding con- be heard on his or her own behalf or
tinue. through counsel of his or her choice.
(b) An agreement submitted to the The respondent or his or her counsel
Administrator under this section must may offer relevant information, includ-
include: ing testimony which he or she believes
(1) A proposed compliance order suit- should be considered in defense of the
able for the Administrator’s signature; allegations or which may bear on the
(2) An admission of all jurisdictional remedial action being sought, and con-
facts; duct such cross-examination as may be
(3) An express waiver of further pro- required for a full disclosure of the ma-
cedural steps and of all right to seek terial facts.
judicial review or otherwise challenge (e) At the conclusion of the hearing
or contest the validity of the order; or as soon thereafter as the hearing of-
and ficer shall provide, the parties may file
(4) An acknowledgment that the no- proposed findings and conclusions, to-
tice of investigation may be used to gether with supporting reasons there-
construe the terms of the order. for.
§ 209.209 Hearing. § 209.211 Presiding officer’s decision.
(a) When a respondent files a reply (a) After consideration of evidence,
contesting allegations in a notice of in- the presiding officer may dismiss the
vestigation issued under § 209.203 or notice of investigation or issue a com-
when the FRA and the respondent fail pliance order. The decision of the pre-
to agree upon an acceptable consent siding officer will include a statement
order, the hearing officer designated by of findings and conclusions as well as
the Chief Counsel convenes and pre- the reasons therefor on all material
sides over a hearing on the proposed issues of fact, law, and discretion.
compliance order. (b) A compliance order issued under
(b) The presiding official may: this section is effective twenty (20)
(1) Administer oaths and affirma- days from service on the respondent
tions; unless otherwise provided therein.
(2) Issue subpoenas as provided by
§ 209.7; § 209.213 Appeal.
(3) Adopt procedures for the submis-
sion of evidence; (a) Any party aggrieved by a pre-
(4) Take or cause depositions to be siding officer’s decision may file an ap-
taken; peal with the Administrator. The ap-
(5) Rule on offers of proof and receive peal must be filed within twenty (20)
relevant evidence; days after service of the presiding offi-
(6) Examine witnesses at the hearing; cer’s decision.
(7) Convene, recess, reconvene, ad- (b) Prior to rendering a final deter-
journ and otherwise regulate the mination on an appeal, the Adminis-
course of the hearing; trator may remand the case for further
(8) Hold conferences for settlement, proceedings before the hearing officer.
simplification of the issues or any (c) The filing of an appeal does not
other proper purpose; and stay the effectiveness of a compliance
(9) Take any other action authorized order unless the Administrator ex-
by or consistent with the provisions of pressly so provides.
this subpart pertaining to compliance
orders and permitted by law which may § 209.215 Time limitation.
expedite the hearing or aid in the dis- A proceeding for the issuance of a
position of an issue raised therein. compliance order under the Federal
(c) The Chief Counsel has the burden Railroad Safety Act of 1970, as amend-
of providing the facts alleged in the no- ed, shall be completed within twelve
27
§ 209.301 49 CFR Ch. II (10–1–07 Edition)
(12) months after issuance of the notice (1) Inspect, install, repair, or main-
of investigation. tain track and roadbed;
(2) Inspect, repair or maintain, loco-
Subpart D—Disqualification motives, passenger cars, and freight
Procedures cars;
(3) Conduct training and testing of
SOURCE: 54 FR 42907, Oct. 18, 1989, unless employees when the training or testing
otherwise noted. is required by the FRA’s safety regula-
tions; or
§ 209.301 Purpose and scope. (c) Railroad managers, supervisors,
(a) This subpart prescribes the rules or agents when they:
of practice for administrative pro- (1) Perform the safety-sensitive func-
ceedings relating to the determination tions listed in paragraphs (a) and (b) of
of an individual’s fitness for per- this section;
forming safety-sensitive functions (2) Supervise and otherwise direct the
under section 209(f) of the Federal Rail- performance of the safety-sensitive
road Safety Act of 1970 (45 U.S.C. functions listed in paragraphs (a) and
438(f)). (b) of this section; or
(b) The purpose of this subpart is to
(3) Are in a position to direct the
prevent accidents and casualties in
commission of violations of any of the
railroad operations that result from
requirements of parts 213 through 236 of
the presence in the work force of rail-
road employees, including managers this title.
and supervisors, and agents of railroads
§ 209.305 Notice of proposed disquali-
who have demonstrated their unfitness fication.
to perform the safety-sensitive func-
tions described in § 209.303 by violating (a) FRA, through the Chief Counsel,
any rule, regulation, order or standard begins a disqualification proceeding by
prescribed by FRA. Employees and serving a notice of proposed disquali-
agents who evidence such unfitness fication on the respondent charging
may be disqualified, under specified him or her with having violated one or
terms and conditions, temporarily or more rules, regulations, orders, or
permanently, from performing such standards promulgated by FRA, which
safety-sensitive functions. render the respondent unfit to perform
(c) This subpart does not preempt a safety-sensitive functions described in
railroad from initiating disciplinary § 209.303.
proceedings and imposing disciplinary (b) The notice of proposed disquali-
sanctions against its employees, in- fication issued under this section shall
cluding managers and supervisors, contain:
under its collective bargaining agree- (1) A statement of the rule(s), regula-
ments or in the normal and customary tion(s), order(s), or standard(s) that the
manner. Disqualification determina- respondent is alleged to have violated;
tions made under this subpart shall
(2) A statement of the factual allega-
have no effect on prior or subsequent
disciplinary actions taken against such tions that form the basis of the initial
employees by railroads. determination that the respondent is
not fit to perform safety-sensitive
§ 209.303 Coverage. functions;
This subpart applies to the following (3) A statement of the effective date,
individuals: duration, and other conditions, if any,
(a) Railroad employees who are as- of the disqualification order;
signed to perform service subject to the (4) A statement of the respondent’s
Hours of Service Act (45 U.S.C. 61–64b) right to answer the charges in writing
during a duty tour, whether or not the and furnish affidavits and any other
person has performed or is currently documentary evidence in support of the
performing such service, and any per- answer;
son who performs such service. (5) A statement of the respondent’s
(b) Railroad employees or agents right to make an informal response to
who: the Chief Counsel;
28
(6) A statement of the respondent’s sion thereto provided under paragraph

right to request a hearing and the pro- (b) of this section constitutes a waiver
cedures for requesting a hearing; of the respondent’s right to appear and
(7) A statement of the respondent’s contest the charges or the proposed
right to counsel or other designated disqualification. Respondent’s failure
representative; and to reply authorizes the Chief Counsel,
(8) Notice of the consequences of the without further notice to the respond-
respondent’s failure to take any of the ent, to find the respondent unfit for the
actions described in § 209.307(a). performance of the safety-sensitive
(c) The Chief Counsel shall enclose functions described in § 209.303 and to
with the notice of proposed disquali- order the respondent disqualified from
fication a copy of the material that is performing them for the period and
relied on in support of the charges. under the other conditions described in
Nothing in this section precludes the the notice of proposed disqualification.
Chief Counsel from presenting at a sub- The Chief Counsel shall serve respond-
sequent hearing under § 209.321 any evi- ent with the disqualification order and
dence of the charges set forth in the provide a copy of the order to the rail-
notice that the Chief Counsel acquires road by which the respondent is em-
after service thereof on the respondent. ployed.
The Chief Counsel, however, shall serve
a copy of any such evidence on the re- § 209.309 Informal response.
spondent at or before the prehearing (a) If the respondent elects to make
conference required under § 209.319. an informal response to a notice of pro-
Failure to furnish such evidence to re- posed disqualification, he or she shall
spondent at or before the prehearing submit to the Chief Counsel such writ-
conference bars its introduction at the ten explanations, information, or other
hearing. materials as respondent may desire in
(d) The Chief Counsel shall provide a answer to the charges or in mitigation
copy of the notice of proposed disquali- of the proposed disqualification.
fication to the railroad that employs (b) The respondent may include in an
the respondent. informal written response a request for
a conference. Upon receipt of such a re-
§ 209.307 Reply. quest, the Chief Counsel shall arrange
(a) Within 30 days after receipt of the for a conference at a time and place
notice of proposed disqualification designated by the Chief Counsel.
issued under § 209.305, the respondent (c) Written explanations, informa-
shall reply in writing to the charges. tion, or materials submitted by the re-
The respondent may furnish affidavits spondent and relevant information pre-
and any other documentary evidence in sented during any conference held
support of the reply. Further, the re- under this section shall be considered
spondent may elect to— by the Chief Counsel in reviewing the
(1) Stipulate to the charges and con- notice of proposed disqualification, in-
sent to the imposition of the disquali- cluding the question of the respond-
fication order under the conditions set ent’s fitness and the conditions of any
forth in the notice; disqualification that may be imposed.
(2) Make an informal response as pro- (d) After consideration of an informal
vided in § 209.309; or response, including any relevant infor-
(3) Request a hearing as provided in mation presented at a conference, the
§ 209.311. Chief Counsel shall take one of the fol-
(b) The Chief Counsel may extend the lowing actions:
reply period for good cause shown, pro- (1) Dismiss all the charges and termi-
vided the request for extension is nate the notice of proposed disquali-
served before the expiration of the pe- fication;
riod provided in paragraph (a) of this (2) Dismiss some of the charges and
section. mitigate the proposed disqualification;
(c) Failure of the respondent to reply (3) Mitigate the proposed disquali-
to the notice of proposed disqualifica- fication; or
tion within the period provided in para- (4) Sustain the charges and proposed
graph (a) of this section or an exten- disqualification.
29
§ 209.311 49 CFR Ch. II (10–1–07 Edition)
(e) Should the Chief Counsel sustain, (1) The name, address, and telephone
in whole or in part, the charges and number of the respondent and of the re-
proposed disqualification and reach spondent’s designated representative, if
settlement with the respondent, the any;
Chief Counsel shall issue an appro- (2) A specific response admitting, de-
priate disqualification order reflecting nying, or explaining each allegation of
the settlement and shall provide a copy the notice of disqualification order.
of that order to the railroad by which (3) A description of the claims and
the respondent is employed. The dura- defenses to be raised by the respondent
tion of the disqualification period may at the hearing; and
be less than, but shall be no greater (4) The signature of the respondent or
than, the period set forth in the notice. the representative, if any.
Any settlement reached shall be evi- (b) Upon receipt of a request for a
denced by a written agreement, which hearing complying with the require-
shall include declarations from the re- ments of paragraph (a) of this section,
spondent stipulating to the charges the Chief Counsel shall arrange for the
contained in the disqualification order, appointment of a presiding officer and
consenting to the imposition of the dis- transmit the disqualification file to
qualification under the conditions set the presiding officer, who shall sched-
forth in the disqualification order, and ule the hearing for the earliest prac-
waiving his or her right to a hearing. ticable date within the time period set
(f) If settlement of the charges by § 209.321(a) of this subpart.
against the respondent is not achieved, (c) Upon assignment of a presiding of-
the Chief Counsel shall terminate set- ficer, further matters in the proceeding
tlement discussions no later than 30 generally are conducted by and
days from service of the informal re- through the presiding officer, except
sponse upon the Chief Counsel by serv- that the Chief Counsel and respondent
ing respondent written notice of termi- may settle or voluntarily dismiss the
case without order of the presiding offi-
nation of settlement negotiations.
cer. The Chief Counsel shall promptly
(g) By electing to make an informal
notify the presiding officer of any set-
response to a notice of proposed dis-
tlement or dismissal of the case.
qualification, the respondent does not
waive the right to a hearing. However, § 209.313 Discovery.
the respondent must submit the hear-
(a) Disqualification proceedings shall
ing request required by § 209.311(a)
be conducted as expeditiously as pos-
within l0 days after receipt of the no-
sible with due regard to the rights of
tice of termination of settlement nego-
the parties. Discovery is designed to
tiations from the Chief Counsel. Fail-
enable a party to obtain relevant infor-
ure to submit such a request con-
mation needed for preparation of the
stitutes a waiver of the respondent’s party’s case. These regulations are in-
right to appear and contest the charges tended to provide a simple, timely, and
or the proposed disqualification. relatively economical system for dis-
(h) The Chief Counsel may extend the covery. They shall be interpreted and
period for requesting a hearing for good applied so as to avoid delay and facili-
cause shown, provided the request for tate adjudication of the case.
extension is served before the expira- (b) Discovery may be obtained by re-
tion of the period provided in para- quests for admission under § 209.6, re-
graph (g) of this section. quests for production of documentary
or other tangible evidence under § 209.7,
§ 209.311 Request for hearing. and depositions under § 209.8.
(a) If the respondent elects to request (c) A party may initiate the methods
a hearing, he or she must submit a of discovery permitted under paragraph
written request within the time periods (b) of this section at any time after re-
specified in § 209.307(a) or § 209.309(g) to spondent requests a hearing under
the Chief Counsel referring to the case § 209.311.
number that appears on the notice of (d) Discovery shall be completed
proposed disqualification. The request within 90 days after receipt of respond-
must contain the following: ent’s request for a hearing under
30
§ 209.311. Upon motion for good cause (3) Advance rulings from the pre-
shown, the presiding officer may ex- siding officer on the admissibility of
tend this time period for an additional evidence;
30 days. The presiding officer may (4) Identification of witnesses, in-
grant an additional 30 day extension cluding the scope of their testimony,
only when the party requesting the ex- and of hearing exhibits;
tension shows by clear and convincing (5) Possibility of settlement; and
evidence that the party was unable to (6) Such other matters as the pre-
complete discovery within the presiding officer deems necessary to expe-
scribed time period through no fault or
dite the disposition of the proceeding.
lack of due diligence of such party, and
(b) The record shall show the matters
that denial of the request would result
in irreparable prejudice. disposed of by order and by agreement
(e) If a party fails to comply with a in such a prehearing conference. The
discovery order or an order to compel, subsequent course of the hearing shall
the presiding officer may: be controlled by such action.
(1) Strike any appropriate part of the (c) The prehearing conference shall
pleadings or other submissions of the be held within 150 days after receipt of
party failing to comply with such respondent’s request for a hearing
order; under § 209.311.
(2) Prohibit the party failing to com-
ply with such order from introducing § 209.321 Hearing.
evidence relating to the information (a) Upon receipt of a hearing request
sought; complying with § 209.311, an adminis-
(3) Draw an inference in favor of the trative hearing for review of a notice of
requesting party with regard to the in- proposed disqualification shall be con-
formation sought; and ducted by a presiding officer, who can
(4) Permit the requesting party to in- be any person authorized by the FRA
troduce secondary evidence concerning Administrator, including an adminis-
the information sought. trative law judge. The hearing shall
begin within 180 days from receipt of
§ 209.315 Subpoenas.
respondent’s hearing request. Notice of
Once a notice of proposed disquali- the time and place of the hearing shall
fication has been issued in a particular be given to the parties at least 20 days
matter, only the presiding officer may before the hearing. Testimony by wit-
issue, deny, quash, or modify sub- nesses shall be given under oath and
poenas under this subpart in accord- the hearing shall be recorded verbatim.
ance with § 209.7. The hearing shall be open to the public,
§ 209.317 Official record. unless the presiding official determines
that it would be in the best interests of
The notice of proposed disqualifica- the respondent, a witness, or other af-
tion, respondent’s reply, exhibits, and fected persons, to close all or any part
verbatim record of testimony, if a of it. If the presiding official makes
hearing is held, and all pleadings, stip- such a determination, an appropriate
ulations, and admissions filed and rul- order, which sets forth the reasons
ings and orders entered in the course of therefor, shall be entered.
the proceeding shall constitute the ex- (b) The presiding officer may:
clusive and official record.
(1) Administer oaths and affirma-
§ 209.319 Prehearing conference. tions;
(2) Issue subpoenas as provided by
(a) The parties shall confer with the
presiding officer, either in person or by § 209.7;
telephone, for a conference at least 10 (3) Adopt procedures for the submis-
days before the hearing to consider: sion of evidence in written form;
(1) Formulation and simplification of (4) Take or cause depositions to be
the issues; taken as provided in § 209.8;
(2) Stipulations, admissions of fact, (5) Rule on offers of proof and receive
and admissions of the contents and au- relevant evidence;
thenticity of documents; (6) Examine witnesses at the hearing;
31
§ 209.323 49 CFR Ch. II (10–1–07 Edition)
(7) Convene, recess, reconvene, ad- § 209.323 Initial decision.

journ, and otherwise regulate the (a) The presiding officer shall prepare
course of the hearing; an initial decision after the closing of
(8) Hold conferences for settlement, the record. The initial decision may
simplification of the issues, or any dismiss the notice of proposed disquali-
other proper purpose; and fication, in whole or in part, sustain
(9) Take any other action authorized the charges and proposed disqualifica-
by or consistent with the provisions of tion, or sustain the charges and miti-
this subpart and permitted by law that gate the proposed disqualification.
may expedite the hearing or aid in the (b) If the presiding officer sustains
disposition of an issue raised therein. the charges and the proposed disquali-
(c) FRA has the burden of proof, by a fication, dismisses some of the charges,
preponderance of the evidence, as to or mitigates the proposed disqualifica-
the facts alleged in the notice of pro- tion, the presiding officer shall issue
and serve an appropriate order dis-
posed disqualification, the reasonable-
qualifying respondent from engaging in
ness of the conditions of the qualifica- the safety-sensitive functions described
tion proposed, and, except as provided in § 209.303. If the presiding officer dis-
in § 209.329(a), the respondent’s lack of misses all of the charges set forth in
fitness to perform safety-sensitive notice of proposed disqualification, a
functions. The Chief Counsel may offer dismissal order shall be issued and
relevant evidence, including testi- served.
mony, in support of the allegations (c) Each initial decision shall con-
contained in the notice of proposed dis- tain:
qualification and conduct such cross- (1) Findings of fact and conclusions
examination as may be required for a of law, as well as the reasons or bases
full disclosure of the material facts. therefor, upon all the material issues
(d) The respondent may appear and of fact and law presented on the record;
be heard on respondent’s own behalf or (2) An order, as described in para-
through respondent’s designated rep- graph (b) of this section;
resentative. The respondent may offer (3) The dates any disqualification is
to begin and end and other conditions,
relevant evidence, including testi-
if any, that the respondent must sat-
mony, in defense of the allegations or
isfy before the disqualification order is
in mitigation of the proposed disquali- discharged;
fication and conduct such cross-exam- (4) The date upon which the decision
ination as may be required for a full will become final, as prescribed in
disclosure of the material facts. Re- § 209.325; and
spondent has the burden of proof, by a (5) Notice of the parties’ appeal
preponderance of the evidence, as to rights, as prescribed in § 209.327.
any affirmative defense, including that (d) The decision shall be served upon
respondent’s actions were in obedience the FRA Chief Counsel and the re-
to the direct order of a railroad super- spondent. The Chief Counsel shall pro-
visor or higher level official. vide a copy of the disqualification
(e) The record shall be closed at the order to the railroad by which the re-
conclusion of the hearing, unless the spondent is employed.
parties request the opportunity to sub-
§ 209.325 Finality of decision.
mit proposed findings and conclusions.
When the presiding officer allows the (a) The initial decision of the pre-
parties to submit proposed findings and siding officer shall become final 35 days
conclusions, documents previously after issuance. Such decisions are not
identified for introduction into evi- precedent.
(b) Exception. The initial decision
dence, briefs, or other posthearing sub-
shall not become final if, within 35
missions the record shall be left open
days after issuance of the decision, any
for such time as the presiding officer
party files an appeal under § 209.327.
grants for that purpose. The timely filing of such an appeal
[54 FR 42907, Oct. 18, 1989, as amended at 60 shall stay the order in the initial deci-
sion.
FR 53136, Oct. 12, 1995]
32
§ 209.327 Appeal. 225, 228, and 233) of this title estab-

(a) Any party aggrieved by an initial lishes a rebuttable presumption that
decision issued under § 209.323 may file the respondent is unfit to perform the
an appeal. The appeal must be filed safety-sensitive functions described in
within 35 days of issuance of the initial § 209.303. Where such presumption
decision with the Federal Railroad Ad- arises, the respondent has the burden
ministrator, 400 Seventh Street, SW., of establishing that, taking account of
Washington, DC 20590. A copy of the ap- the factors in paragraph (b) of this sec-
peal shall be served on each party. The tion, he or she is fit to perform the
appeal shall set forth objections to the foregoing safety-sensitive functions for
initial decision, supported by reference the period and under the other condi-
to applicable laws and regulations, and tions, if any, proposed in the notice of
with specific reference to the record. If proposed disqualification.
the Administrator has played any role (b) In determining respondent’s lack
in investigating, prosecuting, or decid- of fitness to perform safety-sensitive
ing to prosecute the particular case, functions and the duration and other
the Administrator shall recuse him or
conditions, if any, of appropriate dis-
herself and delegate his or her author-
ity under this section to a person not qualification orders under §§ 209.309,
so involved. 209.323, and 209.327, the factors to be
(b) A party may file a reply to an ap- considered, to the extent: Each is perti-
peal within 25 days of service of the ap- nent to the respondent’s case, include
peal. If the party relies on evidence but are not limited to the following:
contained in the record for the reply, (1) The nature and circumstances of
the party shall specifically refer to the the violation, including whether the
pertinent evidence in the record. violation was intentional, technical, or
(c) The Administrator may extend inadvertent, was committed willfully,
the period for filing an appeal or a re- or was frequently repeated;
sponse for good cause shown, provided (2) The adverse impact or the poten-
the written request for extension is tially adverse impact of the violation
served before the expiration of the ap- on the health and safety of persons and
plicable period provided in paragraph the safety of property;
(c) or (d) of this section.
(3) The railroad’s operating rules,
(d) The Administrator has sole dis-
cretion to permit oral argument on the safety rules, and repair and mainte-
appeal. On the Administrator’s own nance standards;
initiative or upon written motion by (4) Repair and maintenance standards
any party, the Administrator may de- adopted by the industry;
termine that oral argument will con- (5) The consistency of the conditions
tribute substantially to the develop- of the proposed disqualification with
ment of the issues on appeal and may disqualification orders issued against
grant the parties an opportunity for other employees for the same or simi-
oral argument. lar violations;
(e) The Administrator may affirm, (6) Whether the respondent was on
reverse, alter, or modify the decision of notice of any safety regulations that
the presiding officer, or may remand were violated or whether the respond-
the case for further proceedings before ent had been warned about the conduct
the presiding officer. The Adminis- in question;
trator shall inform the parties and the (7) The respondent’s past record of
presiding officer of his or her decision.
committing violations of safety regula-
(f) The decision of the Administrator
tions, including previous FRA warn-
is final, constitutes final agency ac-
tion, and is not subject to further ad- ings issued, disqualifications imposed,
ministrative review. civil penalties assessed, railroad dis-
ciplinary actions, and criminal convic-
§ 209.329 Assessment considerations. tions therefor;
(a) Proof of a respondent’s willful (8) The civil penalty scheduled for
violation of one of the requirements of the violation of the safety regulation
parts 213 through 236 (excluding parts in question;
33
§ 209.331 49 CFR Ch. II (10–1–07 Edition)
(9) Mitigating circumstances sur- fully violates § 209.331(c) or § 209.333(a)

rounding the violation, such as the ex- may also be assessed a civil penalty of
istence of an emergency situation en- at least $1,000 and not more than $5,000
dangering persons or property and the per violation.
need for the respondent to take imme- (b) Any railroad that violates § 209.331
diate action; and (a) or (b) or § 209.333(b) may be assessed
(10) Such other factors as may be a civil penalty of at least $5,000 and not
warranted in the public interest. more than $11,000 per violation.
(c) Each day a violation continues
§ 209.331 Enforcement of disqualifica- shall constitute a separate offense.
tion order.
(a) A railroad that employs or for- [54 FR 42907, Oct. 18, 1989, as amended at 63
FR 11619, Mar. 10, 1998]
merly employed an individual serving
under a disqualification order shall in- § 209.337 Information collection.
form prospective or actual employers
of the terms and conditions of the The information collection require-
order upon receiving notice that the ments in § 209.331 of this part have been
disqualified employee is being consid- reviewed by the Office of Management
ered for employment with or is em- and Budget pursuant to the Paperwork
ployed by another railroad to perform Reduction Act of 1980, (44 U.S.C. 3501 et
any of the safety-sensitive functions seq.) and have been assigned OMB con-
described in § 209.303. trol number 2130–0529.
(b) A railroad that is considering hir- [56 FR 66791, Dec. 26, 1991]
ing an individual to perform the safety-
sensitive functions described in § 209.303
shall ascertain from the individual’s
Subpart E—Reporting of Remedial
previous employer, if such employer Actions
was a railroad, whether the individual
is subject to a disqualification order. SOURCE: 59 FR 43676, Aug. 24, 1994, unless
(c) An individual subject to a dis- otherwise noted.
qualification order shall inform his or
her employer of the order and provide a § 209.401 Purpose and scope.
copy thereof within 5 days after receipt (a) The purpose of this subpart is to
of the order. Such an individual shall prevent accidents and casualties aris-
likewise inform any prospective em- ing from the operation of a railroad
ployer who is considering hiring the in- that result from a railroad’s failure to
dividual to perform any of the safety- remedy certain violations of the Fed-
sensitive functions described in § 209.303 eral railroad safety laws for which as-
of the order and provide a copy thereof sessment of a civil penalty has been
within 5 days after receipt of the order recommended.
or upon application for the position, (b) To achieve this purpose, this sub-
whichever first occurs. part requires that if an FRA Safety In-
spector notifies a railroad both that as-
§ 209.333 Prohibitions. sessment of a civil penalty will be rec-
(a) An individual subject to a dis- ommended for its failure to comply
qualification order shall not work for with a provision of the Federal railroad
any railroad in any manner incon- safety laws and that a remedial actions
sistent with the order. report must be submitted, the railroad
(b) A railroad shall not employ any shall report to the FRA Safety Inspec-
individual subject to a disqualification tor, within 30 days after the end of the
order in any manner inconsistent with calendar month in which such notifica-
the order. tion is received, actions taken to rem-
edy that failure.
§ 209.335 Penalties. (c) This subpart does not relieve the
(a) Any individual who violates railroad of the underlying responsi-
§ 209.331(c) or § 209.333(a) may be perma- bility to comply with a provision of the
nently disqualified from performing Federal railroad safety laws. The 30-
the safety-sensitive functions described day period after the end of the calendar
in § 209.303. Any individual who will- month in which notification is received
34
is intended merely to provide the rail- plete the remedial actions report in the
road with an opportunity to prepare its manner prescribed on the report form.
report to FRA, and does not excuse The railroad shall select the one reme-
continued noncompliance. dial action code on the reporting form
(d) This subpart requires the submis- that most accurately reflects the ac-
sion of remedial actions reports for the tion or actions that it took to remedy
general categories of physical defects, the failure, such as, repair or replace-
recordkeeping and reporting viola- ment of a defective component without
tions, and filing violations, where the movement, movement of a locomotive
railroad can literally and specifically or car for repair (where permitted) and
correct a failure to comply with a pro- its subsequent repair, completion of a
vision of the Federal railroad safety required test or inspection, removal of
laws, as reasonably determined by the a noncomplying item from service but
FRA Safety Inspector. No railroad is not for repair (where permitted), reduc-
required to submit a report for a fail- tion of operating speed (where suffi-
ure involving either a completed or cient to achieve compliance), or any
past transaction or a transaction that combination of actions appropriate to
it can no longer remedy. remedy the noncompliance cited. Any
railroad selecting the remedial action
§ 209.403 Applicability. code ‘‘other remedial actions’’ shall
This subpart applies to any railroad also furnish FRA with a brief narrative
that receives written notification from description of the action or actions
an FRA Safety Inspector both (i) that taken.
assessment of a civil penalty will be (3) Submission of Form FRA F 6180.96.
recommended for its failure to comply The railroad shall return the form by
with a provision of the Federal railroad first class mail to the FRA Safety In-
safety laws and (ii) that it must submit spector whose name and address appear
a remedial actions report. on the form.
(b) Any railroad concluding that the
§ 209.405 Reporting of remedial ac- violation alleged on the inspection re-
tions. port may not have occurred may sub-
(a) Except as provided in § 209.407, mit the remedial actions report with
each railroad that has received written an appropriate written explanation.
notification on Form FRA F 6180.96 Failure to raise all pertinent defenses
from an FRA Safety Inspector both does not foreclose the railroad from
that assessment of a civil penalty will doing so in response to a penalty de-
be recommended for the railroad’s fail- mand.
ure to comply with a provision of the
Federal railroad safety laws and that it § 209.407 Delayed reports.
must submit a remedial actions report, (a) If a railroad cannot initiate or
shall report on this form all actions complete remedial actions within 30
that it takes to remedy that failure. days after the end of the calendar
The railroad shall submit the com- month in which the notification is re-
pleted form to the FRA Safety Inspec- ceived, it shall—
tor within 30 days after the end of the (1) Prepare, in writing, an expla-
calendar month in which the notifica- nation of the reasons for such delay
tion is received. and a good faith estimate of the date
(1) Date of receipt of notification. If the by which it will complete the remedial
FRA Safety Inspector provides written actions, stating the name and job title
notification to the railroad by first of the preparer and including either:
class mail, then for purposes of deter- (i) A photocopy of both sides of the
mining the calendar month in which Form FRA F 6180.96 on which the rail-
notification is received, the railroad road received notification; or
shall be presumed to have received the (ii) The following information:
notification five business days fol- (A) The inspection report number;
lowing the date of mailing. (B) The inspection date; and
(2) Completion of Form FRA F 6180.96, (C) The item number; and
including selection of railroad remedial (2) Sign, date, and submit such writ-
action code. Each railroad shall com- ten explanation and estimate, by first
35
§ 209.409 49 CFR Ch. II (10–1–07 Edition)
class mail, to the FRA Safety Inspec- statutes enacted prior to 1970 referred to col-
tor whose name and address appear on lectively herein as the ‘‘older safety stat-
the notification, within 30 days after utes’’: The Safety Appliance Acts, 45 U.S.C.
1–16; the Locomotive Inspection Act, 45
the end of the calendar month in which U.S.C. 22–34; the Accident Reports Act, 45
the notification is received. U.S.C. 38–43; the Hours of Service Act, 45
(b) Within 30 days after the end of the U.S.C. 61–64b; and the Signal Inspection Act,
calendar month in which all such reme- 49 App. U.S.C. 26. Regulations implementing
dial actions are completed, the railroad those statutes are found at 49 CFR parts 213
shall report in accordance with the re- through 236. The Rail Safety Improvement
medial action code procedures ref- Act of 1988 (Pub. L. No. 100–342, enacted June
22, 1988) (‘‘RSIA’’) raised the maximum civil
erenced in § 209.405(a). The additional penalties available under the railroad safety
time provided by this section for a rail- laws and made individuals liable for willful
road to submit a delayed report shall violations of those laws. FRA also enforces
not excuse it from liability for any the Hazardous Materials Transportation Act,
continuing violation of a provision of 49 App. U.S.C. 1801 et seq., as it pertains to
the Federal railroad safety laws. the shipment or transportation of hazardous
materials by rail.
§ 209.409 Penalties. THE CIVIL PENALTY PROCESS
Any person who violates any require- The front lines in the civil penalty process
ment of this subpart or causes the vio- are the FRA safety inspectors: FRA employs
lation of any such requirement is sub- over 300 inspectors, and their work is supple-
ject to a civil penalty of at least $500 mented by approximately 100 inspectors from
and not more than $11,000 per violation, states participating in enforcement of the
except that: Penalties may be assessed federal rail safety laws. These inspectors
against individuals only for willful vio- routinely inspect the equipment, track, and
signal systems and observe the operations of
lations, and, where a grossly negligent the nation’s railroads. They also investigate
violation or a pattern of repeated vio- hundreds of complaints filed annually by
lations has created an imminent haz- those alleging noncompliance with the laws.
ard of death or injury to persons, or When inspection or complaint investigation
has caused death or injury, a penalty reveals noncompliance with the laws, each
not to exceed $27,000 per violation may noncomplying condition or action is listed
be assessed. Each day a violation con- on an inspection report. Where the inspector
determines that the best method of pro-
tinues shall constitute a separate of- moting compliance is to assess a civil pen-
fense. A person may also be subject to alty, he or she prepares a violation report,
the criminal penalties provided for in which is essentially a recommendation to
49 U.S.C. 21311 (formerly codified in 45 the FRA Office of Chief Counsel to assess a
U.S.C. 438(e)) for knowingly and will- penalty based on the evidence provided in or
fully falsifying reports required by this with the report.
subpart. In determining which instances of non-
compliance merit penalty recommendations,
[59 FR 43676, Aug. 24, 1994, as amended at 63 the inspector considers:
FR 11619, Mar. 10, 1998; 69 FR 30592, May 28, (1) The inherent seriousness of the condi-
2004] tion or action;
(2) The kind and degree of potential safety
EFFECTIVE DATE NOTE: At 72 FR 51196, hazard the condition or action poses in light
Sept. 6, 2007, § 209.409 was amended by remov- of the immediate factual situation;
ing the numerical amount ‘‘$11,000’’ and add- (3) Any actual harm to persons or property
ing in its place the numerical amount already caused by the condition or action;
‘‘$16,000’’, effective October 9, 2007. (4) The offending person’s (i.e., railroad’s or
individual’s) general level of current compli-
APPENDIX A TO PART 209—STATEMENT ance as revealed by the inspection as a
OF AGENCY POLICY CONCERNING EN- whole;
FORCEMENT OF THE FEDERAL RAIL- (5) The person’s recent history of compli-
ROAD SAFETY LAWS ance with the relevant set of regulations, es-
pecially at the specific location or division
The Federal Railroad Administration of the railroad involved;
(‘‘fra’’) enforces the federal railroad safety (6) Whether a remedy other than a civil
statutes under delegation from the Secretary penalty (ranging from a warning on up to an
of Transportation. See 49 CFR 1.49 (c), (d), emergency order) is more appropriate under
(f), (g), and (m). Those statutes include the all of the facts; and
Federal Railroad Safety Act of 1970 (‘‘Safety (7) Such other factors as the immediate
Act’’), 45 U.S.C. 421 et seq., and a group of circumstances make relevant.
36
Federal Railroad Administration, DOT Pt. 209, App. A
The civil penalty recommendation is re- lowing the two sides to make their cases for
viewed at the regional level by a specialist in the relative merits of the various claims,
the subject matter involved, who requires these conferences also provide a forum for
correction of any technical flaws and deter- addressing current compliance problems.
mines whether the recommendation is con- Smaller railroads usually prefer to handle
sistent with national enforcement policy in negotiations through the mail or over the
similar circumstances. Guidance on that pol- telephone, often on a single case at a time.
icy in close cases is sometimes sought from Once the two sides have agreed to an amount
Office of Safety headquarters. Violation re- on each case, that agreement is put in writ-
ports that are technically and legally suffi- ing and a check is submitted to FRA’s ac-
cient and in accord with FRA policy are sent counting division covering the full amount
from the regional office to the Office of Chief agreed on.
Counsel. Cases brought under the Hazardous Mate-
The exercise of this discretion at the field rials Transportation Act, 49 App. U.S.C. 1801
and regional levels is a vital part of the en- et seq., are, due to certain statutory require-
forcement process, ensuring that the exact- ments, handled under more formal adminis-
ing and time-consuming civil penalty proc- trative procedures. See 49 CFR part 209, sub-
ess is used to address those situations most part B.
in need of the deterrent effect of penalties.
FRA exercises that discretion with regard to CIVIL PENALTIES AGAINST INDIVIDUALS
individual violators in the same manner it The RSIA amended the penalty provisions
does with respect to railroads. of the railroad safety statutes to make them
The Office of Chief Counsel’s Safety Divi- applicable to any ‘‘person (including a rail-
sion reviews each violation report it receives road and any manager, supervisor, official,
from the regional offices for legal sufficiency or other employee or agent of a railroad)’’
and assesses penalties based on those allega- who fails to comply with the regulations or
tions that survive that review. Historically, statutes. E.g., section 3 of the RSIA, amend-
the Division has returned to the regional of- ing section 209 of the Safety Act. However,
fices less than five percent of the reports the RSIA also provided that civil penalties
submitted in a given year, often with a re- may be assessed against individuals ‘‘only
quest for further work and resubmission. for willful violations.’’
Where the violation was committed by a Thus, any individual meeting the statu-
railroad, penalties are assessed by issuance tory description of ‘‘person’’ is liable for a
of a penalty demand letter that summarizes civil penalty for a willful violation of, or for
the claims, encloses the violation report willfully causing the violation of, the safety
with a copy of all evidence on which FRA is statutes or regulations. Of course, as has tra-
relying in making its initial charge, and ex- ditionally been the case with respect to acts
plains that the railroad may pay in full or of noncompliance by railroads, the FRA field
submit, orally or in writing, information inspector exercises discretion in deciding
concerning any defenses or mitigating fac- which situations call for a civil penalty as-
tors. The railroad safety statutes, in con- sessment as the best method of ensuring
junction with the Federal Claims Collection compliance. The inspector has a range of op-
Act, authorize FRA to adjust or compromise tions, including an informal warning, a more
the initial penalty claims based on a wide formal warning letter issued by the Safety
variety of mitigating factors. This system Division of the Office of Chief Counsel, rec-
permits the efficient collection of civil pen- ommendation of a civil penalty assessment,
alties in amounts that fit the actual offense recommendation of disqualification or sus-
without resort to time-consuming and expen- pension from safety-sensitive service, or,
sive litigation. Over its history, FRA has had under the most extreme circumstances, rec-
to request that the Attorney General bring ommendation of emergency action.
suit to collect a penalty on only a very few The threshold question in any alleged vio-
occasions. lation by an individual will be whether that
Once penalties have been assessed, the rail- violation was ‘‘willful.’’ (Note that section
road is given a reasonable amount of time to 3(a) of the RSIA, which authorizes suspen-
investigate the charges. Larger railroads sion or disqualification of a person whose
usually make their case before FRA in an in- violation of the safety laws has shown him
formal conference covering a number of case or her to be unfit for safety-sensitive service,
files that have been issued and investigated does not require a showing of willfulness.
since the previous conference. Thus, in terms Regulations implementing that provision are
of the negotiating time of both sides, econo- found at 49 CFR part 209, subpart D.) FRA
mies of scale are achieved that would be im- proposed this standard of liability when, in
possible if each case were negotiated sepa- 1987, it originally proposed a statutory revi-
rately. The settlement conferences, held ei- sion authorizing civil penalties against indi-
ther in Washington or another mutually viduals. FRA believed then that it would be
agreed on location, include technical experts too harsh a system to collect fines from indi-
from both FRA and the railroad as well as viduals on a strict liability basis, as the safe-
lawyers for both parties. In addition to alty statutes permit FRA to do with respect to
37
Pt. 209, App. A 49 CFR Ch. II (10–1–07 Edition)
railroads. FRA also believed that even a rea- knowledge of or reckless disregard for the
sonable care standard (e.g., the Hazardous law requiring such a test, he or she would be
Materials Transportation Act’s standard for subject to a civil penalty.
civil penalty liability, 49 U.S.C. 1809(a)) This definition of ‘‘willful’’ fits squarely
would subject individuals to civil penalties within the parameters for willful acts laid
in more situations than the record war- out by Congress in the RSIA and its legisla-
ranted. Instead, FRA wanted the authority tive history. Section 3(a) of the RSIA
to penalize those who violate the safety laws amends the Safety Act to provide:
through a purposeful act of free will. For purposes of this section, an individual
Thus, FRA considers a ‘‘willful’’ violation shall be deemed not to have committed a
to be one that is an intentional, voluntary willful violation where such individual has
act committed either with knowledge of the acted pursuant to the direct order of a rail-
relevant law or reckless disregard for wheth- road official or supervisor, under protest
er the act violated the requirements of the communicated to the supervisor. Such indi-
law. Accordingly, neither a showing of evil vidual shall have the right to document such
purpose (as is sometimes required in certain protest.
criminal cases) nor actual knowledge of the As FRA made clear when it recommended
law is necessary to prove a willful violation, legislation granting individual penalty au-
but a level of culpability higher than neg- thority, a railroad employee should not have
ligence must be demonstrated. See Trans to choose between liability for a civil pen-
World Airlines, Inc. v. Thurston, 469 U.S. 111 alty or insubordination charges by the rail-
(1985); Brock v. Morello Bros. Constr., Inc. 809 road. Where an employee (or even a super-
F.2d 161 (1st Cir. 1987); and Donovan v. Wil- visor) violates the law under a direct order
liams Enterprises, Inc., 744 F.2d 170 (D.C. Cir. from a supervisor, he or she does not do so of
1984). his or her free will. Thus, the act is not a
Reckless disregard for the requirements of voluntary one and, therefore, not willful
the law can be demonstrated in many ways. under FRA’s definition of the word. Instead,
Evidence that a person was trained on or the action of the person who has directly or-
made aware of the specific rule involved—or, dered the commission of the violation is
as is more likely, its corresponding industry itself a willful violation subjecting that per-
equivalent—would suffice. Moreover, certain son to a civil penalty. As one of the primary
requirements are so obviously fundamental sponsors of the RSIA said on the Senate
to safe railroading (e.g., the prohibition floor:
against disabling an automatic train control This amendment also seeks to clarify that
device) that any violation of them, regard- the purpose of imposing civil penalties
less of whether the person was actually against individuals is to deter those who, of
aware of the prohibition, should be seen as their free will, decide to violate the safety
reckless disregard of the law. See Brock, laws. The purpose is not to penalize those
supra, 809 F.2d 164. Thus, a lack of subjective who are ordered to commit violations by
knowledge of the law is no impediment to a those above them in the railroad chain of
finding of willfulness. If it were, a mere de- command. Rather, in such cases, the railroad
nial of the content of the particular regula-
official or supervisor who orders the others
tion would provide a defense. Having pro-
to violate the law would be liable for any
posed use of the word ‘‘willful,’’ FRA be-
violations his order caused to occur. One ex-
lieves it was not intended to insulate from li-
ample is the movement of railroad cars or lo-
ability those who simply claim—contrary to
comotives that are actually known to con-
the established facts of the case—they had
tain certain defective conditions. A train
no reason to believe their conduct was
crew member who was ordered to move such
wrongful.
equipment would not be liable for a civil
A willful violation entails knowledge of
penalty, and his participation in such move-
the facts constituting the violation, but ac-
ments could not be used against him in any
tual, subjective knowledge need not be dem-
disqualification proceeding brought by FRA.
onstrated. It will suffice to show objectively
what the alleged violator must have known 133 Cong. Rec. S.15899 (daily ed. Nov. 5, 1987)
of the facts based on reasonable inferences (remarks of Senator Exon).
drawn from the circumstances. For example, It should be noted that FRA will apply the
a person shown to have been responsible for same definition of ‘‘willful’’ to corporate
performing an initial terminal air brake test acts as is set out here with regard to indi-
that was not in fact performed would not be vidual violations. Although railroads are
able to defend against a charge of a willful strictly liable for violations of the railroad
violation simply by claiming subjective ig- safety laws and deemed to have knowledge of
norance of the fact that the test was not per- those laws, FRA’s penalty schedules contain,
formed. If the facts, taken as a whole, dem- for each regulation, a separate amount ear-
onstrated that the person was responsible for marked as the initial assessment for willful
doing the test and had no reason to believe violations. Where FRA seeks such an ex-
it was performed by others, and if that per- traordinary penalty from a railroad, it will
son was shown to have acted with actual apply the definition of ‘‘willful’’ set forth
38
above. In such cases—as in all civil penalty rector informs the individual in writing of
cases brought by FRA—the aggregate knowl- his or her intention to seek assessment of a
edge and actions of the railroad’s managers, civil penalty and the fact that a violation re-
supervisors, employees, and other agents will port has been transmitted to the Office of
be imputed to the railroad. Thus, in situa- Chief Counsel. This ensures that the indi-
tions that FRA decides warrant a civil pen- vidual has the opportunity to seek counsel,
alty based on a willful violation, FRA will preserve documents, or take any other nec-
have the option of citing the railroad and/or essary steps to aid his or her defense at the
one or more of the individuals involved. In earliest possible time.
cases against railroads other than those in Second, if the Office of Chief Counsel con-
which FRA alleges willfulness or in which a cludes that the case is meritorious and
particular regulation imposes a special issues a penalty demand letter, that letter
standard, the principles of strict liability makes clear that FRA encourages discus-
and presumed knowledge of the law will con- sion, through the mail, over the telephone or
tinue to apply. in person, of any defenses or mitigating fac-
The RSIA gives individuals the right to tors the individual may wish to raise. That
protest a direct order to violate the law and letter also advises the individual that he or
to document the protest. FRA will consider she may wish to obtain representation by an
such protests and supporting documentation attorney and/or labor representative. During
in deciding whether and against whom to the negotiation stage, FRA considers each
cite civil penalties in a particular situation. case individually on its merits and gives due
Where such a direct order has been shown to weight to whatever information the alleged
have been given as alleged, and where such a violator provides.
protest is shown to have been communicated Finally, in the unlikely event that a set-
to the supervisor, the person or persons com- tlement cannot be reached, FRA sends the
municating it will have demonstrated their individual a letter warning of its intention
lack of willfulness. Any documentation of to request that the Attorney General sue for
the protest will be considered along with all the initially proposed amount and giving the
other evidence in determining whether the person a sufficient interval (e.g., 30 days) to
alleged order to violate was in fact given. decide if that is the only alternative.
However, the absence of such a protest will FRA believes that the intent of Congress
not be viewed as warranting a presumption would be violated if individuals who agree to
of willfulness on the part of the employee pay a civil penalty or are ordered to do so by
who might have communicated it. The stat- a court are indemnified for that penalty by
ute says that a person who communicates the railroad or another institution (such as a
such a protest shall be deemed not to have labor organization). Congress intended that
acted willfully; it does not say that a person the penalties have a deterrent effect on indi-
who does not communicate such a protest vidual behavior that would be lessened, if
will be deemed to have acted willfully. FRA not eliminated, by such indemnification.
would have to prove from all the pertinent Although informal, face-to-face meetings
facts that the employee willfully violated are encouraged during the negotiation of a
the law. Moreover, the absence of a protest civil penalty charge, the RSIA does not re-
would not be dispositive with regard to the quire that FRA give individuals or railroads
willfulness of a supervisor who issued a di- the opportunity for a formal, trial-type ad-
rect order to violate the law. That is, the su- ministrative hearing as part of the civil pen-
pervisor who allegedly issued an order to vio- alty process. FRA does not provide that op-
late will not be able to rely on the employ- portunity because such administrative hear-
ee’s failure to protest the order as a com- ings would be likely to add significantly to
plete defense. Rather, the issue will be the costs an individual would have to bear in
whether, in view of all pertinent facts, the defense of a safety claim (and also to FRA’s
supervisor intentionally and voluntarily or- enforcement expenses) without shedding any
dered the employee to commit an act that more light on what resolution of the matter
the supervisor knew would violate the law or is fair than would the informal procedures
acted with reckless disregard for whether it set forth here. Of course, should an indi-
violated the law. vidual or railroad decide not to settle, that
FRA exercises the civil penalty authority person would be entitled to a trial de novo
over individuals through informal proce- when FRA, through the Attorney General,
dures very similar to those used with respect sued to collect the penalty in the appro-
to railroad violations. However, FRA varies priate United States district court.
those procedures somewhat to account for
differences that may exist between the rail- PENALTY SCHEDULES; ASSESSMENT OF
MAXIMUM PENALTIES
road’s ability to defend itself against a civil
penalty charge and an individual’s ability to As recommended by the Department of
do so. First, when the field inspector decides Transportation in its initial proposal for rail
that an individual’s actions warrant a civil safety legislative revisions in 1987, the RSIA
penalty recommendation and drafts a viola- raised the maximum civil penalties for viola-
tion report, the inspector or the regional ditions of the safety regulations. Under the
39
Hours of Service Act, the penalty was served for violation of any regulation where
changed from a flat $500 to a penalty of ‘‘up warranted by exceptional circumstances. S.
to $1,000, as the Secretary of Transportation Rep. No. 100–153, 10th Cong., 2d Sess. 8 (1987).
deems reasonable.’’ Under all the other stat- Accordingly, under each of the schedules
utes, the maximum penalty was raised from (ordinarily in a footnote), and regardless of
$2,500 to $10,000 per violation, except that the fact that a lesser amount might be
‘‘where a grossly negligent violation or pat- shown in both columns of the schedule, FRA
tern of repeated violations has created an reserves the right to assess the statutory
imminent hazard of death or injury to per- maximum penalty of up to $27,000 per viola-
sons, or has caused death or injury,’’ a pen- tion where a grossly negligent violation has
alty of up to $20,000 per violation may be as- created an imminent hazard of death or in-
sessed. jury. This authority to assess a penalty for a
The Rail Safety Enforcement and Review single violation above $11,000 and up to
Act of 1992 (RSERA) increased the maximum $27,000 is used only in very exceptional cases
penalty from $1,000 to $10,000 and in some to penalize egregious behavior. Where FRA
cases, $20,000 for a violation of the Hours of avails itself of this right to use the higher
Service Laws, making these penalty penalties in place of the schedule amount it
amounts uniform with those of FRA’s other so indicates in its penalty demand letter.
regulatory provisions. RSERA also increased
the minimum civil monetary penalty from THE EXTENT AND EXERCISE OF FRA’S SAFETY
$250 to $500 for all of FRA’s regulatory provi- JURISDICTION
sions. The Federal Civil Penalties Inflation
The Safety Act and, as amended by the
Adjustment Act of 1990, Public Law 101–410,
RSIA, the older safety statutes apply to
104 Stat. 890, note, as amended by Section
‘‘railroads.’’ Section 202(e) of the Safety Act
31001(s)(1) of the Debt Collection Improve-
defines railroad as follows:
ment Act of 1996 Public Law 104–134, 110 Stat.
The term ‘‘railroad’’ as used in this title
1321–373, April 26, 1996 required that agencies
means all forms of non-highway ground
adjust by regulation each maximum civil
transportation that run on rails or electro-
monetary penalty within the agency’s juris-
magnetic guideways, including (1) commuter
diction for inflation and make subsequent
or other short-haul rail passenger service in
adjustments once every four years after the
initial adjustment. Accordingly, FRA’s max- a metropolitan or suburban area, as well as
imum civil monetary penalties have been ad- any commuter rail service which was oper-
justed. ated by the Consolidated Rail Corporation as
FRA’s traditional practice has been to of January 1, 1979, and (2) high speed ground
issue penalty schedules assigning to each transportation systems that connect metro-
particular regulation specific dollar amounts politan areas, without regard to whether
for initial penalty assessments. The schedule they use new technologies not associated
(except where issued after notice and an op- with traditional railroads. Such term does
portunity for comment) constitutes a state- not include rapid transit operations within
ment of agency policy, and is ordinarily an urban area that are not connected to the
issued as an appendix to the relevant part of general railroad system of transportation.
the Code of Federal Regulations. For each Prior to 1988, the older safety statutes had
regulation, the schedule shows two amounts applied only to common carriers engaged in
within the $550 to $11,000 range in separate interstate or foreign commerce by rail. The
columns, the first for ordinary violations, Safety Act, by contrast, was intended to
the second for willful violations (whether reach as far as the Commerce Clause of the
committed by railroads or individuals). In Constitution (i.e., to all railroads that affect
one instance—part 231—the schedule refers interstate commerce) rather than be limited
to sections of the relevant FRA defect code to common carriers actually engaged in
rather than to sections of the CFR text. Of interstate commerce. In reporting out the
course, the defect code, which is simply a re- bill that became the 1970 Safety Act, the
organized version of the CFR text used by House Committee on Interstate and Foreign
FRA to facilitate computerization of inspec- Commerce stated:
tion data, is substantively identical to the The Secretary’s authority to regulate ex-
CFR text. tends to all areas of railroad safety. This leg-
The schedule amounts are meant to pro- islation is intended to encompass all those
vide guidance as to FRA’s policy in predict- means of rail transportation as are com-
able situations, not to bind FRA from using monly included within the term. Thus,
the full range of penalty authority where ex- ‘‘railroad’’ is not limited to the confines of
traordinary circumstances warrant. The ‘‘common carrier by railroad’’ as that lan-
Senate report on the bill that became the guage is defined in the Interstate Commerce
RSIA stated: Act.
It is expected that the Secretary would act H.R. Rep. No. 91–1194, 91st Cong., 2d Sess. at
expeditiously to set penalty levels commen- 16 (1970).
surate with the severity of the violations, FRA’s jurisdiction was bifurcated until, in
with imposition of the maximum penalty re- 1988, the RSIA amended the older safety
40
statutes to make them coextensive with the the Alaska Railroad is not physically con-
Safety Act by making them applicable to nected to the rest of the general system but
railroads and incorporating the Safety Act’s is part of it. The Alaska Railroad exchanges
definition of the term (e.g., 45 U.S.C. 16, as freight cars with other railroads by car float
amended). The RSIA also made clear that and exchanges passengers with interstate
FRA’s safety jurisdiction is not confined to carriers as part of the general flow of inter-
entities using traditional railroad tech- state commerce. Similarly, an intercity high
nology. The new definition of ‘‘railroad’’ em- speed rail system with its own right of way
phasized that all non-highway high speed would be part of the general system although
ground transportation systems—regardless not physically connected to it. The presence
of technology used—would be considered on a rail line of any of these types of railroad
railroads. operations is a sure indication that such
Thus, with the exception of self-contained
trackage is part of the general system: the
urban rapid transit systems, FRA’s statu-
movement of freight cars in trains outside
tory jurisdiction extends to all entities that
the confines of an industrial installation, the
can be construed as railroads by virtue of
their providing non-highway ground trans- movement of intercity passenger trains, or
portation over rails or electromagnetic the movement of commuter trains within a
guideways, and will extend to future rail- metropolitan or suburban area. Urban rapid
roads using other technologies not yet in transit operations are ordinarily not part of
use. For policy reasons, however, FRA does the general system, but may have sufficient
not exercise jurisdiction under all of its reg- connections to that system to warrant exer-
ulations to the full extent permitted by stat- cise of FRA’s jurisdiction (see discussion of
ute. Based on its knowledge of where the passenger operations, below). Tourist rail-
safety problems were occurring at the time road operations are not inherently part of
of its regulatory action and its assessment of the general system and, unless operated over
the practical limitations on its role, FRA the lines of that system, are subject to few of
has, in each regulatory context, decided that FRA’s regulations.
the best option was to regulate something The boundaries of the general system are
less than the total universe of railroads. not static. For example, a portion of the sys-
For example, all of FRA’s regulations ex- tem may be purchased for the exclusive use
clude from their reach railroads whose entire of a single private entity and all connec-
operations are confined to an industrial in- tions, save perhaps a switch for receiving
stallation (i.e., ‘‘plant railroads’’), such as shipments, severed. Depending on the nature
those in steel mills that do not go beyond of the operations, this could remove that
the plant’s boundaries. E.g., 49 CFR portion from the general system. The system
225.3(a)(1) (accident reporting regulations). may also grow, as with the establishment of
Some rules exclude passenger operations intercity service on a brand new line. How-
that are not part of the general railroad sys-
ever, the same trackage cannot be both in-
tem (such as some tourist railroads) only if
side and outside of the general system de-
they meet the definition of ‘‘insular.’’ E.g.,
pending upon the time of day. If trackage is
49 CFR 225.3(a)(3) (accident reporting) and
part of the general system, restricting a cer-
234.3(c) (grade crossing signal safety). Other
tain type of traffic over that trackage to a
regulations exclude not only plant railroads
but all other railroads that are not operated particular portion of the day does not change
as a part of, or over the lines of, the general the nature of the line—it remains the gen-
railroad system of transportation. E.g., 49 eral system.
CFR 214.3 (railroad workplace safety). Of course, even where a railroad operates
By ‘‘general railroad system of transpor- outside the general system, other railroads
tation,’’ FRA refers to the network of stand- that are definitely part of that system may
ard gage track over which goods may be have occasion to enter the first railroad’s
transported throughout the nation and pas- property (e.g., a major railroad goes into a
sengers may travel between cities and within chemical or auto plant to pick up or set out
metropolitan and suburban areas. Much of cars). In such cases, the railroad that is part
this network is interconnected, so that a rail of the general system remains part of that
vehicle can travel across the nation without system while inside the installation; thus,
leaving the system. However, mere physical all of its activities are covered by FRA’s reg-
connection to the system does not bring ulations during that period. The plant rail-
trackage within it. For example, trackage road itself, however, does not get swept into
within an industrial installation that is con- the general system by virtue of the other
nected to the network only by a switch for railroad’s activity, except to the extent it is
the receipt of shipments over the system is liable, as the track owner, for the condition
not a part of the system. of its track over which the other railroad op-
Moreover, portions of the network may erates during its incursion into the plant. Of
lack a physical connection but still be part course, in the opposite situation, where the
of the system by virtue of the nature of oper- plant railroad itself operates beyond the
ations that take place there. For example, plant boundaries on the general system, it
41
becomes a railroad with respect to those par- excepts such operations (e.g., the passenger
ticular operations, during which its equip- equipment safety standards contain an ex-
ment, crew, and practices would be subject ception for these operations, 49 CFR
to FRA’s regulations. 238.3(c)(3), even if conducted on the general
In some cases, the plant railroad leases system). When a tourist operation is con-
track immediately adjacent to its plant from ducted only on track used exclusively for
the general system railroad. Assuming such that purpose it is not part of the general sys-
a lease provides for, and actual practice en-
tem. The fact that a tourist operation has a
tails, the exclusive use of that trackage by
switch that connects it to the general sys-
the plant railroad and the general system
railroad for purposes of moving only cars tem does not make the tourist operation
shipped to or from the plant, the lease would part of the general system if the tourist
remove the plant railroad’s operations on trains do not enter the general system and
that trackage from the general system for the general system railroad does not use the
purposes of FRA’s regulations, as it would tourist operation’s trackage for any purpose
make that trackage part and parcel of the other than delivering or picking up ship-
industrial installation. (As explained above, ments to or from the tourist operation itself.
however, the track itself would have to meet If a tourist operation off the general sys-
FRA’s standards if a general system railroad tem is insular, FRA does not exercise juris-
operated over it. See 49 CFR 213.5 for the diction over it, and none of FRA’s rules
rules on how an owner of track may assign apply. If, however, such an operation is not
responsibility for it.) A lease or practice that insular, FRA exercises jurisdiction over the
permitted other types of movements by gen- operation, and some of FRA’s rules (i.e.,
eral system railroads on that trackage
those that specifically apply beyond the gen-
would, of course, bring it back into the gen-
eral system to such operations) will apply.
eral system, as would operations by the
plant railroad indicating it was moving cars For example, FRA’s rules on accident report-
on such trackage for other than its own pur- ing, steam locomotives, and grade crossing
poses (e.g., moving cars to neighboring indus- signals apply to these non-insular tourist op-
tries for hire). erations (see 49 CFR 225.3, 230.2 amd 234.3), as
FRA exercises jurisdiction over tourist, do all of FRA’s procedural rules (49 CFR
scenic, and excursion railroad operations parts 209, 211, and 216) and the Federal rail-
whether or not they are conducted on the road safety statutes themselves.
general railroad system. There are two ex- In drafting safety rules, FRA has a specific
ceptions: (1) operations of less than 24-inch obligation to consider financial, operational,
gage (which, historically, have never been or other factors that may be unique to tour-
considered railroads under the Federal rail- ist operations. 49 U.S.C. 20103(f). Accord-
road safety laws); and (2) operations that are ingly, FRA is careful to consider those fac-
off the general system and ‘‘insular’’ (defined tors in determining whether any particular
below). rule will apply to tourist operations. There-
Insularity is an issue only with regard to
fore, although FRA asserts jurisdiction quite
tourist operations over trackage outside of
broadly over these operations, we work to
the general system used exclusively for such
operations. FRA considers a tourist oper- ensure that the rules we issue are appro-
ation to be insular if its operations are lim- priate to their somewhat special cir-
ited to a separate enclave in such a way that cumstances.
there is no reasonable expectation that the It is important to note that FRA’s exercise
safety of any member of the public’except a of its regulatory authority on a given matter
business guest, a licensee of the tourist oper- does not preclude it from subsequently
ation or an affiliated entity, or a amending its regulations on that subject to
trespasser’would be affected by the oper- bring in railroads originally excluded. More
ation. A tourist operation will not be consid- important, the self-imposed restrictions on
ered insular if one or more of the following FRA’s exercise of regulatory authority in no
exists on its line: way constrain its exercise of emergency
•A public highway-rail crossing that is in order authority under section 203 of the Safe-
use; ty Act. That authority was designed to deal
•An at-grade rail crossing that is in use; with imminent hazards not dealt with by ex-
•A bridge over a public road or waters used isting regulations and/or so dangerous as to
for commercial navigation; or
require immediate, ex parte action on the
•A common corridor with a railroad, i.e.,
government’s part. Thus, a railroad excluded
its operations are within 30 feet of those of
any railroad. from the reach of any of FRA’s regulations is
When tourist operations are conducted on fully within the reach of FRA’s emergency
the general system, FRA exercises jurisdic- order authority, which is coextensive with
tion over them, and all of FRA’s pertinent FRA’s statutory jurisdiction over all rail-
regulations apply to those operations unless roads.
a waiver is granted or a rule specifically
42
FRA’S POLICY ON JURISDICTION OVER •The system serves an urban area, its sub-
PASSENGER OPERATIONS urbs, and more distant outlying commu-
Under the Federal railroad safety laws, nities in the greater metropolitan area,
FRA has jurisdiction over all railroads ex- •The system’s primary function is moving
cept ‘‘rapid transit operations in an urban passengers back and forth between their
area that are not connected to the general places of employment in the city and their
railroad system of transportation.’’ 49 U.S.C. homes within the greater metropolitan area,
20102. Within the limits imposed by this au- and moving passengers from station to sta-
thority, FRA exercises jurisdiction over all tion within the immediate urban area is, at
railroad passenger operations, regardless of most, an incidental function, and
the equipment they use, unless FRA has spe- •The vast bulk of the system’s trains are
cifically stated below an exception to its ex- operated in the morning and evening peak
ercise of jurisdiction for a particular type of periods with few trains at other hours.
operation. This policy is stated in general Examples of commuter railroads include
terms and does not change the reach of any Metra and the Northern Indiana Commuter
particular regulation under its applicability Transportation District in the Chicago area;
section. That is, while FRA may generally Virginia Railway Express and MARC in the
assert jurisdiction over a type of operation Washington area; and Metro-North, the Long
here, a particular regulation may exclude Island Railroad, New Jersey Transit, and the
that kind of operation from its reach. There-
Port Authority Trans Hudson (PATH) in the
fore, this statement should be read in con-
New York area.
junction with the applicability sections of
all of FRA’s regulations. OTHER SHORT HAUL PASSENGER SERVICE
INTERCITY PASSENGER OPERATIONS The federal railroad safety statutes give
FRA exercises jurisdiction over all inter- FRA authority over ‘‘commuter or other
city passenger operations. Because of the na- short-haul railroad passenger service in a
ture of the service they provide, standard metropolitan or suburban area.’’ 49 U.S.C.
gage intercity operations are all considered 20102. This means that, in addition to com-
part of the general railroad system, even if muter service, there are other short-haul
not physically connected to other portions of types of service that Congress intended that
the system. Other intercity passenger oper- FRA reach. For example, a passenger system
ations that are not standard gage (such as a designed primarily to move intercity trav-
magnetic levitation system) are within elers from a downtown area to an airport, or
FRA’s jurisdiction even though not part of from an airport to a resort area, would be
the general system. one that does not have the transportation of
commuters within a metropolitan area as its
COMMUTER OPERATIONS
primary purpose. FRA would ordinarily exer-
FRA exercises jurisdiction over all com- cise jurisdiction over such a system as
muter operations. Congress apparently in- ‘‘other short-haul service’’ unless it meets
tended that FRA do so when it enacted the the definition of urban rapid transit and is
Federal Railroad Safety Act of 1970, and not connected in a significant way to the
made that intention very clear in the 1982 general system.
and 1988 amendments to that act. FRA has
attempted to follow that mandate consist- URBAN RAPID TRANSIT OPERATIONS
ently. A commuter system’s connection to
other railroads is not relevant under the rail One type of short-haul passenger service
safety statutes. In fact, FRA considers com- requires special treatment under the safety
muter railroads to be part of the general statutes: ‘‘rapid transit operations in an
railroad system regardless of such connec- urban area.’’ Only these operations are ex-
tions. cluded from FRA’s jurisdiction, and only if
FRA will presume that an operation is a they are ‘‘not connected to the general rail-
commuter railroad if there is a statutory de- road system.’’ FRA will presume that an op-
termination that Congress considers a par- eration is an urban rapid transit operation if
ticular service to be commuter rail. For ex- the system is not presumptively a commuter
ample, in the Northeast Rail Service Act of railroad (see discussion above) the operation
1981, 45 U.S.C. 1104(3), Congress listed specific is a subway or elevated operation with its
commuter authorities. If that presumption own track system on which no other railroad
does not apply, and the operation does not may operate, has no highway-rail crossings
meet the description of a system that is pre- at grade, operates within an urban area, and
sumptively urban rapid transit (see below), moves passengers from station to station
FRA will determine whether a system is within the urban area as one of its major
commuter or urban rapid transit by ana- functions.
lyzing all of the system’s pertinent facts. Where neither the commuter railroad nor
FRA is likely to consider an operation to be urban rapid transit presumptions applies,
a commuter railroad if: FRA will look at all of the facts pertinent to
43
a particular operation to determine its prop- for waiver of certain of FRA’s rules (see 49
er characterization. FRA is likely to con- CFR part 211), it does not mean that FRA
sider an operation to be urban rapid transit will not exercise jurisdiction. However, FRA
if: will exercise jurisdiction over only the por-
•The operation serves an urban area (and tions of the rapid transit operation that are
may also serve its suburbs), conducted on the general system. For exam-
•Moving passengers from station to station ple, a rapid transit line that operates over
within the urban boundaries is a major func- the general system for a portion of its length
tion of the system and there are multiple but has significant portions of street railway
station stops within the city for that purpose
that are not used by conventional railroads
(such an operation could still have the trans-
would be subject to FRA’s rules only with re-
portation of commuters as one of its major
functions without being considered a com- spect to the general system portion. The re-
muter railroad), and maining portions would not be subject to
•The system provides frequent train serv- FRA’s rules. If the non-general system por-
ice even outside the morning and evening tions of the rapid transit line are considered
peak periods. a ‘‘rail fixed guideway system’’ under 49 CFR
Examples of urban rapid transit systems Part 659, those rules, issued by the Federal
include the Metro in the Washington, D.C. Transit Administration (FTA), would apply
area, CTA in Chicago, and the subway sys- to them.
tems in New York, Boston, and Philadelphia. Another connection to the general system
The type of equipment used by such a system sufficient to warrant FRA’s exercise of juris-
is not determinative of its status. However, diction is a railroad crossing at grade where
the kinds of vehicles ordinarily associated the rapid transit operation and other rail-
with street railways, trolleys, subways, and road cross each other’s tracks. In this situa-
elevated railways are the types of vehicles tion, FRA will exercise its jurisdiction suffi-
most often used for urban rapid transit oper- ciently to assure safe operations over the at-
ations. grade railroad crossing. FRA will also exer-
FRA can exercise jurisdiction over a rapid
cise jurisdiction to a limited extent over a
transit operation only if it is connected to
rapid transit operation that, while not oper-
the general railroad system, but need not ex-
ercise jurisdiction over every such operation ated on the same tracks as the conventional
that is so connected. FRA is aware of several railroad, is connected to the general system
different ways that rapid transit operations by virtue of operating in a shared right-of-
can be connected to the general system. Our way involving joint control of trains. For ex-
policy on the exercise of jurisdiction will de- ample, if a rapid transit line and freight rail-
pend upon the nature of the connection(s). In road were to operate over a movable bridge
general, a connection that involves oper- and were subject to the same authority con-
ation of transit equipment as a part of, or cerning its use (e.g., the same tower operator
over the lines of, the general system will controls trains of both operations), FRA will
trigger FRA’s exercise of jurisdiction. Below, exercise jurisdiction in a manner sufficient
we review some of the more common types of to ensure safety at this point of connection.
connections and their effect on the agency’s Also, where transit operations share high-
exercise of jurisdiction. This is not meant to way-rail grade crossings with conventional
be an exhaustive list of connections. railroads, FRA expects both systems to ob-
serve its signal rules. For example, FRA ex-
RAPID TRANSIT CONNECTIONS SUFFICIENT TO pects both railroads to observe the provision
TRIGGER FRA’S EXERCISE OF JURISDICTION
of its rule on grade crossing signals that re-
Certain types of connections to the general quires prompt reports of warning system
railroad system will cause FRA to exercise malfunctions. See 49 CFR part 234. FRA be-
jurisdiction over the rapid transit line to the lieves these connections present sufficient
extent it is connected. FRA will exercise juris- intermingling of the rapid transit and gen-
diction over the portion of a rapid transit op- eral system operations to pose significant
eration that is conducted as a part of or over hazards to one or both operations and, in the
the lines of the general system. For example, case of highway-rail grade crossings, to the
rapid transit operations are conducted on motoring public. The safety of highway users
the lines of the general system where the of highway-rail grade crossings can best be
rapid transit operation and other railroad protected if they get the same signals con-
use the same track. FRA will exercise its ju- cerning the presence of any rail vehicles at
risdiction over the operations conducted on the crossing and if they can react the same
the general system. In situations involving
way to all rail vehicles.
joint use of the same track, it does not mat-
ter that the rapid transit operation occupies RAPID TRANSIT CONNECTIONS NOT SUFFICIENT
the track only at times when the freight, TO TRIGGER FRA’S EXERCISE OF JURISDICTION
commuter, or intercity passenger railroad
that shares the track is not operating. While Although FRA could exercise jurisdiction
such time separation could provide the basis over a rapid transit operation based on any
44
connection it has to the general railroad sys- granting or denying any such waiver, FRA
tem, FRA believes there are certain connec- will make clear whether its rules do not
tions that are too minimal to warrant the apply to any segments of the operation so
exercise of its jurisdiction. For example, a that it is clear where FTA’s rules do apply.
rapid transit system that has a switch for re-
ceiving shipments from the general system EXTRAORDINARY REMEDIES
railroad is not one over which FRA would as-
sert jurisdiction. This assumes that the While civil penalties are the primary en-
switch is used only for that purpose. In that forcement tool under the federal railroad
case, any entry onto the rapid transit line by safety laws, more extreme measures are
the freight railroad would be for a very short available under certain circumstances. FRA
distance and solely for the purpose of drop- has authority to issue orders directing com-
ping off or picking up cars. In this situation, pliance with the Federal Railroad Safety
the rapid transit line is in the same situa- Act, the Hazardous Materials Transportation
tion as any shipper or consignee; without Act, the older safety statutes, or regulations
this sort of connection, it cannot receive or issued under any of those statutes. See 45
offer goods by rail. U.S.C. 437(a) and (d), and 49 App. U.S.C.
Mere use of a common right-of-way or cor- 1808(a). Such an order may issue only after
ridor in which the conventional railroad and notice and opportunity for a hearing in ac-
rapid transit operation do not share any cordance with the procedures set forth in 49
means of train control, have a rail crossing CFR part 209, subpart C. FRA inspectors also
at grade, or operate over the same highway- have the authority to issue a special notice
rail grade crossings would not trigger FRA’s requiring repairs where a locomotive or
exercise of jurisdiction. In this context, the freight car is unsafe for further service or
presence of intrusion detection devices to where a segment of track does not meet the
alert one or both carriers to incursions by standards for the class at which the track is
the other one would not be considered a
being operated. Such a special notice may be
means of common train control. These com-
appealed to the regional director and the
mon rights of way are often designed so that
FRA Administrator. See 49 CFR part 216, sub-
the two systems function completely inde-
pendently of each other. FRA and FTA will part B.
coordinate with rapid transit agencies and FRA may, through the Attorney General,
railroads wherever there are concerns about also seek injunctive relief in federal district
sufficient intrusion detection and related court to restrain violations or enforce rules
safety measures designed to avoid a collision issued under the railroad safety laws. See 45
between rapid transit trains and conven- U.S.C. 439 and 49 App. U.S.C. 1810.
tional equipment. FRA also has the authority to issue, after
Where these very minimal connections notice and an opportunity for a hearing, an
exist, FRA will not exercise jurisdiction un- order prohibiting an individual from per-
less and until an emergency situation arises forming safety-sensitive functions in the rail
involving such a connection, which is a very industry for a specified period. This disquali-
unlikely event. However, if such a system is fication authority is exercised under proce-
properly considered a rail fixed guideway dures found at 49 CFR part 209, subpart D.
system, FTA’s rules (49 CFR part 659) will Criminal penalties are available for know-
apply to it. ing violations of 49 U.S.C. 5104(b), or for will-
COORDINATION OF THE FRA AND FTA ful or reckless violations of the Federal haz-
PROGRAMS ardous materials transportation law or a
regulation issued under that law. See 49
FTA’s rules on rail fixed guideway systems U.S.C. Chapter 51, and 49 CFR 209.131, 133.
(49 CFR part 659) apply to any rapid transit The Accident Reports Act, 45 U.S.C. 39, also
systems or portions thereof not subject to contains criminal penalties.
FRA’s rules. On rapid transit systems that
Perhaps FRA’s most sweeping enforcement
are not sufficiently connected to the general
tool is its authority to issue emergency safe-
railroad system to warrant FRA’s exercise of
ty orders ‘‘where an unsafe condition or
jurisdiction (as explained above), FTA’s
practice, or a combination of unsafe condi-
rules will apply exclusively. On those rapid
transit systems that are connected to the tions or practices, or both, create an emer-
general system in such a way as warrant ex- gency situation involving a hazard of death
ercise of FRA’s jurisdiction, only those por- or injury to persons * * *’’ 45 U.S.C. 432(a).
tions of the rapid transit system that are After its issuance, such an order may be re-
connected to the general system will gen- viewed in a trial-type hearing. See 49 CFR
erally be subject to FRA’s rules. 211.47 and 216.21 through 216.27. The emer-
A rapid transit railroad may apply to FRA gency order authority is unique because it
for a waiver of any FRA regulations. See 49 can be used to address unsafe conditions and
CFR part 211. FRA will seek FTA’s views practices whether or not they contravene an
whenever a rapid transit operation petitions existing regulatory or statutory require-
FRA for a waiver of its safety rules. In ment. Given its extraordinary nature, FRA
45
Pt. 209, App. B 49 CFR Ch. II (10–1–07 Edition)
has used the emergency order authority ordinarily cited as separate violations; they
sparingly. are primarily used as explanatory citations
to demonstrate applicability of a more spe-
[53 FR 52920, Dec. 29, 1988, as amended at 63
cific section where applicability is otherwise
FR 11619, Mar. 10, 1998; 64 FR 62864, Nov. 17,
unclear.
1999; 65 FR 42544, July 10, 2000; 69 FR 30592,
May 28, 2004; 71 FR 77295, Dec. 26, 2006] FRA believes that infractions of the regu-
lations that lead to personal injury are espe-
EFFECTIVE DATE NOTE: At 72 FR 51196, cially serious; this is directly in line with
Sept. 6, 2007, appendix A to part 209 was Department of Transportation policy that
amended by removing the numerical amount hazardous materials are only safe for trans-
‘‘$11,000’’ in the third paragraph below the portation when they are securely sealed in a
heading ‘‘Penalty Schedules; Assessment of proper package. (Some few containers, such
Maximum Penalties,’’ and adding in its place as tank cars of carbon dioxide, are designed
the numerical amount ‘‘$16,000’’, effective to vent off excess internal pressure. They are
October 9, 2007. exceptions to the ‘‘securely sealed’’ rule.)
‘‘Personal injury’’ has become somewhat of a
APPENDIX B TO PART 209—FEDERAL term of art, especially in the fields of occu-
RAILROAD ADMINISTRATION GUIDE- pational safety and of accident reporting. To
LINES FOR INITIAL HAZARDOUS MA- avoid confusion, these penalty guidelines use
TERIALS ASSESSMENTS the notion of ‘‘human contact’’ to trigger
penalty aggravation. In essence, any contact
These guidelines establish benchmarks to by a hazardous material on a person during
be used in determining initial civil penalty transportation is a per se injury and proof
assessments for violations of the Hazardous will not be required regarding the extent of
Materials Regulations (HMR). The guideline the physical contact or its consequences.
penalty amounts reflect the best judgment of When a violation of the Federal hazardous
the FRA Office of Safety Assurance and materials transportation law, an order
Compliance (RRS) and of the Safety Law Di- issued thereunder, the Hazardous Materials
vision of the Office of Chief Counsel (RCC) on Regulations or a special permit, approval, or
the relative severity of the various viola- order issued under those regulations results
tions routinely encountered by FRA inspec- in death, serious illness or severe injury to
tors on a scale of $250 to $50,000, except the any person, or substantial destruction of
maximum civil penalty is $100,000 if the vio- property, a maximum penalty of at least
lation results in death, serious illness or se- $50,000 and up to and including $100,000 shall
vere injury to any person, or substantial de- always be assessed initially.
struction of property, and a minimum $450 These guidelines are a preliminary assess-
penalty applies to a violation related to ment tool for FRA’s use. They create no
training. (49 U.S.C. 5123) Unless otherwise rights in any party. FRA is free to vary from
specified, the guideline amounts refer to av- them when it deems appropriate and may
erage violations, that is, violations involving amend them from time to time without prior
a hazardous material with a medium level of notice. Moreover, FRA is not bound by any
hazard, and a violator with an average com- amount it initially proposes should litiga-
pliance history. In an ‘‘average violation,’’ tion become necessary. In fact, FRA reserves
the respondent has committed the acts due the express authority to amend the NOPV to
to a failure to exercise reasonable care under seek a penalty of up to $50,000 for each viola-
the circumstances (‘‘knowingly’’). For some tion, and up to $100,000 for any violation re-
sections, the guidelines contain a breakdown sulting in death, serious illness or severe in-
according to relative severity of the viola- jury to any person, or substantial destruc-
tion, for example, the guidelines for shipping tion of property, at any time prior to
paper violations at 49 CFR §§ 172.200–.203. All issuance of an order. FRA periodically
penalties in these guidelines are subject to makes minor updates and revisions to these
change depending upon the circumstances of guidelines, and the most current version
the particular case. The general duty sec- may be found on FRA’s Web site at http://
tions, for example §§ 173.1 and 174.7, are not www.fra.dot.gov.
CIVIL PENALTY ASSESSMENT GUIDELINES
[As of December 26, 2006]
Emergency Guideline
orders amount1
EO16 ......................... Penalties for violations of EO16 vary depending on the circumstances ............................. Varies.
Failure to file annual report .................................................................................................. $5,000.
46
Federal Railroad Administration, DOT Pt. 209, App. B
CIVIL PENALTY ASSESSMENT GUIDELINES—Continued

[As of December 26, 2006]
Emergency Guideline
orders amount1
1 Any person who violates an emergency order issued under the authority of 49 U.S.C. Ch. 201 is subject to a civil penalty of
at least $500 and not more than $11,000 per violation, except that where a grossly negligent violation or a pattern of repeated
violations has created an imminent hazard of death or injury to persons, or has caused a death or injury, a penalty not to exceed
$27,000 per violation may be assessed. Each day that the violation continues is a separate offense. 49 U.S.C. 21301; 28 U.S.C.
2461, note.
49 CFR section Description Guideline amount 2
PART 107—HAZARDOUS MATERIALS PROGRAM PROCEDURES
107.608 .............................................. Failure to register or to renew registration. (Note: 1,500.

registration—or renewal—is mitigation.).
107.620(d) .......................................... Failure to show records on proper request .......... 2,000.
Deliberate attempt to hide records-considerable Varies.
aggravation possible.
PART 171—GENERAL REGULATIONS
171.2(a), (b), (c), (e), (f) ..................... General duty sections—may be cited in support
of another, more specific citation to the actual
regulatory section violated.
171.2(d) .............................................. Offering or accepting a hazardous material 1,500.
(hazmat or HM) without being registered.
171.2(g) .............................................. Representing (marking, certifying, selling, or of- 8,000.
fering) a packaging as meeting regulatory
specification when it does not.
171.2(i) ............................................... Certifying that a hazardous material is offered for 5,000.
transportation in commerce in accordance with
the regulations (packaged, marked, labeled,
etc.) when it is not. A more specific citation to
the actual underlying regulation violated
should be used instead of this section, or ac-
companying this section, if possible.
171.2(j) ............................................... Representing (by marking or otherwise) that a 8,000.
container or package for transportation of a
hazardous material is safe, certified, or in
compliance with the regulations when it is not.
171.2(k) .............................................. Representing, marking, etc. for the presence of 2,000.
HM when no HM is present. (Mitigation re-
quired for shipments smaller than a carload,
e.g., single drum penalty is $1,000.)
171.2(l) ............................................... Tampering with (altering, removing, defacing, or Varies—considerable aggravation
destroying) any marking, label, placard, or de- possible.
scription on a document required by hazmat
law or regulations; unlawfully tampering with a
package, container, motor vehicle, rail car, air-
craft, or vessel used for the transportation of
hazardous materials.
171.2(m) ............................................. Falsifying or altering an exemption, approval, Varies—considerable aggravation
registration, or other grant of authority issued possible.
under hazmat regulations. Offering or trans-
porting a hazmat under an altered exemption,
approval, registration, or other grant of author-
ity without the consent of the issuing authority.
Representing, marking, certifying, or selling a
packaging or container under an altered ex-
emption, approval, registration, or other grant
of authority.
171.12 ................................................ Import shipments—Importer not providing ship- 4,000.
per and forwarding agent with U.S. require-
ments. Cannot be based on inference.
Import shipments—Failure to certify by shipper 2,000.
or forwarding agent.
171.15 ................................................ Failure to provide immediate notice of certain 6,000.
hazardous materials incidents.
171.16 ................................................ Failure to file incident report (form DOT 5800.1). 4,000.
(Multiple failures will aggravate the penalty.).
47
PART 172—SHIPPING PAPERS
172.200–.203 ...................................... Offering hazardous materials for transportation when the material is not properly de-
scribed on the shipping paper as required by §§ 172.200—.203. (The ‘‘shipping paper’’
is the document tendered by the shipper/offeror to the carrier. The original shipping
paper contains the shipper’s certification at § 172.204.) Considerable aggravation of
penalties under these sections is possible, particularly in case involving undeclared
hazmat.
—Undeclared shipment: offering a hazardous 15,000.

material without shipping papers, package
markings, labels, or placards (see also
§§ 172.300, 172.400, 172.500 for specific re-
quirements).
—Information on the shipping paper is wrong to 15,000.
the extent that it caused or materially contrib-
uted to a reaction by emergency responders
that aggravated the situation or caused or ma-
terially contributed to improper handling by the
carrier that led to or materially contributed to a
product release.
—Total lack of hazardous materials information 7,500.
on shipping paper. (Some shipping names
alone contain sufficient information to reduce
the guideline to the next lower level, but there
may be such dangerous products that aggra-
vation needs to be considered.).
—Some information is present, but the missing 5,000.
or improper description could cause mis-
handling by the carrier or a delay or error in
emergency response.
—When the improper description is not likely to 2,000.
cause serious problem (technical defect).
—Shipping paper includes a hazardous material 7,500.
description and no hazardous material is
present. (Technically, this is also a violation of
§ 171.2(k); it is presented here as a conven-
ience.).
Failure to include emergency response information is covered at §§ 172.600–604; while
the normal unit of violation for shipping papers is the whole document, failure to provide
emergency response information is a separate violation.
172.201(d) .......................................... Failure to put emergency response telephone 4,000.

number on shipping paper.
172.201(e) .......................................... Failure to retain shipping paper for required pe- 7,500.
riod (1 year if carrier, 2 years if offeror).
172.204 .............................................. Offeror’s failure to certify ...................................... 2,000.
172.205 .............................................. Hazardous waste manifest. (Applies only to de- Parallel the penalties for §§ 172.200–
fects in the Hazardous Waste Manifest form .203, depending on circumstances.
[EPA Form 8700–22 and 8700–22A]; shipping
paper defects are cited and penalized under
§ 172.200–.203.).
Marking:
172.301 ................................ Failure to mark a non-bulk package as required 1,000.

(e.g., no commodity name on a 55-gallon
drum). (Shipment is the unit of violation.).
172.302 ................................ Failure to follow standards for marking bulk 2,000.
packaging.
172.302(a) ............................ ID number missing or in improper location. (The 2,500.
guideline is for a portable tank; for smaller
bulk packages, the guideline should be miti-
gated downward.)
172.302(b) ............................ Failure to use the correct size of markings. 2,000.
(Note: If § 172.326(a) is also cited, it takes
precedence and § 172.302(b) is not cited. Note
also: the guideline is for a gross violation of
marking size—1⁄2″ where 2″ is required—and
mitigation should be considered for markings
approaching the required size.)
172.302(c) ............................ Failure to place exemption number markings on 2,000.
bulk package.
48
172.303 ................................ Prohibited marking. (Package is marked for a hazardous material and contains either an-
other hazardous material or no hazardous material.)
—The marking is wrong and caused or contrib- 10,000.
uted to a wrong emergency response.
—Use of a tank car stenciled for one commodity 5,000.
to transport another.
—Inconsistent marking; e.g., shipping name and 5,000.
ID number do not agree.
—Marked as a hazardous material when pack- 2,000.
age does not contain a hazardous material.
172.304 ................................ Obscured marking ................................................ 2,000.

172.313 ................................ ‘‘Inhalation Hazard’’ not marked ........................... 2,500.
172.322 ................................ Failure to mark for MARINE POLLUTANT where 1,500.
required.
172.325(a) ............................ Improper, or missing, HOT mark for elevated 1,500.
temperature material.
172.325(b) ............................ Improper or missing commodity stencil ................ 2,500.
172.326(a) ............................ Failure to mark a portable tank with the com- 2,500.
modity name.
Failure to have commodity name visible (‘‘leg- 2,500.
ible’’) when portable tank is loaded on inter-
modal equipment.
172.326(b) ............................ Owner’s/lessee’s name not displayed .................. 500.
172.326(c) ............................ Failure to mark portable tank with ID number ..... 2,500.
Failure to have ID number visible when portable 2,500.
tank is loaded on intermodal equipment.
172.330(a)(1)(i) .................... Offering/transporting hazardous material in a 2,500.
tank car that does not have the required ID
number displayed on the car.
172.330(a)(1)(ii) ................... Offering/transporting hazardous material in a 2,500.
tank car that does not have the required ship-
ping name or common name stenciled on the
car. This section ‘‘lists’’ the materials that re-
quire such markings on the tank. For tank car
marking requirements for molten aluminum
and molten sulfur, see § 172.325(b).
172.330(c) ............................ Failing to mark tank car as NON-ODORIZED or 2,500.
NOT ODORIZED when offering/transporting
tank car or multi-unit tank car containing
unodorized LPG.
172.331(b) ............................ Offering bulk packaging other than a portable 2,500.
tank, cargo tank, or tank car (e.g., a hopper
car) not marked with ID number. (E.g., a hop-
per car carrying a hazardous substance,
where a placard is not required).
172.332 ................................ Improper display of identification number mark- 2,000.
ings. Citation of this section and §§ 172.326(c)
(portable tanks), 172.328 (cargo tanks), or
172.330 (tank cars) does not create two sepa-
rate violations.
172.334(a) ............................ Displaying ID numbers on a RADIOACTIVE, EX- 4,000.
PLOSIVES 1.1, 1.2, 1.3, 1.4, 1.5, or 1.6, or
DANGEROUS, or subsidiary hazard placard.
172.334(b) ............................ —Improper display of ID number that caused or 15,000.
contributed to a wrong emergency response.
—Improper display of ID number that could 5,000.
cause carrier mishandling or minor error in
emergency response.
—Technical error .................................................. 2,000.
172.334(f) ............................. Displaying ID number on orange panel not in 1,500.
proximity to the placard.
Labeling:
172.400–.406 ....................... Failure to label properly. (See also § 172.301 re- 2,500.
garding the marking of packages.).
Placarding:
172.502 ................................ —Placarded as hazardous material when car 2,000.

does not contain a hazardous material.
—Hazardous material is present, but the placard 4,000.
does not represent hazard of the contents.
49
—Display of sign or device that could be con- 2,000.

fused with regulatory placard. Photograph or
good, clear description necessary.
172.503 ................................ Improper display of ID number on placards ......... See § 172.334.
172.504(a) ............................ Failure to placard; affixing or displaying wrong placard. (See also §§ 172.502(a),
172.504(a), 172.505, 172.512, 172.516, 174.33, 174.59, 174.69; all applicable sections
should be cited, but the penalty should be set at the amount for the violation most di-
rectly in point.) (Generally, the car is the unit of violation, and penalties vary with the
number of errors, typically at the rate of $1,000 per placard.)
—Complete failure to placard ............................... 7,500.

—One placard missing (add $1,000 per missing 1,000.
placard up to a total of three; then use the
guideline above).
—Complete failure to placard, but only two (2) 2,500.
placards are required (e.g., intermediate bulk
containers [IBCs]).
172.504(b) ............................ Improper use of DANGEROUS placard for mixed 5,000.

loads.
172.504(c) ............................ Placarded for wrong hazard class when no 2,000.
placard was required due to ‘‘1,001 pound’’
exemption.
172.504(e) ............................ Use of placard other than as specified in the table:
—Improper placard caused or contributed to im- 15,000.

proper reaction by emergency response forces
or caused or contributed to improper handling
by carrier that led to a product release.
—Improper placard that could cause improper 5,000.
emergency response or handling by carrier.
—Technical violation ............................................ 2,500.
172.505 ................................ Improper application of placards for subsidiary 5,000.

hazards. (This is in addition to any violation on
the primary hazard placards.)
172.508(a) ............................ Offering hazardous material for rail transportation 7,500.
without affixing placards. (The preferred sec-
tion for a total failure to placard is
§ 172.504(a); only one section should be cited
to avoid a dual penalty.) (Note also: Persons
offering hazardous material for rail movement
must affix placards; if offering for highway
movement, the placards must be tendered to
the carrier. § 172.506.)
One placard missing (per car). (Add $1,000 per 1,000.
missing placard up to a total of three; if all
placards are missing, the guideline above ap-
plies.)
Placards OK, except they were International 500.
Maritime Dangerous Goods (IMDG) labels in-
stead of 10″ placards. (Unit of violation is the
packaging, usually a portable tank.)
Placards on Container on Flatcar/Trailer on Flat- See § 172.516.
car (TOFC/COFC) units not readily visible.
(§ 172.516 should be cited).
172.508(b) ............................ Accepting hazardous material for rail transpor- 5,000.
tation without placards affixed.
172.510(a) ............................ EXPLOSIVES 1.1, EXPLOSIVES 1.2, POISON 5,000.
GAS, (Division 2.3, Hazard Zone A), POISON,
(Division 6.1, Packing Group I, Hazard Zone
A), or a Division 2.1 material transported in a
Class DOT 113 tank car, placards displayed
without square background.
172.512(a) ............................ Improper placarding of freight containers ............ Follow § 172.504 guidelines.
172.514 ................................ Improper placarding of bulk packaging other than 2,000.
a tank car: For the ‘‘exception’’ packages in
174.514(c). Use the regular placarding sec-
tions for the guideline amounts for larger bulk
packages.
50
172.516 ................................ Placard not readily visible, improperly located or 1,000.

displayed, or deteriorated. Placard is the unit
of violation.
—When placards on an intermodal container are 2,000.
not visible, for instance, because the container
is in a well car. Container is the unit of viola-
tion, and, as a matter of enforcement policy,
FRA accepts the lack of visibility of the end
placards.
—Note that, while placards on freight containers, portable tanks, or TOFC vehicles may
be used in lieu of placards on the rail cars, if both are placarded, each must be done
properly. Thus, for instance, EXPLOSIVES 1.1 placards on intermodal containers do not
require white square backgrounds, but if the rail car carrying such a container is plac-
arded, the white square background is required on the rail car.
172.519(b)(4) .................... Improper display of hazard class on placard— 2,500.

primary hazard.
Improper display of hazard class on placard— 2,500.
secondary hazard.
Emergency Response Information ..... Violations of §§ 172.600–.604 are in addition to shipping paper violations. In citing a car-
rier, if the railroad’s practice is to carry an emergency response (E/R) book or to put the
E/R information as an attachment to the consist, the unit of violation is generally the
train (or the consist). ‘‘Telephone number’’ violations are generally best cited against the
shipper; if against a railroad, there should be proof that the number was given to the rail-
road; that is, the number was on the original shipping document. Considerable aggrava-
tion of the penalties under these sections is possible.
172.600–.602 ....................... Where improper emergency response informa- 15,000.

tion has caused an improper reaction from
emergency forces and the improper response
has aggravated the situation.
Bad, missing, or improper emergency response 5,000.
information that could cause a significant dif-
ference in response.
Bad, missing, or improper emergency response 2,500.
information not likely to cause a significant dif-
ference in response.
172.602(c) ............................ Failure to have emergency response information 15,000.
‘‘immediately accessible,’’ resulting in delay or
confusion in emergency response.
Failure to have emergency response information 7,500.
‘‘immediately accessible’’ with no negative ef-
fect on emergency response.
172.604 ................................ Emergency response telephone number.
—Failure to include emergency response tele- 4,000.
phone number on a shipping paper.
—Listing an unauthorized, incorrect, non-work- 4,000.
ing, or unmonitored (24 hrs. a day) emergency
response telephone number on a shipping
paper.
Training ............................................... NOTE: The statutory minimum penalty for training violations is $450.
172.702(a) ............................ General failure to train hazardous material em- 7,500.

ployees.
172.702(b) ............................ Hazardous material employee performing cov- 1,000.
ered function without training. (Unit of violation
is the employee.)
172.704(a) ............................ —Failure to train in a required area: 2,500.
—General awareness/familiarization;
—Function-specific;
—Safety;
—Security awareness;
—In-depth security training.
(Unit of violation is the ‘‘area,’’ per employee.
For a total failure to train, § 172.702(a) ap-
plies.)
172.704(c) ............................ Initial and recurrent training. (This section should Varies.
be cited with the relevant substantive section,
e.g., § 172.702(a), and use penalty provided
there.)
51
172.704(d) ............................ Failure to maintain record of training. (Unit of 2,500.

violation is the employee.)
There is some evidence of training, but no (or in- 4,000.
adequate) records and the employee dem-
onstrates no or very little knowledge or skills in
doing the job.
Security:
172.800 ................................ Total failure to develop security plan. Factors to 5,000 to 10,000.
consider are the size of the entity (is it a small
business?); the type of hazmat handled; and
the quantities of hazmat handled. Aggravation
should be considered, for example, if it is a
large entity that handles significant quantities
of chlorine or other toxic inhalation hazard
(TIH) material.
Failure to adhere to the developed security 1,000 to 10,000.
plan—considerable aggravation possible. Fac-
tors to consider include size of entity, quan-
tities and types of hazmat handled, number of
security plan components not complied with.
172.802(a) ............................ Failure to include each required component in 2,000.
plan:
—Personnel security;
—Unauthorized access;
—En route security.
(Unit of violation is the ‘‘area.’’ For a total failure
to have a security plan, cite § 172.800 and use
that penalty instead of § 172.802.)
172.802(b) ............................ Failure to have security plan (or appropriate por- 5,000.
tions of it) available to implementing employ-
ees. (A failure to have the plan ‘‘in writing’’ is
treated as a violation of the requirement to
have a plan and cited under § 172.800, using
that penalty.)
Failure to revise/update the plan. (The require- 5,000.
ment to revise/update is based on ‘‘changing
circumstances.’’ Specific, clear, and detailed
explanations of the circumstances that
changed will be necessary.)
Failure to update all copies of the plan to the 5,000.
current level (i.e. all copies should be iden-
tical). (As in the tank car quality control area,
the requirement to conform copies applies only
to the ‘‘official’’ copies of the plan. Uncon-
trolled (and non-updated) copies of the secu-
rity plan are not a violation if the uncontrolled
copies are clearly marked as such.)
PART 173—SHIPPERS—GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGES
General:
173.1 .................................... General duty section applicable to shippers; also 2,000.

includes subparagraph (b), the requirement to
train employees about applicable regulations.
(Cite the appropriate section in the 172.700–
704 series for training violations.).
173.9(a) ................................ Early delivery of transport vehicle that has been 5,000.
fumigated. (48 hours must have elapsed since
fumigation.).
173.9(b) ................................ Failure to display fumigation placard. (Ordinarily 1,000.
cited against shipper only, not against rail-
road.).
173.10 .................................. Delivery requirements for gases and for flam- 3,000.
mable liquids. See also §§ 174.204 and
174.304.
Preparation of Hazardous Materials for Transportation:
173.22 .................................. Shipper responsibility: This general duty section See specific section.
should ordinarily be cited only to support a
more specific charge.
52
173.22a ................................ Improper use of packagings authorized under 2,500.

exemption.
Failure to maintain copy of exemption as re- 1,000.
quired.
173.24(b)(1) and Securing closures: These subsections are the general ‘‘no leak’’ standard for all pack-
173.24(b)(2) and agings. § 173.24(b) deals primarily with packaging as a whole, while § 173.24(f) focuses
173.24(f)(1) and on closures. Use § 173.31(d) for tank cars, when possible. Cite the sections accordingly,
173.24(f)(1)(ii). using both the leak/non-leak criteria and the package size considerations to reach the
appropriate penalty. Any actual leak will aggravate the guideline by, typically, 50%; a
leak with contact with a human being will aggravate by at least 100%, up to the max-
imum of $50,000, and up to $100,000 if the violation results in death, serious illness or
injury or substantial destruction of property. For intermodal (IM) portable tanks and other
tanks of that size range, use the tank car penalty amounts, as stated in § 173.31.
—Small bottle or box ............................................ 1,000.

—55-gallon drum .................................................. 2,500.
—Larger container, e.g., IBC; not portable tank 5,000.
or tank car.
—IM portable tank, cite § 173.24(f) and use the
penalty amounts for tank cars: Residue, gen-
erally, § 173.29(a) and, loaded, § 173.31(d).
—Residue adhering to outside of package (i.e., 5,000.
portable tanks, tank cars, etc.).
173.24(c) .............................. Use of package not meeting specifications, including required stencils and markings.
The most specific section for the package involved should be cited (see below). The
penalty guideline should be adjusted for the size of the container. Any actual leak will
aggravate the guideline by, typically, 50%; a leak with contact with a human being will
aggravate by at least 100%, up to the maximum of $50,000, and up to $100,000 if the
violation results in death, serious illness or injury or substantial destruction of property.
—Small bottle or box ............................................ 1,000.

—55-gallon drum .................................................. 2,500.
—Larger container, e.g., IBC; not portable tank 5,000.
or tank car, but this section is applicable to a
hopper car.
For more specific sections: Tank cars—§ 173.31(a), portable tanks—§ 173.32, and IM
portable tanks—§§ 173.32a,173.32b, and 173.32c.
173.24a(a)(3) ....................... Non-bulk packagings: Failure to secure and 1,000.

cushion inner packagings.
—Causes leak ...................................................... 5,000.
—Leak with any contact between product and 15,000.
any human being.
173.24a(b) and (d) ............... Non-bulk packagings: Exceeding filling limits ...... 1,000.
—Causes leak ...................................................... 5,000.
any human being.
173.24b(a) ............................ Insufficient outage:
—<1% ................................................................... 3,000.
—Causes leak ...................................................... 5,000.
Outage <5% on PIH material ............................... 5,000.
—Causes leak ...................................................... 7,500.
any human being.
173.24b(d)(2) ....................... Overloaded to exceed the maximum weight of 5,000.
lading marked on the specification plate.
173.26 .................................. Loaded beyond gross weight or capacity as stat- 5,000.
ed in specification. (Applies only if quantity lim-
itations do not appear in packaging require-
ments of part 173.) (For tank cars, see
§ 179.13.) For gross weight and capacity re-
quirements, see § 179.13. § 173.26 should be
the citation for the violation and civil penalty;
§ 179.13 can be cited as a reference section.
173.28 .................................. Improper reuse, reconditioning, or remanufacture 1,000.
of packagings.
53
173.29(a) .............................. Offering residue tank car for transportation when openings are not tightly closed
(§ 173.31(d) is also applicable for tank cars). The regulation requires offering ‘‘in the
same manner as when’’ loaded and may be cited when a car not meeting specifications
(see § 173.31(a)(1)) is released back into transportation after unloading; same guideline
amount. Guidelines vary with the type of commodity involved. In addition to the vapor
pressure factor cited below, the RQ (reportable quantity) is a fair measure of the danger
of a commodity to the environment. For RQ values ≤ 10, consider aggravating the pen-
alties below by no less than 50 percent.
—Hazardous material with insignificant vapor 2,000.

pressure and without classification as ‘‘poison’’
or ‘‘inhalation hazard.’’.
—With actual leak ................................................ 5,000.
—With leak allowing the product to contact any 15,000.
human being.
—Hazardous material with vapor pressure (es- 5,000.
sentially any gas or compressed gas) and/or
with classification as ‘‘poison’’ or ‘‘inhalation
hazard.’’.
—With actual leak ................................................ 7,500.
—With leak allowing the product (or fumes or va- 15,000.
pors) to contact any human being. (In the case
of fumes, the ‘‘contact’’ must be substantial.).
—Where only violation is failure to secure a pro- 1,000.
tective housing, e.g., the covering for the
gaging device.
173.30 .................................. A general duty section that should be cited with the explicit statement of the duty.
173.31(a)(1) ......................... Use of a tank car not meeting specifications and the ‘‘Bulk packaging’’ authorization in
Column 8 of the § 172.101 Hazardous Materials Table reference is:
§ 173.240 .............................................................. 1,000.

§ 173.241 .............................................................. 2,500.
§ 173.242 .............................................................. 5,000.
§ 173.243 .............................................................. 5,000.
§ 173.244 .............................................................. 7,500.
§ 173.245 .............................................................. 7,500.
§ 173.247 .............................................................. 1,000.
§ 173.249 .............................................................. 7,500.
§ 173.314 .............................................................. 5,000.
§ 173.315 .............................................................. 5,000.
§ 173.319 .............................................................. 5,000.
§ 173.320 .............................................................. 5,000
§ 173.323 .............................................................. 7,500.
—Minor defect not affecting the ability of the 500.
package to contain a hazardous material, e.g.,
no chain on a bottom outlet closure plug.
—Defect of greater importance, e.g., safety valve 1,000.
tested, but test date not stenciled on valve.
—Tank meets specification, but specification is 1,000.
not stenciled on car. § 179.1(e) implies that
only the builder has the duty here, but it is the
presence of the stencil that gives the shipper
the right to rely on the builder. (See
§ 173.22(a)(3).).
—Tank car not stenciled according to Appendix 2,500.
C of the Tank Car Manual. The sub-reference
is to § 179.22 which requires each tank car to
be marked in accordance with Appendix C of
the Tank Car Manual. For example, Appendix
3.03(a)(5), requires marking of the tank ‘‘NOT
FOR FLAMMABLE LIQUIDS’’ or ‘‘NOT FOR
FLAMMABLE OR POISONOUS LIQUIDS.’’.
173.31(a)(2) ......................... Tank cars and appurtenances used for a mate- 7,500.
rial not authorized on the certificate of con-
struction (or by addendum on Association of
American Railroads (AAR) form R–1).
54
173.31(a)(3) ......................... Filling a tank car overdue for a periodic inspec- 7,500.
tion with a hazardous material and then offer-
ing it for transportation. (Note: Offering a res-
idue car, overdue for inspection, is not a viola-
tion; neither is filling the car—so long as it is
not offered for transportation.) (Adjust penalty
if less than one month or more than one year
overdue.).
173.31(a)(4) ......................... Use of tank car without air brake support attach- 5,000.
ments welded to pads..
173.31(a)(5) ......................... Use of a tank car with a self-energized manway 15,000.
located below the liquid level of the lading.
173.31(b)(1) ......................... Use of DOT-specification tank car, or any tank 10,000.
car used for transportation of a hazardous ma-
terial, without shelf couplers.
—Against a carrier, cite § 174.3 and this section. 6,000.
173.31(b)(2) ......................... Tank car with nonreclosing pressure relief device 7,500.
used to transport Class 2 gases, Class 3 or 4
liquids, or Division 6.1 liquids, PG I or II.
Tank car has a nonreclosing pressure relief de- 1,000.

vice and the wrong pressure is stenciled on
the tank. Cite this section where the standard
in § 179.22(a) is not met and the respondent is
other than the builder or manufacturer.
Where either the rupture disc is unmarked for 5,000.
pressure or manufacturer name or is marked
but is of the wrong pressure. Cite this section
for a violation of § 179.156(h) against other
than the builder or manufacturer.
173.31(b)(3) ......................... Use of a tank car for the transportation of a hazardous material without the required
tank-head protection. See paragraphs (b)(3)(iii) and (iv) for compliance periods.
—Class 2 .............................................................. 10,000.

—Tank car constructed from aluminum or nickel 7,500.
plate.
—Against a carrier, cite § 174.3 and this section 6,000.
173.31(b)(4) ......................... Use of a tank car for the transportation of a 10,000.

Class 2 material without the required thermal
protection. See paragraphs (b)(4)(i) for compli-
ance periods.
173.31(b)(5) ......................... Use of a tank car for the transportation of a haz- 5,000.
ardous material without the required bottom-
discontinuity protection. See the paragraph for
compliance periods.
173.31(b)(6) ......................... Failure to submit a progress report to the FRA ... 2,500.
173.31(c) .............................. Use of a tank car with an incorrect tank test 10,000.
pressure.
173.31(d) .............................. Offering a tank car for transportation with a haz- 5,000.
ardous material, or a residue of a hazardous
material, that is not in proper condition or that
is unsafe for transportation. Sections 173.24(b)
and (f) establish a ‘‘no-leak’’ design standard,
and 173.31 imposes that standard on oper-
ations. In addition to the vapor pressure factor
cited below, the RQ (reportable quantity) is a
fair measure of the danger of a commodity to
the environment. For RQ values ≤ 10, consider
aggravating the penalties below by no less
than 50 percent. The unit of violation is the
car, aggravated if necessary for truly egre-
gious condition.
Loaded car:
—Failure to inspect the tank car, service equip- 5,000.

ment, or markings prior to offering the car for
transportation.: If the failure to inspect resulted
in a release of product, the appropriate penalty
amount below applies.
—With actual leak of product ............................... 10,000.
55
—With actual leak allowing the product (or 15,000.

fumes or vapors) to contact any human being.
(With safety vent, be careful because carrier
might be at fault).
—Minor violation, e.g., bottom outlet cap loose 1,000.
on tank car of molten sulfur (because product
is a solid when shipped).
Residue car: (The penalties are the same as in 173.29(a).)
Offering residue tank car for transportation when openings are not tightly closed
(§ 173.29(a) is also applicable for tank cars) Guidelines vary with the type of commodity
involved:

or ‘‘inhalation hazard.’’.
—With actual leak ................................................ 5,000.
human being.
—Hazardous material with vapor pressure 5,000.
(esentially any gas or compressed gas) and/or
hazard.’’.
—With actual leak ................................................ 7,500.
pors) to contact any human being. (In the case
of ‘‘fumes,’’ the ‘‘contact’’ must be substantial.).
Whether loaded or residue:
—Where the only violation is the failure to se- 1,000.

cure a protective housing, e.g., the covering
for the gaging device.
—Where ‘‘other conditions’’ than a loose closure 2,500 (Varies to account for serious-
make a tank car not ‘‘in proper condition for ness).
transportation’’ (e.g., loose ladders, seals
thrown into safety valves, etc.).
173.31(e)(1) ......................... Tank car with interior heating coils used to trans- 7,500.
port Division 2.3 or Division 6.1, PG I, based
on inhalation toxicity.
173.31(e)(2) ......................... Use of a tank car for a material poisonous by in- 10,000.
halation that does not meet the minimum
specification i.e., 300 pound tank test pres-
sure, head protection, and a metal jacket.)
See the paragraph for the compliance dates.
173.31(f) ............................... Use of a tank car for a ‘‘listed’’ hazardous sub- 5,000.
stance that does not meet the minimum speci-
fication (i.e., 200 pound tank test pressure,
head protection, and a metal jacket.): See the
paragraph for the compliance dates and
§ 173.31(f)(2) for the list of hazardous sub-
stances.
173.31(g)(1) ......................... Unloading a tank car without securing access to 4,000.
the track to prevent entry by other rail equip-
ment. Derails, lined and blocked switches, or
other equipment that provides equivalent level
of security is acceptable.
173.31(g)(2) ......................... Unloading a tank car without caution signs prop- 2,000.
erly displayed. (See Part 218, Subpart B).
173.31(g)(3) ......................... Unloading without brakes set and/or wheels
blocked. (The enforcement standard, as per
1995 Hazardous Materials Technical Resolu-
tion Committee, is that sufficient handbrakes
must be applied on one or more cars to pre-
vent movement and each car with a hand-
brake set must be blocked in both directions.
The unloading facility must make a determina-
tion on how many brakes to set.).
—No brakes set, no wheels blocked, or fewer 5,000.
brakes set/wheels blocked than facility’s oper-
ating plan.
—No brakes set, but wheels blocked .................. 3,000.
56
—Brakes set, but wheels not blocked .................. 4,000.
173.32(a)(1) ......................... Using a portable tank for transportation of haz- 5,000.

ardous materials, when tank does not meet
regulatory requirements. (For loose closures or
leaks on portable tanks use 173.24.).
173.32(a)(2) ......................... Filling and offering portable tank when periodic 5,000.
test or inspection overdue.
Gases; Preparation and Packaging:
173.314(c) ............................ Compressed gas loaded in excess of filling den- 6,000.

sity (same basic concept as insufficient out-
age).
173.314(e) through (o) ......... Failure to comply with a special requirement for 5,000.
a compressed gas.
PART 174—CARRIAGE BY RAIL
General Requirements:
174.3 .................................... Acceptance of improperly prepared shipment. This general duty section shall be accom-
panied by a citation to the specific section violated.
174.9 .................................... Failure to properly inspect a rail car containing a For loaded car 5,000.
hazardous material when accepted for trans- For residue car 2,000.
portation or placed in a train: The carrier shall
inspect the rail car, at ground level, for re-
quired markings, labels, placards, securement
of closures and leakage. The inspection may
be performed in conjunction with the inspec-
tions required under parts 215 and 232. This
requirement will not ‘‘trigger’’ an inspection
and thereby require a train to be stopped. For
example, in run-through train operations, the
train crew of the receiving railroad simply as-
sumes responsibility for the train from the de-
livering crew. Acceptance of responsibility in-
cludes the right to receive a penalty action for
transporting a rail car with a non-complying
condition. Note also that the presence of a
non-complying condition by itself does not
prove that there was a failure to inspect. See
also § 174.50 for violations against the carrier
for loose (visible from ground level) closures
on cars.
174.14 .................................. Failure to expedite: Violation of ‘‘48-hour rule.’’ ... 2,500.
General Operating Requirements ...... This subpart (Subpart B) of Part 174 has two sections referring to shipment documenta-
tion: § 174.24 relating to accepting documents, and § 174.26 relating to movement docu-
ments in the possession of the train crew. Only the most relevant section should be
cited. In most cases, the unit of violation is the shipment, although where a unified con-
sist is used to give notice to the crew, there is some justification for making it the train,
especially where the discrepancy was generated using automated data processing and
the error is repetitious.
174.24(a) .............................. Accepting hazardous material shipment without

properly prepared shipping paper. (The car-
rier’s duty extends only to the document re-
ceived, that is, a shipment of hazardous mate-
rial in a non-placarded transport vehicle with a
shipping paper showing other than a haz-
ardous material is not a violation against the
carrier unless knowledge of the contents of the
vehicle is proved. Likewise, receipt of a tank
car placarded for Class 3 with a shipping
paper indicating a flammable liquid does not
create a carrier violation if the car, in fact, con-
tains a corrosive. On the other hand, receipt of
a placarded trailer with a shipping paper listing
only FAK (‘‘freight-all-kinds’’), imposes a duty
on the carrier to inquire further and to reject
the shipment if it is improperly billed.)
57
—Improper hazardous material information that 7,500.

could cause delay or error in emergency re-
sponse.
—Total absence of hazardous material informa- 5,000.
tion.
—Technical errors, not likely to cause problems, 1,000.
especially with emergency response.
—Minor errors not relating to hazardous material 500.
emergency response, e.g., not listing an ex-
emption number and the exemption is not one
affecting emergency response.
Failure to include emergency response information is covered at §§ 172.600–.604; while

the normal unit of violation for movement documents is the whole document, failure to
provide emergency response information is a separate violation.
174.24(b) .............................. Failure to retain shipping papers for one year. 7,500.
(Variation over a wide range is not unusual,
depending upon circumstances.).
174.26(a) .............................. Train crew does not have a document indicating 6,000.
position in train of each rail car containing a
hazardous material. Routinely aggravate by
50% for Poison Gas, 2.3, and Explosives, 1.1
and 1.2. (Train is the unit of violation—this is
generally going to be the consist list for a
train.).
Train crew has documents described above but 2,000 to 4,000.
they have not updated the document to ac-
count for delivery or pickup of car or cars.
Penalty amount may vary depending on the
number of cars not listed or out of place, the
number of places the cars are off, the type of
commodity in the car, and the potential effects
on safe handling of the cars or emergency re-
sponse. (Each failure to update is a separate
unit of violation—if the crew picked up one cut
of cars and failed to update the document, that
would be one unit of violation. The ‘‘update’’
requirement only matures when the crew has
placed the cars into the train—or removed
them from the train—re-laced the air hoses,
and are ready to depart.).
174.26(b) .............................. Improper paperwork in possession of train crew. (Shipment is unit of violation, although
there is justification for making it the train if a unified consist [e.g. one that shows both
train car order and hazmat information] is used to carry this information and the violation
is a pattern one throughout all, or almost all, of the hazardous material shipments. For
intermodal traffic, ‘‘shipment’’ can mean the container or trailer—e.g., a UPS trailer with
several non-disclosed hazardous material packages would be one unit.)
—Information on the document possessed by 15,000.

the train crew is wrong to the extent that it
caused or materially contributed to a reaction
by emergency responders that aggravated the
situation or caused or materially contributed to
improper handling by the carrier that led to or
materially contributed to a product release.
—Information is present and wrong, but without 3,000.
adverse emergency response effect (e.g. in-
significant error in shipping name for the
hazmat; name is incorrect but the emergency
response would be the same).
—Total lack of hazardous material information 7,500.
on movement document. (Some shipping
names alone contain sufficient information to
reduce the guideline to the next lower level,
but there may be such dangerous products
that aggravation needs to be considered.).
—Some information is present but the error(s) 5,000.
could cause mishandling by the carrier or a
delay or error in emergency response. In-
cludes missing RESIDUE description required
by § 172.203(e)(2).
58
—Improper information, but the hazardous mate- 3,000.

rial are small shipments (e.g., UPS moves)
and PG III (e.g., the ‘‘low hazard’’ material al-
lowed in TOFC/COFC service without an ex-
emption since HM–197).
—Lack of emergency response phone number ... 4,000.
—Technical defect or minor error not likely to 500–1,000.
cause delay or error in emergency response
or carrier handling.
174.50 .................................. Forwarding a bulk packaging (e.g. a tank car) For loaded car 5,000.
that no longer conforms to the hazmat regula- For residue car 2,000.
tions without first repairing the defect. This in-
cludes such non-conforming conditions as
loose closures visible from ground level (e.g.
loose bottom outlet caps), improper stenciling
or marking.
—Forwarding a leaking, or non-conforming non- 5,000.
bulk package containing a hazardous material
without repair or over-packing.
—Forwarding a leaking bulk package beyond the 10,000.
movement ‘‘as necessary to reduce or to elimi-
nate an immediate threat * * *.’’ Consider
mitigation for low hazard HM (e.g., HOT) and
for bulk packages smaller than tank cars.
—Loss of product resulted in human contact be- 15,000.
cause of improper carrier handling.
—Failure to obtain movement approval from the 7,500.
FRA for the transportation of a bulk packaging
that no longer conforms to the regulations.
—Failure to follow directives in a movement ap- 5,000.
proval.
—Failure to report corrective actions (or any 5,000.
other reporting requirement in the movement
approval).
General Handling and Loading Requirements:
174.55 .................................. Failure to block and brace as prescribed. (See also §§ 174.61, 174.63, 174.101,
174.112, 174.115; where these more specific sections apply, cite them.) Note: The regu-
latory requirement is that hazardous material packages be loaded and securely blocked
and braced to prevent the packages from changing position, falling or sliding into each
other. If the load is tight and secure, pieces of lumber or other material may not be nec-
essary to achieve the ‘‘tight load’’ requirement.
—General failure to block and brace ................... 5,000.

—Inadequate blocking and bracing (an attempt 2,500.
was made but blocking/bracing was insuffi-
cient).
—Inadequate blocking and bracing leading to a 7,500.
leak.
—Inadequate blocking and bracing leading to a 15,000.
leak and human being contact.
174.59 .................................. Other specific placarding and marking sections may also be applicable.
Marking and placarding. A railroad’s placarding duties are to not accept a car without
placards [§ 172.508(b)], and to not transport a car without placards [§ 174.59]. At each
inspection point, a railroad must determine that all placards are in place. [§ 174.9]. The
‘‘next inspection point’’ replacement requirement in this section refers to placards that
disappear between inspection points. A car at an inspection point must be placarded be-
cause it is ‘‘in transportation’’ [49 U.S.C. 5102(12)], even if held up at that point. Be-
cause the statute creates civil penalty liability only if a violation is ‘‘knowing,’’ that is, ‘‘a
reasonable person knew or should have known that an act performed by him was in vio-
lation of the HMR,’’ and because railroads are not under a duty to inspect hazardous
material cars merely standing in a yard, violations written for unplacarded cars in yards
must include proof that the railroad knew about the unplacarded cars and took no cor-
rective action within a reasonable time. (Note also that the real problem with
unplacarded cars in a railyard may be a lack of emergency response information,
§§ 172.600–172.604, and investigation may reveal that those sections should be cited
instead of this one.)
—Complete failure to placard or to replace miss- 7,500.

ing placards.
59
—One placard missing (per car). (Add $1,000 1,000.

per missing placard up to a total of three; then
use the guideline above).
For other placarding violations, see §§ 172.500–.560 and determine if one of them more
correctly states the violation. For marking violations, see §§ 172.300–.338 and determine
if one of them more correctly states the violation. Note that marking violations, except for
the UN number, are generally applicable to the shipper/offeror.
174.61 .................................. Improper transportation of transport vehicle or 3,000.

freight container on flat car. (If improper lading
restraint is the violation, see § 174.55; if im-
proper restraint of a bulk packaging inside a
closed transport vehicle is the violation, see
§ 174.63(b).).
174.63(a) and (c) ................. —Improper transportation of portable tank or 3,000.
other bulk packaging in TOFC/COFC service.
—Portable tank double stacked with container 5,000.
above or below. (§ 174.63(c)(5)(i).).
—Portable tank transported in a well car with its 3,000.
outlet valve facing inward. (§ 174.63(c)(5)(ii).).
—Portable tank transported without securement 5,000.
fittings engaged and locked or void filling de-
vices not properly deployed.
—Improper transportation leading to a release of 7,500.
product.
—Improper transportation leading to a release 15,000.
and human being contact.
174.63(b) .............................. Improper securement of bulk packaging inside enclosed transport vehicle or freight con-
tainer.
—General failure to secure .................................. 5,000.

—Inadequate securement (an attempt to secure 2,500.
was made but the means of securement were
inadequate).
—Inadequate securement leading to a leak ........ 7,500.
—Inadequate securement leading to a leak and 15,000.
human being contact.
174.63(e) .............................. Transportation of cargo tank or multi-unit tank 7,500.

car tank in TOFC or COFC service without au-
thorization and in the absence of an emer-
gency.
174.67(a)(1) ......................... Tank car transloading operations performed by 5,000.
persons not properly instructed (case cannot
be based on inference). (Note: for all
transloading requirements, there must be clear
evidence that the hazmat shipment is con-
tinuing in transportation by another mode. For
example, shipping papers show another des-
tination than the one where the tank car is
being unloaded/transloaded, and the contents
of the tank car are being transloaded into a
highway tank truck. Otherwise, the tank car
unloading requirements contained in section
173.31(g) apply).
174.67(a)(2) ......................... Unloading/transloading hazmat without brakes set and/or wheels blocked. (The enforce-
ment standard, as per 1995 Hazardous Materials Technical Resolution Committee, is
that sufficient handbrakes must be applied on one or more cars to prevent movement
and each car with a handbrake set must be blocked in both directions. The unloading fa-
cility must make a determination on how many brakes to set.)
—No brakes set, no wheels blocked, or fewer 5,000.

brakes set/wheels blocked than facility’s oper-
ating plan.
—No brakes set, but wheels blocked .................. 3,000.
—Brakes set, but wheels not blocked .................. 4,000.
60
174.67(a)(3) ......................... Unloading/transloading without securing access 4,000.

to the track to prevent entry by other rail
equipment. Derails, lined and blocked switch-
es, or other equipment that provides equiva-
lent level of security is acceptable.
174.67(a)(4) ......................... Unloading/transloading without caution signs 2,000.
properly displayed. (See Part 218, Subpart B).
174.67(a)(5) ......................... Failure of transloading facility to maintain written 2,500.
safety procedures (such as those it may al-
ready be required to maintain pursuant to the
Department of Labor’s Occupational Safety
and Health Administration requirements in 29
CFR 1910.119 and 1910.120) in a location
where they are immediately available to
hazmat employees responsible for the
transloading operation.
174.67(c)(2) .......................... Failure to use non-metallic block to prop manway cover open while unloading through
bottom outlet.
—Flammable or combustible liquid, or other 3,000.

product with a vapor flash point hazard.
—Material with no vapor flammability hazard ...... 500.
174.67(h) .............................. Insecure unloading connections, resulting in ac- 10,000.
tual leak of product.
Insecure unloading connections, no leak of prod- 5,000.
uct.
174.67(i) ............................... Unattended/unmonitored unloading. Tank car 5,000.
must be attended by a designated employee
or monitored by a signaling system.
174.67(j) ............................... Noncompliance with piping requirements ............ 2,000.
174.67(k) .............................. Failure to comply with requirements for leaving tank car unloading connections attached.

or ‘‘inhalation hazard.’’ (One count can be as-
sessed for each element not followed. May
also assess per tank car if more than one is
involved in violation)..
—With actual leak ................................................ 5,000.
human being.
—Hazardous material with vapor pressure (es- 5,000.
sentially any gas or compressed gas) and/or
hazard.’’.
—With actual leak ................................................ 7,500.
pors) to contact any human being). Contact
with ‘‘fumes’’ must be substantial.
174.67(l) ............................... Failure to remove connections, tighten all valves 2,000.
with a ‘‘suitable tool’’ and tighten all other clo-
sures once unloading is complete.
174.81 .................................. —Failure to obey segregation requirements for 6,000.
materials forbidden to be stored or transported
together. (‘‘X’’ in the table).
—Failure to obey segregation requirements for 4,000.
materials that must be separated to prevent
commingling in the event of a leak. (‘‘O’’ in the
table).
Handling of Placarded Rail Cars, Transport Vehicles and Freight Containers:
174.83(a) .............................. Improper switching of placarded rail cars ............ 5,000.

174.83(b) .............................. Improper switching of loaded rail car containing 8,000.
Division 1.1/1.2, 2.3 PG I Zone A, or Division
6.1 PG I Zone A, or DOT 113 tank car plac-
arded for 2.1.
174.83(c)–(e) ........................ Improper switching of placarded flatcar ............... 5,000.
174.83(f) ............................... Switching Division 1.1/1.2 without a buffer car or 8,000.
placement of Division 1.1/1.2 car under a
bridge or alongside a passenger train or plat-
form.
61
174.84 .................................. Improper handling of Division 1.1/1.2, 2.3 PG I 4,000.

Zone A, 6.1 PG I Zone A in relation to guard
or escort cars.
174.85 .................................. Improper Train Placement (The unit of violation under this section is the car. Where
more than one placarded car is involved, e.g., if two (2) placarded cars are too close to
the engine, both are violations. Where both have a similar violation, e.g., a Division 1.1
car next to a loaded tank car of a Class 3 material, each car gets the appropriate pen-
alty as listed below)
RESIDUE car without at least 1 buffer from en- 3,000.

gine or occupied caboose.
Placard Group 1—Division 1.1/1.2 materials (Class A explosive) See chart at § 174.85.
—Fewer than six (6) cars (where train length 8,000.

permits) from engine or occupied caboose.
—As above but with at least one (1) buffer ......... 7,000.
—No buffer at all (where train length doesn’t per- 8,000.
mit five (5) cars).
—Next to open top car or car with permanent 7,000.
bulkheads, where lading extends beyond car
ends/bulkheads or, if shifted, would be beyond
car ends/bulkheads.
—Next to loaded flat car, except closed TOFC/ 6,000.
COFC equipment, auto carriers, specially
equipped car with tie-down devices.
—Next to operating temperature-control equip- 7,000.
ment or internal combustion engine in oper-
ation.
—Next to placarded car, except one from same 7,000.
placard group or COMBUSTIBLE.
Placard Group 2—Division 1.3/1.4/1.5 (Class B and C explosives); Division 2.1/2.2 (com-
pressed gas, other than Division 2.3, PG 1 Zone A; Class 3 (flammable liquids); Class 4
(flammable solid); Class 5 (oxidizing materials); Class 6 (poisonous liquids), except 6.1
PG 1 Zone A; Class 8 (corrosive materials). See chart at § 174.85.
For tank cars:

—As above but with at least one (1) buffer ......... 5,000.
No buffer at all (where train length doesn’t permit 6,000.
five (5)).
car ends/bulkheads.
ation.
For other rail cars:

Placard Group 3—Divisions 2.3 (PG 1 Zone A; poisonous gases) and 6.1 (PG 1 Zone A;
poisonous materials).
For tank cars:

—As above but with at least one (1) buffer 7,000.
No buffer at all (where train length doesn’t permit 8,000.
five (5)).
62

car ends/bulkheads.
ation.
For other rail cars:

Placard Group 4—Class 7 (radioactive) materials
For rail cars:
—Next to locomotive or occupied caboose ......... 8,000.

—Next to carload of undeveloped film ................. 3,000.
174.86 .................................. Exceeding maximum allowable operating speed 3,000.

(15 mph) while transporting molten metals or
molten glass.
Class 1 (Explosive) Materials:
174.101(o)(4) ....................... Failure to have proper explosives placards on flatcar carrying trailers/containers plac-
arded for Class 1. (Except for a complete failure to placard, the unit of violation is the
placard.)
—Complete failure to placard ............................... 7,500.

—One placard missing (add $1,000 per missing 1,000.
placard up to a total of three, then use the
guideline above).
174.104(b) ............................ Car used to transport Division 1.1 or 1.2 mate- 5,000.
rials does not meet requirements. (Aggravation
to be considered, and may be considerable,
for multiple failures to meet requirements.).
174.104(c) ............................ Failure to inspect and certify car before placing 7,500.
for loading with Division 1.1 or 1.2 materials.
174.104(e) ............................ Failure to supervise the loading and securement 5,000.
of a container (of Division 1.1 or 1.2 materials)
on a flat car and failure to certify the car. (Unit
of violation is the container.).
174.104(f) ............................. Failure to retain car certificates at ‘‘forwarding 1,000.
station.’’.
Failure to attach car certificates to car. (Unit of 1,000.
violation is the certificate, two (2) are re-
quired.)
Detailed Requirements for Class 2 (Gases) Materials:
174.204 ................................ Improper tank car delivery of gases (Class 2 ma- 3,000.
terials).
Detailed Requirements for Class 3 (Flammable Liquid) Materials:
174.304 ................................ Improper tank car delivery of flammable liquids 3,000.

(Class 3 materials).
Detailed Requirements for Division 6.1 (Poisonous) Materials:
174.600 ................................ Improper tank car delivery of materials extremely 5,000.

poisonous by inhalation (Division 2.3 Zone A
or 6.1 Zone A materials).
63
PART 178—SPECIFICATIONS FOR PACKAGINGS
178.2(b) .............................................. Package not constructed according to specifications—also cite specific section not com-
plied with.
—Bulk packages, including portable tanks .......... 8,000.

—55-gallon drum .................................................. 2,500.
—Smaller package ............................................... 1,000.
PART 179—SPECIFICATIONS FOR TANK CARS
179.1(e) .............................................. Tank car not constructed according to specifica- 8,000.

tions—also cite section not complied with.
(Part 179 violations are against the builder or
repairer. Sections in this Part are often cited in
conjunction with violations of §§ 172.330 and
173.31(a) and (b) by shippers. In such cases,
the part 179 sections are cited as references,
not as separate alleged violations.).
179.3 ................................................... Constructing tank car without securing approval 10,000.
from Tank Car Committee.
179.5(a) .............................................. Failure to furnish a Certificate of Construction 7,500.
before tank car is placed in service.
179.6 ................................................... Repair procedures not in compliance with Ap- 10,000.
pendix R of the Tank Car Manual.
179.7 ................................................... Section 179.7 requires that each tank car facility have a quality assurance (QA) program
that encompasses at least the elements in § 179.7(b). A tank car facility is an entity that
manufactures, repairs, inspects, tests, qualifies, or maintains a tank car to ensure that
the tank car conforms to parts 179 and 180, or alters the certificate of construction of the
car. As a rule, a facility ‘‘qualifies’’ a tank by ‘‘inspecting’’ it and then ‘‘representing’’ it as
meeting the standard. In addition to the following penalty amounts, the agency may ‘‘re-
call’’ all tanks qualified by the tank car facility during the period the facility failed to com-
ply with the quality assurance requirements. See, for example, § 180.509(b)(4).
Total failure to have a quality assurance program 15,000.

Failure to perform activities as a tank car facility 10,000.
other than in accordance with the quality as-
surance program. See 180.509(l) for applica-
bility to tank car maintenance activities. Note
that failures to perform ministerial activities
such as updating the pages in a quality assur-
ance manual or calibrating an instrument carry
a lesser penalty (e.g. $2,500), unless they are
the cause of a release or an injury or death.
The quality assurance program does not contain 7,500.
one or more of the elements in § 179.7(b).
(The ‘‘element’’ is the unit of violation.).
Failure to provide written procedures to its em- 7,500.
ployees.
Use of an employee to perform nondestructive 10,000.
testing on a tank when that employee does
not have the qualifications for that type of non-
destructive testing.
179.11 ................................................ Use of an employee to perform welding on a 10,000.
tank when that employee does not have the
qualifications for that type of welding proce-
dure. Note: also reference §§ 179.100–9,
179.200–10, 179.220–10, 179.300–9, and
179.400–11 as appropriate.
179.13 ................................................ Tank cars may not be built or converted to ex- Varies. See 173.26 for overloaded
ceed 34,500 gallons capacity or 263,000 cars.
pounds gross weight on rail. This is the build-
ing specification only; for tank cars loaded be-
yond capacity or gross weight see 173.26.
179.15 ................................................ Pressure relief device (e.g. rupture disc) that 5,000.
does not conform to the requirements (loaded
car). May also cite 173.31(d).
179.201–3(a) ...................................... Failure to properly line a rubber-lined tank car .... 7,500.
179.201–3(b) ...................................... Three possible violations under this section: 5,000.
64
(1) Failure to produce report certifying that tank

car and its equipment have been brought into
compliance with specification. Must occur prior
to lining tank car with rubber or rubber com-
pound.
(2) Failure of tank car liner to provide copy of re-
port and certification that tank has been lined
in compliance with specs to tank car owner.
(3) Failure of tank car owner to retain reports of
latest lining application until next re-lining has
been accomplished and recorded.
PART 180—CONTINUING QUALIFICATION AND MAINTENANCE OF PACKAGINGS
180 ..................................................... Part 180 prescribes the requirements applicable to any person that manufactures, fab-
ricates, marks, maintains, repairs, inspects, or services tank cars to ensure that the tank
cars are in proper condition for transportation. In addition to the following penalty
amounts, the agency may ‘‘recall’’ all tanks qualified by the tank car facility during the
period the facility failed to comply with the quality assurance requirements. See, for ex-
ample, § 180.509(b)(4).
180.505 .............................................. This section brings the quality assurance requirements of § 179.7 (car construction) into
the tank car maintenance arena. See § 179.7 for penalty guidelines, cite this section and
reference the applicable paragraph(s) or subparagraph(s). No dual penalty will apply.
(Part 180 applies the construction standards of Part 179 to service life maintenance and
requalification of tank cars.)
Tank car specific provisions:
180.509(a) ............................ Failure to comply with requirements for inspection and test.
—Failure to mark a car passing a periodic in- See § 180.515.

spection and test.
—Failure to prepare written report for inspection See § 180.517.
and test performed under this section.
180.509(b) ............................ Failure to perform inspection and test when at 5,000.
least one of the qualifying conditions has been
met.
180.509(c) ............................ Failure to perform inspection and test at speci- 5,000.
fied interval.
180.509(d) ............................ Failure to properly perform visual inspection ....... 7,500.
180.509(e) ............................ Failure to properly perform structural integrity in- 10,000.
spection and test.
180.509(f) ............................. Failure to properly perform thickness test ............ 10,000.
180.509(h) ............................ Failure to properly inspect safety systems ........... 7,500.
180.509(i) ............................. Failure to properly perform lining and coating in- 10,000.
spection and test.
180.509(j) ............................. Failure to properly perform leakage pressure test 7,500.
180.509(l) ............................. Failure to perform inspection and test in accord- 10,000.
ance with the quality assurance program. (Ap-
plies to all non-DOT specification tank cars as
of July 1, 2000, but see § 180.509(l)(3) for
‘‘20-year’’ cars. See also § 179.7(f).).
180.513 ................................ Failure to repair the tank according to Appendix 10,000.
R of the AAR Tank Car Manual.
Use of an employee to perform welding on a 10,000.
tank when that employee does not have the
qualifications for that type of welding proce-
dure.
180.515 ................................ Failure to mark the tank as required .................... 7,500.
180.517 ................................ Failure to report, record, and retain required doc- 7,500.
umentation.
Provisions for tank cars other than single unit tank car tanks:
180.519(a) ............................ Failure to retest at required interval ..................... Cite 180.519(b)(5).

180.519(b)(1) ....................... Failure to perform hydrostatic pressure/expan- 7,500.
sion test as required.
180.519(b)(2) ....................... Failure to perform interior air pressure test as re- 7,500.
quired.
180.519(b)(3) ....................... Failure to test pressure relief valves as required 7,500.
180.519(b)(4) ....................... Failure to remove and inspect frangible discs 5,000.
and fusible plugs.
180.519(b)(5) ....................... Failure to retest at required interval ..................... 3,000.
65
Pt. 209, App. C 49 CFR Ch. II (10–1–07 Edition)
180.519(b)(6) ....................... Failure to stamp tank as required ........................ 5,000.

180.519(c) ............................ Failure to visually inspect as required .................. 5,000.
Failure to use competent persons to perform vis- 5,000.
ual inspection.
180.519(d) ............................ Failure to record and retain documentation. Miti- 7,500.
gate/aggravate depending on the extent of the
violation.
2 A person who knowingly violates the hazardous materials transportation law, or regulation, special permit, approval, or order
issued thereunder, is subject to a civil penalty of at least $250 but not more than $50,000 for each violation, except that the max-
imum civil penalty for a violation is $100,000 if the violation results in death, serious illness or severe injury to any person, or
substantial destruction of property; and a minimum $450 civil penalty applies to a violation related to training. Each day that the
violation continues is a separate offense. 49 U.S.C. 5123; 28 U.S.C. 2461, note.
[61 FR 38647, July 25, 1996, as amended at 69 FR 30591, May 28, 2004; 71 FR 77295, Dec. 26, 2006]
APPENDIX C TO PART 209—FRA’S POLICY and regulations. Also, FRA personnel pro-
STATEMENT CONCERNING SMALL EN- vide guidance to small entities, as needed, in
TITIES applying the law to specific facts and situa-
tions that arise in the course of railroad op-
This policy statement required by the erations. These agency communications take
Small Business Regulatory Enforcement many forms, and are tailored to meet the
Fairness Act of 1996 (Pub. L. 104–121) needs of the requesting party.
(SBREFA) explains FRA’s communication FRA inspectors provide training on the re-
and enforcement policies concerning small quirements of all railroad safety statutes
entities subject to the federal railroad safety and regulations for new and existing small
laws. These policies have been developed to businesses upon request. Also, FRA inspec-
take into account the unique concerns and tors often provide impromptu training ses-
operations of small businesses in the admin- sions in the normal course of their inspec-
istration of the national railroad safety pro- tion duties. FRA believes that this sort of
gram, and will continue to evolve to meet preventive, rather than punitive, commu-
the needs of the railroad industry. For pur- nication greatly enhances railroad safety.
poses of this policy statement, the Regu- FRA’s Office of Safety and Office of Chief
latory Flexibility Act (5 U.S.C. 601, et seq.), Counsel regularly provide oral and written
and the ‘‘excessive demand’’ provisions of responses to questions raised by small enti-
the Equal Justice Act (5 U.S.C. 504 (a)(4), and ties concerning the plain meaning of the
28 U.S.C. 2412 (d)(1)(D)), Class III railroads, railroad safety standards, statutory require-
contractors and hazardous materials shipments, and interpretations of the law. As re-
pers meeting the economic criteria estab- quired by the SBREFA, when FRA issues a
lished for Class III railroads in 49 CFR 1201.1– final rule that has a significant impact on a
1, and commuter railroads or small govern- substantial number of small entities, FRA
mental jurisdictions that serve populations will also issue a compliance guide for small
of 50,000 or less constitute the class of orga- entities concerning that rule.
nizations considered ‘‘small entities’’ or It is FRA’s policy to maintain frequent
‘‘small businesses.’’ and open communications with the national
FRA understands that small entities in the representatives of the primary small entity
railroad industry have significantly different associations and to consult with these orga-
characteristics than larger carriers and ship- nizations before embarking on new policies
pers. FRA believes that these differences ne- that may impact the interests of small busi-
cessitate careful consideration in order to nesses. In some regions of the country where
ensure that those entities receive appro- the concentration of small entities is par-
priate treatment on compliance and enforce- ticularly high, FRA Regional Administrators
ment matters, and enhance the safety of have established programs in which all small
railroad operations. Therefore, FRA has de- entities in the region meet with FRA re-
veloped programs to respond to compliance- gional specialists on a regular basis to dis-
related inquiries of small entities, and to en- cuss new regulations, persistent safety con-
sure proper handling of civil penalty and cerns, emerging technology, and compliance
other enforcement actions against small issues. Also, FRA regional offices hold peri-
businesses. odic conferences, in which specific blocks of
time are set aside to meet with small busi-
SMALL ENTITY COMMUNICATION POLICY
nesses and hear their concerns.
It is FRA’s policy that all agency per- In addition to these communication prac-
sonnel respond in a timely and comprehen- tices, FRA has instituted an innovative part-
sive fashion to the inquiries of small entities nership program that expands the extent to
concerning rail safety statutes, safety regu- which small entities participate in the devel-
lations, and interpretations of these statutes opment of policy and process. The Railroad
66
Federal Railroad Administration, DOT Pt. 210
Safety Advisory Committee (RSAC) has been and SBREFA: The severity of the safety or
established to advise the agency on the de- health risk presented; the existence of alter-
velopment and revision of railroad safety native methods of eliminating the safety
standards. The committee consists of a wide hazard; the entity’s culpability; the entity’s
range of industry representatives, including compliance history; the entity’s ability to
organizations that represent the interests of pay the assessment; the impacts an assess-
small business. The small entity representa- ment might exact on the entity’s continued
tive groups that sit on the RSAC may ap- business; and evidence that the entity acted
point members of their choice to participate in good faith. FRA staff attorneys regularly
in the development of new safety standards. invite small entities to present any informa-
This reflects FRA’s policy that small busi- tion related to these factors, and reduce civil
ness interests must be heard and considered penalty assessments based on the value and
in the development of new standards to en- integrity of the information presented. Staff
sure that FRA does not impose unnecessary attorneys conduct conference calls or meet
economic burdens on small businesses, and with small entities to discuss pending viola-
to create more effective standards. Finally, tions, and explain FRA’s view on the merits
FRA’s Web site (http://www.fra.dot.gov) of any defenses or mitigating factors pre-
makes pertinent agency information avail- sented that may have resulted or failed to
able instantly to the public. result in penalty reductions. Among the
FRA’s longstanding policy of open commu- ‘‘other factors’’ FRA considers at this stage
nication with small entities is apparent in is the promptness and thoroughness of the
these practices. FRA will make every effort entity’s remedial action to correct the viola-
to develop new and equally responsive com- tions and prevent a recurrence. Small enti-
munication procedures as is warranted by ties should be sure to address these factors
new developments in the railroad industry. in communications with FRA concerning
civil penalty cases. Long-term solutions to
SMALL ENTITY ENFORCEMENT POLICY compliance problems will be given great
FRA has adopted an enforcement policy weight in FRA’s determinations of a final
that addresses the unique nature of small en- settlement offer.
tities in the imposition of civil penalties and Finally, under FRA’s Safety Assurance and
resolution of those assessments. Pursuant to Compliance Program (SACP), FRA identifies
FRA’s statutory authority, and as described systemic safety hazards that continue to
in Appendix A to 49 CFR part 209, it is FRA’s occur in a carrier or shipper operation, and
policy to consider a variety of factors in de- in cooperation with the subject business, de-
termining whether to take enforcement ac- velops an improvement plan to eliminate
tion against persons, including small enti- those safety concerns. Often, the plan pro-
ties, who have violated the safety laws and vides small entities with a reasonable time
regulations. In addition to the seriousness of frame in which to make improvements with-
the violation and the person’s history of out the threat of civil penalty. If FRA deter-
compliance, FRA inspectors consider ‘‘such mines that the entity has failed to comply
other factors as the immediate cir- with the improvement plan, however, en-
cumstances make relevant.’’ In the context forcement action is initiated.
of violations by small entities, those factors FRA’s small entity enforcement policy is
include whether the violations were made in flexible and comprehensive. FRA’s first pri-
good faith (e.g., based on an honest mis- ority in its compliance and enforcement ac-
understanding of the law), and whether the tivities is public and employee safety. How-
small entity has moved quickly and thor- ever, FRA is committed to obtaining compli-
oughly to remedy the violation(s). In gen- ance and enhancing safety with reasoned,
eral, the presence of both good faith and fair methods that do not inflict undue hard-
prompt remedial action militates against ship on small entities.
taking a civil penalty action, especially if [68 FR 24894, May 9, 2003]
the violations are isolated events. On the
other hand, violations involving willful ac-
tions and/or posing serious health, safety, or PART 210—RAILROAD NOISE EMIS-
environmental threats should ordinarily re- SION COMPLIANCE REGULA-
sult in enforcement actions, regardless of the
entity’s size.
TIONS
Once FRA has assessed a civil penalty, it is
authorized to adjust or compromise the ini- Subpart A—General Provisions
tial penalty claims based on a wide variety
of mitigating factors, unless FRA must ter- Sec.
minate the claim for some reason. FRA has 210.1 Scope of part.
the discretion to reduce the penalty as it 210.3 Applicability.
deems fit, but not below the statutory mini- 210.5 Definitions.
mums. The mitigating criteria FRA evalu- 210.7 Responsibility for noise defective rail-
ates are found in the railroad safety statutes road equipment.
67
§ 210.1 49 CFR Ch. II (10–1–07 Edition)
210.9 Movement of a noise defective loco- (3) Sound emitted by warning de-
motive, rail car, or consist of a loco- vices, such as horns, whistles, or bells
motive and rail cars. when operated for the purpose of safe-
210.11 Waivers.
ty;
210.13 Penalty.
(4) Special purpose equipment that
Subpart B—Inspection and Testing may be located on or operated from
rail cars;
210.21 Scope of subpart. (5) As prescribed in 40 CFR 201.10, the
210.23 Authorization. provisions of 40 CFR 201.11 (a) and (b)
210.25 Measurement criteria and procedures. and (c) do not apply to gas
210.27 New locomotive certification.
210.29 Operation standards (moving loco- turbinepowered locomotives or any lo-
motives and rail cars). comotive type that cannot be con-
210.31 Operation standards (stationary loco- nected by any standard method to a
motives at 30 meters). load cell; or
210.33 Operation standards (switcher loco- (6) Inert retarders.
motives, load cell test stands, car cou-
pling operations, and retarders). [48 FR 56758, Dec. 23, 1983, as amended at 54
FR 33228, Aug. 14, 1989]
APPENDIX A TO PART 210—SUMMARY OF NOISE
STANDARDS, 40 CFR PART 201 § 210.5 Definitions.
APPENDIX B TO PART 210—SWITCHER LOCO-
MOTIVE ENFORCEMENT POLICY (a) Statutory definitions. All terms
AUTHORITY: Sec. 17, Pub. L. 92–574, 86 Stat.
used in this part and defined in the
1234 (42 U.S.C. 4916); sec. 1.49(o) of the regula- Noise Control Act of 1972 (42 U.S.C. 4901
tions of the Office of the Secretary of Trans- et seq.) have the definition set forth in
portation, 49 CFR 1.49(o). that Act.
(b) Definitions in standards. All terms
SOURCE: 48 FR 56758, Dec. 23, 1983, unless
otherwise noted. used in this part and defined in § 201.1
of the Railroad Noise Emission Stand-
ards, 40 CFR 201.1, have the definition
Subpart A—General Provisions set forth in that section.
§ 210.1 Scope of part. (c) Additional definitions. As used in
this part—
This part prescribes minimum com- Administrator means the Federal Rail-
pliance regulations for enforcement of road Administrator, the Deputy Ad-
the Railroad Noise Emission Standards ministrator, or any official of FRA to
established by the Environmental Pro- whom the Administrator has delegated
tection Agency in 40 CFR part 201. authority to act in the Administrator’s
stead.
§ 210.3 Applicability.
Consist of a locomotive and rail cars
(a) Except as provided in paragraph means one or more locomotives cou-
(b) of this section, the provisions of pled to a rail car or rail cars.
this part apply to the total sound emit- FRA means the Federal Railroad Ad-
ted by moving rail cars and loco- ministration.
motives (including the sound produced Inert retarder means a device or sys-
by refrigeration and air conditioning tem for holding a classified cut of cars
units that are an integral element of and preventing it from rolling out the
such equipment), active retarders, bottom of a railyard.
switcher locomotives, car coupling op- Inspector means FRA inspectors or
erations, and load cell test stands, op- FRA specialists.
erated by a railroad as defined in 45 Noise defective means the condition in
U.S.C. 22, under the conditions de- which railroad equipment is found to
scribed in this part and in 40 CFR part exceed the Railroad Noise Emission
201. Standards, 40 CFR part 201.
(b) The provisions of this part do not Railroad equipment means rail cars,
apply to— locomotives, active retarders, and load
(1) Steam locomotives; cell test stands.
(2) Street, suburban, or interurban Standards means the Railroad Noise
electric railways unless operated as a Emission Standards, 40 CFR part 201.
part of the general railroad system of (See appendix A in this part for a list-
transportation; ing.)
68
§ 210.7 Responsibility for noise defec- the Noise Control Act of 1972 (42 U.S.C.
tive railroad equipment. 4910), as amended.
Any railroad that uses railroad
equipment that is noise defective or Subpart B—Inspection and Testing
engages in a car coupling operating
that results in excessive noise accord- § 210.21 Scope of subpart.
ing to the criteria established in this This subpart prescribes the compli-
part and in the Standards is respon- ance criteria concerning the require-
sible for compliance with this part. ments for inspection and testing of
Subject to § 210.9, such railroad shall— railroad equipment or operations cov-
(a) Correct the noise defect; ered by the Standards.
(b) Remove the noise defective rail-
road equipment from service; or § 210.23 Authorization.
(c) Modify the car coupling procedure
to bring it within the prescribed noise (a) An inspector is authorized to per-
limits. form any noise test prescribed in the
Standards and in the procedures of this
§ 210.9 Movement of a noise defective part at any time, at any appropriate
locomotive, rail car, or consist of a location, and without prior notice to
locomotive and rail cars. the railroad, for the purpose of deter-
A locomotive, rail car, or consist of a mining whether railroad equipment is
locomotive and rail cars that is noise in compliance with the Standards.
defective may be moved no farther (b)(1) An inspector is authorized to
than the nearest forward facility where request that railroad equipment and
the noise defective conditions can be appropriate railroad personnel be made
eliminated only after the locomotive, available for a passby or stationary
rail car, or consist of a locomotive and noise emission test, as prescribed in
rail cars has been inspected and been the Standards and in the procedures of
determined to be safe to move. this part, and to conduct such test, at
a reasonable time and location, for the
§ 210.11 Waivers. purpose of determining whether the
(a) Any person may petition the Ad- railroad equipment is in compliance
ministrator for a waiver of compliance with the Standards.
with any requirement in this part. A (2) If the railroad has the capability
waiver of compliance with any require- to perform an appropriate noise emis-
ment prescribed in the Standards may sion test, as prescribed in the Stand-
not be granted under this provision. ards and in the procedures of this part,
(b) Each petition for a waiver under an inspector is authorized to request
this section must be filed in the man- that the railroad test railroad equip-
ner and contain information required ment. The railroad shall perform the
by 49 CFR part 211. appropriate test as soon as practicable.
(c) If the Administrator finds that a (3) The request referred to in this
waiver of compliance applied for under paragraph will be in writing, will state
paragraph (a) of this section is in the the grounds upon which the inspector
public interest and is consistent with has reason to believe that the railroad
railroad noise abatement and safety, equipment does not conform to the
the Administrator may grant a waiver Standards, and will be presented to an
subject to any condition he deems nec- appropriate operating official of the
essary. Notice of each waiver granted, railroad.
including a statement of the reasons (4) Testing or submission for testing
therefor, will be published in the FED- is not required if the cause of the noise
ERAL REGISTER. defect is readily apparent and the in-
spector verifies that it is corrected by
§ 210.13 Penalty. the replacement of defective compo-
Any person who operates railroad nents or by instituting a normal main-
equipment subject to the Standards in tenance or repair procedure.
violation of any requirement of this (c)(1) An inspector is authorized to
part or of the Standards is liable to inspect or examine a locomotive, rail
penalty as prescribed in section 11 of car, or consist of a locomotive and rail
69
§ 210.25 49 CFR Ch. II (10–1–07 Edition)
cars operated by a railroad, or to re- once each year by its manufacturer, a

quest that the railroad inspect or ex- representative of its manufacturer, or
amine the locomotive, rail car, or con- a person of equivalent special com-
sist of a locomotive and rail cars, petence to verify that its accuracy
whenever the inspector has reason to meets the manufacturer’s design cri-
believe that it does not conform to the teria.
requirements of the Standards. (2) An acoustical calibrator of the
(2) An inspector may request that a microphone coupler type designed for
railroad conduct an inspection or ex- the sound level measurement system in
amination of a locomotive, rail car, or use shall be used to calibrate the sound
consist of a locomotive and rail cars on level measurement system in accord-
the basis of an excessive noise emission ance with paragraph (b)(1)(i) of this
level measured by a passby test. If, section. The calibration must meet or
after such inspection or examination, exceed the accuracy requirements spec-
no mechanical condition that would re- ified in section 5.4.1 of the American
sult in a noise defect can be found and National Standard Institute Standards,
the inspector verifies that no such me- ‘‘Method for Measurement of Sound
chanical condition exists, the loco- Pressure Levels,’’ (ANSI S1.13–1971) for
motive, rail car, or consist of a loco- field method measurements.
motive and rail cars may be continued (c) Acoustical environment, weather
in service. conditions, and background noise re-
(3) The requests referred to in this quirements are prescribed in § 201.23 of
paragraph will be in writing, will state the Standards. In addition, a measure-
the grounds upon which the inspector ment tolerance of 2 dB(A) for a given
has reason to believe that the loco- measurement will be allowed to take
motive, rail car, or consist of a loco- into account the effects of the factors
motive and rail cars does not conform listed below and the interpretations of
to the Standards, and will be presented these effects by enforcement personnel:
to an appropriate operating official of (1) The common practice of reporting
the railroad. field sound level measurements to the
(4) The inspection or examination re- nearest whole decibel;
ferred to in this paragraph may be con- (2) Variations resulting from com-
ducted only at recognized inspection mercial instrument tolerances;
points or scheduled stopping points. (3) Variations resulting from the to-
pography of the noise measurement
§ 210.25 Measurement criteria and pro- site;
cedures. (4) Variations resulting from atmos-
The parameters and procedures for pheric conditions such as wind, ambi-
the measurement of the noise emission ent temperature, and atmospheric pres-
levels are prescribed in the Standards. sure; and
(a) Quantities measured are defined (5) Variations resulting from re-
in § 201.21 of the Standards. flected sound from small objects al-
(b) Requirements for measurement lowed within the test site.
instrumentation are prescribed in
§ 201.22 of the Standards. In addition, § 210.27 New locomotive certification.
the following calibration procedures (a) A railroad shall not operate a lo-
shall be used: comotive built after December 31, 1979,
(1)(i) The sound level measurement unless the locomotive has been cer-
system including the microphone shall tified to be in compliance with the
be calibrated and appropriately ad- Standards.
justed at one or more nominal fre- (b) The certification prescribed in
quencies in the range from 250 through this section shall be determined for
1000 Hz at the beginning of each series each locomotive model, by either—
of measurements, at intervals not ex- (1) Load cell testing in accordance
ceeding 1 (one) hour during continual with the criteria prescribed in the
use, and immediately following a meas- Standards; or
urement indicating a violation. (2) Passby testing in accordance with
(ii) The sound level measurement the criteria prescribed in the Stand-
system shall be checked not less than ards.
70
(c) If passby testing is used under Standards and are stated in appendix A
paragraph (b)(2) of this section, it shall of this part. If speed measurement
be conducted with the locomotive oper- equipment used by the inspector at the
ating at maximum rated horsepower time of the measurement is not oper-
output. ating within an accuracy of 5 miles per
(d) Each new locomotive certified hour, evaluation for compliance shall
under this section shall be identified by be made in accordance with § 201.13(2)
a permanent badge or tag attached in of the Standards.
the cab of the locomotive near the lo- (c) Locomotives and rail cars tested
cation of the inspection Form F 6180.49. pursuant to the procedures prescribed
The badge or tag shall state: in this part and in the Standards shall
(1) Whether a load cell or passby test be considered in noncompliance when-
was used; ever the test measurement, minus the
(2) The date and location of the test; appropriate tolerance (§ 210.25), exceeds
and the noise emission levels prescribed in
(3) The A-weighted sound level read- appendix A of this part.
ing in decibels obtained during the
passby test, or the readings obtained at § 210.31 Operation standards (sta-
idle throttle setting and maximum tionary locomotives at 30 meters).
throttle setting during a load cell test. (a) For stationary locomotives at
load cells:
§ 210.29 Operation standards (moving (1) Each noise emission test shall
locomotives and rail cars). begin after the engine of the loco-
The operation standards for the noise motive has attained the normal cooling
emission levels of moving locomotives, water operating temperature as pre-
rail cars, or consists of locomotives scribed by the locomotive manufac-
and rail cars are prescribed in the turer.
Standards and duplicated in appendix (2) Noise emission testing in idle or
A of this part. maximum throttle setting shall start
(a) Measurements for compliance after a 40 second stabilization period in
shall be made in compliance with the the throttle setting selected for the
provisions of subpart C of the Stand- test.
ards and the following: (3) After the stabilization period as
(1) Consists of locomotives con- prescribed in paragraph (a)(2) of this
taining at least one locomotive unit section, the A-weighted sound level
manufactured prior to December 31, reading in decibels shall be observed
1979, shall be evaluated for compliance for an additional 30-second period in
in accordance with § 201.12(a) of the the throttle setting selected for the
Standards, unless a locomotive within test.
the consist is separated by at least 10 (4) The maximum A-weighted sound
rail car lengths or 500 feet from other level reading in decibels that is ob-
locomotives in the consist, in which served during the 30-second period of
case such separated locomotives may time prescribed in paragraph (a)(3) of
be evaluated for compliance according this section shall be used for test meas-
to their respective built dates. urement purposes.
(2) Consists of locomotives composed (b) The following data determined by
entirely of locomotive units manufac- any locomotive noise emission test
tured after December 31, 1979, shall be conducted after December 31, 1976,
evaluated for compliance in accordance shall be recorded in the ‘‘Remarks’’
with § 201.12(b) of the Standards. section on the reverse side of Form F
(3) If the inspector cannot establish 6180.49:
the built dates of all locomotives in a (1) Location of test;
consist of locomotives measured under (2) Type of test;
moving conditions, evaluation for com- (3) Date of test; and
pliance shall be made in accordance (4) The A-weighted sound level read-
with § 201.12(a) of the Standards. ing in decibels obtained during the
(b) Noise emission standards for rail passby test, or the readings obtained at
cars operating under moving condi- idle throttle setting and maximum
tions are contained in § 201.13 of the throttle setting during a load cell test.
71
§ 210.33 49 CFR Ch. II (10–1–07 Edition)
(c) Any locomotive subject to this priate tolerance (§ 210.25), exceeds the
part that is found not to be in compli- noise emission levels precribed in ap-
ance with the Standards as a result of pendix A of this part.
a passby test shall be subjected to a
load cell test or another passby test § 210.33 Operation standards (switcher
prior to return to service, except that locomotives, load cell test stands,
no such retest shall be required if the car coupling operations, and re-
cause of the noise defect is readily ap- tarders).
parent and is corrected by the replace- (a) Measurement on receiving prop-
ment of defective components or by a erty of the noise emission levels from
normal maintenance or repair proce- switcher locomotives, load cell test
dure. stands, car coupling operations, and re-
(d) The last entry recorded on Form
tarders shall be performed in accord-
F 6180.49 as required in paragraph (b) of
this section shall be transcribed to a ance with the requirements of 40 CFR
new Form FRA F 6180.49 when it is part 201 and § 210.25 of this part.
posted in the locomotive cab. (b) These sources shall be considered
(e) Locomotives tested pursuant to in noncompliance whenever the test
the procedures prescribed in this part measurement, minus the appropriate
and in the Standards shall be consid- tolerance (§ 210.25), exceeds the noise
ered in noncompliance wherever the emission levels prescribed in appendix
test measurement, minus the appro- A of this part.
APPENDIX A TO PART 210—SUMMARY OF NOISE STANDARDS, 40 CFR PART 201

Noise
standard— Measurement lo-
Paragraph and section Noise source A weighted Noise measure 1 cation
sound
level in dB
All Locomotives Manufactured on or Before 31

December 1979
201.11(a) .................... Stationary, Idle Throttle Setting ............................ 73 Lmax (slow) .......... 30 m (100 ft)
201.11(a) .................... Stationary, All Other Throttle Settings .................. 93 ......do ................. Do.
201.12(a) .................... Moving ................................................................... 96 Lmax (fast) ........... Do.
All Locomotives Manufactured After 31
December 1979
201.11(b) .................... Stationary, Idle Throttle Setting ............................ 70 Lmax (slow) .......... Do.
201.11(b) .................... Stationary, All Other Throttle Settings .................. 87 ......do ................. Do.
201.12(b) .................... Moving ................................................................... 90 Lmax (fast) ........... Do.
201.11(c) and Additional Requirement for Switcher Locomotives 65 L90 (fast) 2 ........... Receiving prop-
201.12(c). Manufactured on or Before 31 December 1979 erty
Operating in Yards Where Stationary Switcher
and other Locomotive Noise Exceeds the Re-
ceiving Property Limit of.
201.11(c) .................... Stationary, Idle Throttle Setting ............................ 70 Lmax (slow) .......... 30 m (100 ft)
201.11(c) .................... Stationary, All Other Throttle Settings .................. 87 ......do ................. Do.
201.12(c) .................... Moving ................................................................... 90 Lmax (fast) ........... Do.
Rail Cars
201.13(1) .................... Moving at Speeds of 45 mph or Less .................. 88 ......do ................. Do.
201.13(2) .................... Moving at Speeds Greater than 45 mph .............. 93 ......do ................. Do.
Other Yard Equipment and Facilities
201.14 ........................ Retarders ............................................................... 83 Ladjavemax (fast) .... Receiving prop-
erty
201.15 ........................ Car-Coupling Operations ...................................... 92 ......do ................. Do.
201.16 ........................ Locomotive Load Cell Test Stands, Where the 65 L90 (fast) 2 ........... Do.
Noise from Locomotive Load Cell Operations
Exceeds the Receiving Property Limits of.
201.16(a) .................... Primary Standard .................................................. 78 Lmax (slow) .......... 30 m (100 ft).
72
Noise
standard— Measurement lo-
Paragraph and section Noise source A weighted Noise measure 1 cation
sound
level in dB
201.16(b) .................... Secondary Standard if 30-m Measurement Not 65 L90 (fast) ............. Receiving prop-
Feasible. erty located
more than 120
m from Load
Cell.
1L
max=Maximum sound level; L90=Statistical sound level exceeded 90% of the time; Ladjavemax=Adjusted average maximum
sound level.
2L
90 must be validated by determining that L10–L99 is less than or equal to 4dB (A).
[48 FR 56758, Dec. 23, 1983; 49 FR 1521, Jan. 12, 1984]
APPENDIX B TO PART 210—SWITCHER PART 211—RULES OF PRACTICE

LOCOMOTIVE ENFORCEMENT POLICY
Subpart A—General
The EPA standards require that the noise
emissions from all switcher locomotives in a Sec.
particular facility be less than prescribed 211.1 General.
levels measured at 30 meters, under all oper- 211.3 Participation by interested persons.
ating modes. This requirement is deemed to 211.5 Regulatory docket.
be met unless ‘‘receiving property’’ noise due 211.7 Filing requirements.
to switcher locomotives exceeds 65 dB(A), 211.9 Content of rulemaking and waiver pe-
when measured in accordance with subpart C titions.
of 40 CFR part 201. The 65 dB(A) receiving
property standard is the ‘‘trigger’’ for requir- Subpart B—Rulemaking Procedures
ing the 30-meter test of switcher loco- 211.11 Processing of petitions for rule-
motives. making.
The purpose underlying FRA’s enforce- 211.13 Initiation and completion of rule-
ment of the noise standards is to reduce the making proceedings.
impact of rail operations noise on receiving 211.15 Notice and participation.
properties. In some instances, measures 211.17 Publication and contents of notices.
other than the 30-meter test approach may 211.19 Petitions for extensions of time to
more effectively reduce the noise levels at comment.
receiving properties; therefore, FRA enforce- 211.21 Consideration of comments received.
ment efforts will focus on abatement proce- 211.23 Additional public proceedings.
dures that will achieve a reduction of receiv- 211.25 Hearings.
ing property noise levels to less than 65 211.27 Publication of adopted rules and
withdrawal of notices.
dB(A).
211.29 Petitions for reconsideration of a
For example, a parked, idling locomotive, final rule.
even if equipped with exhaust silencing that 211.31 Proceedings on petitions for reconsid-
meets the stationary locomotive standard eration of a final rule.
(30-meter test), may cause the receiving 211.33 Direct final rulemaking procedures.
property standard to be exceeded if located
on trackage adjacent to the receiving prop- Subpart C—Waivers
erty. In that case, application of the 30-
meter test to other switcher locomotives at 211.41 Processing of petitions for waiver of
the facility may not serve to reduce the re- safety rules.
ceiving property noise level. On the other 211.43 Processing of other waiver petitions.
hand, operational changes by the railroad 211.45 Petitions for emergency waiver of
safety rules.
could significantly reduce receiving property
noise levels. In such case, FRA would con-
Subpart D—Emergency Orders
sider retesting after abatement measures
have been taken. If the receiving property 211.47 Review procedures.
noise level is below the trigger and the
abatement action is adopted, FRA would not Subpart E—Miscellaneous Safety-Related
make a 30-meter test of the switcher loco- Proceedings and Inquiries
motives at the facility.
211.51 Tests.
211.53 Signal applications.
211.55 Special approvals.
73
§ 211.1 49 CFR Ch. II (10–1–07 Edition)
211.57 Petitions for reconsideration. Avenue, N.W., Mail Stop 10, Wash-
211.59 Proceedings on petitions for reconsid- ington, D.C. 20590 or the Docket Clerk,
eration. Department of Transportation Central
211.61 Informal safety inquiries.
Docket Management System, Nassif
Subpart F—Interim Procedures for the Building, Room Pl-401, 400 Seventh
Review of Emergency Orders Street, S.W., Washington, D.C. 20590–
0001.
211.71 General. (5) Railroad Safety Board means the
211.73 Presiding officer; powers. Railroad Safety Board, Office of Safe-
211.75 Evidence. ty, Federal Railroad Administration,
211.77 Appeal to the Administrator. Washington, DC 20590.
APPENDIX A TO PART 211—STATEMENT OF (c) Records relating to proceedings
AGENCY POLICY CONCERNING WAIVERS RE- and inquiries subject to this part are
LATED TO SHARED USE OF TRACKAGE OR
available for inspection as provided in
RIGHTS-OF-WAY BY LIGHT RAIL AND CON-
VENTIONAL OPERATIONS
part 7 of this title.
AUTHORITY: 49 U.S.C. 20103, 20107, 20114, [41 FR 54181, Dec. 13, 1976, as amended at 64
20306, 20502–20504, and 49 CFR 1.49. FR 70195, Dec. 16, 1999]
SOURCE: 41 FR 54181, Dec. 13, 1976, unless § 211.3 Participation by interested per-
otherwise noted. sons.
Any person may participate in pro-
Subpart A—General ceedings and inquiries subject to this
part by submitting written informa-
§ 211.1 General. tion or views. The Administrator may
(a) This part prescribes rules of prac- also permit any person to participate
tice that apply to rulemaking and in additional proceedings, such as in-
waiver proceedings, review of emer- formal appearances, conferences, or
gency orders issued under 45 U.S.C. 432, hearings at which a transcript or min-
and miscellaneous safety-related pro- utes are kept, to assure informed ad-
ceedings and informal safety inquiries. ministrative action and protect the
The specific time limits for disposition public interest.
of proceedings apply only to pro-
ceedings initiated after December 31, § 211.5 Regulatory docket.
1976, under the Federal Railroad Safety (a)(1) Records of the Federal Railroad
Act of 1970 (45 U.S.C. 421 et seq.). When Administration created after Novem-
warranted, FRA will extend these time ber 1, 1998, concerning each proceeding
limits in individual proceedings. How- subject to this part are maintained in
ever, each proceeding under the Fed- current docket form by the DOT Dock-
eral Railroad Safety Act shall be dis- et Management System. These records
posed of within 12 months after the include rulemaking and waiver peti-
date it is initiated. A proceeding shall tions, emergency orders, notices, com-
be deemed to be initiated and the time ments received in response to notices,
period for its disposition shall begin on hearing transcripts, final rules, denials
the date a petition or application that of rulemaking petitions, grants and de-
complies with the requirements of this nial of waiver and other petitions. Also
chapter is received by the person des- included are records pertaining to ap-
ignated in § 211.7. plications for special approval under
(b) As used in this part— § 211.55 and § 238.21 of this chapter, peti-
(1) Administrator means the Federal tions for grandfathering approval
Railroad Administrator or the Deputy under § 238.203 of this chapter, signal
Administrator or the delegate of either applications under parts 235 and 236 of
of them. this chapter, and informal safety in-
(2) Waiver includes exemption. quiries under § 211.61.
(3) Safety Act means the Federal Rail- (2) Any person may examine dock-
road Safety Act of 1970, as amended (45 eted material created after November
U.S.C. 421 et seq.). 1, 1998:
(4) Docket Clerk means the Docket (i) At the DOT Docket Management
Clerk, Office of Chief Counsel, Federal System, room Pl-401 (plaza level), 400
Railroad Administration, 1120 Vermont Seventh Street, S.W. Washington, D.C.
74
20590. Copies of docketed materials (2) All comments submitted in re-

may be obtained upon payment of the sponse to a notice and other material
fees prescribed by the Docket Manage- pertaining to proceedings subject to
ment System, or this part, including comments sub-
(ii) Through the Internet at http:// mitted in response to requests for spe-
dms.dot.gov. All docketed materials are cial approval under § 211.55 and § 238.21
available for viewing and may be of this chapter, petitions for
downloaded for electronic storage or grandfathering approval under § 238.203
printing. There is no charge for this
of this chapter, and signal applications
service.
under parts 235 and 236 of this chapter,
(b) Records of the Federal Railroad
Administration created before Novem- shall be submitted to the DOT Central
ber 1, 1998, concerning each proceeding Docket Management System and shall
subject to this part are available in contain the assigned docket number for
FRA’s Docket Office, seventh floor, that proceeding. The form of such sub-
1120 Vermont Avenue, Washington, DC missions may be in written or elec-
20590. Any person may examine dock- tronic form consistent with the stand-
eted material at that location during ards and requirements established by
normal business hours. Copies of dock- the Central Docket Management Sys-
eted material may be obtained upon tem and posted on its web site at http://
payment of the fees prescribed in part dms.dot.gov.
7 of this title.
(c) Any person may examine dock- [64 FR 70195, Dec. 16, 1999]
eted material in the office where it is
§ 211.9 Content of rulemaking and
maintained. Copies of docketed mate-
waiver petitions.
rial other than commercially prepared
transcripts may be obtained upon pay- Each petition for rulemaking or
ment of the fees prescribed in part 7 of waiver must:
this title. (a) Set forth the text or substance of
[41 FR 54181, Dec. 13, 1976, as amended at 64 the rule, regulation, standard or
FR 70195, Dec. 16, 1999] amendment proposed, or specify the
rule, regulation or standard that the
§ 211.7 Filing requirements. petitioner seeks to have repealed or
(a) Any person may petition the Ad- waived, as the case may be;
ministrator for issuance, amendment, (b) Explain the interest of the peti-
repeal or permanent or temporary tioner, and the need for the action re-
waiver of any rule or regulation. A pe- quested; in the case of a petition for
tition for waiver must be submitted at waiver, explain the nature and extent
least 3 months before the proposed ef- of the relief sought, and identify and
fective date, unless good cause is describe the persons, equipment, in-
shown for not doing so. stallations and locations to be covered
(b)(1) All petitions and applications by the waiver;
subject to this part, including applica-
(c) Contain sufficient information to
tions for special approval under § 211.55
support the action sought including an
and § 238.21 of this chapter, petitions
evaluation of anticipated impacts of
for grandfathering approval under
§ 238.203 of this chapter, and signal ap- the action sought; each evaluation
plications under parts 235 and 236 of shall include an estimate of resulting
this chapter, shall be submitted in trip- costs to the private sector, to con-
licate to the FRA Docket Clerk. Each sumers, and to Federal, State and local
petition received shall be acknowl- governments as well as an evaluation
edged in writing. The acknowledgment of resulting benefits, quantified to the
shall contain the docket number as- extent practicable. Each petition per-
signed to the petition or application taining to safety regulations must also
and state the date the petition or ap- contain relevant safety data.
plication was received. Within 60 days
following receipt, FRA will advise the
petitioner or applicant of any defi-
ciencies in its petition or application.
75
§ 211.11 49 CFR Ch. II (10–1–07 Edition)
Subpart B—Rulemaking months after the initial notice in that

Procedures proceeding is published in the FEDERAL
REGISTER. However, if it was initiated
§ 211.11 Processing of petitions for as the result of the granting of a rule-
rulemaking. making petition, the rulemaking pro-
(a) General. Each petition for rule- ceeding shall be completed not later
making filed as prescribed in §§ 211.7 than 12 months after the petition was
and 211.9 is referred to the head of the filed as prescribed in §§ 211.7 and 211.9.
office responsible for the subject mat-
ter of the petition to review and rec- § 211.15 Notice and participation.
ommend appropriate action to the Ad- (a) Except as provided in paragraph
ministrator. No public hearing or oral (c) of this section, or when the Admin-
argument is held before the Adminis- istrator finds for good cause that no-
trator decides whether the petition tice is impractical, unnecessary, or
should be granted. However, a notice contrary to the public interest (and in-
may be published in the FEDERAL REG- corporates the findings and a brief
ISTER inviting written comments con- statement of the reasons therefore in
cerning the petition. Each petition the rules issued), an advance notice or
shall be granted or denied not later notice of proposed rulemaking is pub-
than six months after its receipt by the lished in the FEDERAL REGISTER and in-
Docket Clerk. terested persons are invited to partici-
(b) Grants. If the Administrator de- pate in the rulemaking proceedings
termines that a rulemaking petition with respect to each substantive rule.
complies with the requirements of (b) Unless the Administrator deter-
§ 211.9 and that rulemaking is justified, mines that notice and public rule-
he initiates a rulemaking proceeding making proceedings are necessary or
by publishing an advance notice or no- desirable, interpretive rules, general
tice of proposed rulemaking in the statements of policy, and rules relating
FEDERAL REGISTER. to organization, procedure, or practice,
(c) Denials. If the Administrator de- including those relating to agency
termines that a rulemaking petition management or personnel, are pre-
does not comply with the requirements scribed as final without notice or other
of § 211.9 or that rulemaking is not jus- public rulemaking proceedings.
tified, he denies the petition. If the pe-
(c) An advance notice or notice of
tition pertains to railroad safety, the
proposed rulemaking is issued and in-
Administrator may also initiate an in-
terested persons are invited to partici-
formal safety inquiry under § 211.61.
pate in rulemaking proceedings with
(d) Notification; closing of docket.
respect only to those procedural and
Whenever the Administrator grants or
substantive rules of general applica-
denies a rulemaking petition, a notice
bility relating to public property,
of the grant or denial is mailed to the
loans, grants, benefits, or contracts
petitioner. If the petition is denied, the
which the Administrator has deter-
proceeding is terminated and the dock-
mined to be of substantial public inter-
et for that petition is closed.
est.
§ 211.13 Initiation and completion of
rulemaking proceedings. § 211.17 Publication and contents of
notices.
The Administrator initiates all rule-
making proceedings on his own motion Each advance notice or notice of pro-
by publishing an advance notice of proposed rulemaking is published in the
posed rulemaking or a notice of pro- FEDERAL REGISTER and includes—
posed rulemaking in the FEDERAL REG- (a) A statement of the time, place
ISTER. However, he may consider the and nature of the proposed rulemaking
recommendations of interested persons proceeding;
or other agencies of the United States. (b) A reference to the authority
A separate docket is established and under which it is issued;
maintained for each rulemaking pro- (c) A description of the subjects or
ceeding. Each rulemaking proceeding issues involved or the substance or
shall be completed not later than 12 terms of the proposed rule;
76
(d) A statement of the time within § 211.25 Hearings.

which written comments must be sub- (a) A hearing will be held if required
mitted and the required number of cop- by statute or the Administrator finds
ies; and it necessary or desirable.
(e) A statement of how and to what (b) Except for statutory hearings re-
extent interested persons may partici- quired to be on the record—
pate in the proceeding. (1) Hearings are fact-finding pro-
ceedings, and there are no formal
§ 211.19 Petitions for extensions of pleadings or adverse parties;
time to comment. (2) Any rule issued in a proceeding in
(a) Any person may petition the Ad- which a hearing is held is not based ex-
ministrator for an extension of time to clusively on the record of the hearing;
submit comments in response to an ad- and
vance notice or notice of proposed rule- (3) Hearings are conducted in accord-
ance with section 553 of title 5, U.S.C.;
making. The petition must be received
section 556 and 557 of title 5 do not
by the FRA Docket Clerk not later
apply to hearings held under this part.
than 10 days before expiration of the (c) The Administrator conducts or
time stated in the notice and must con- designates a representative to conduct
tain reference to the FRA docket num- any hearing held under this part. The
ber for the proceeding involved. The Chief Counsel serves or designates a
filing of the petition does not auto- member of his staff to serve as legal of-
matically extend the time for peti- ficer at the hearing.
tioner’s comments.
(b) The Administrator grants the pe- § 211.27 Publication of adopted rules
tition only if the petitioner shows a and withdrawal of notices.
substantive interest in the proposed Whenever the Administrator adopts a
rule and good cause for the extension, final rule or withdraws an advance no-
and if time permits and the extension tice or notice of proposed rulemaking,
is in the public interest. Extensions the final rule or a notice of withdrawal
will not be granted unless time permits is published in the FEDERAL REGISTER.
and will not exceed one month. If an § 211.29 Petitions for reconsideration
extension is granted, it is granted as to of a final rule.
all persons and a notice of the exten-
(a) Any person may petition the Ad-
sion is published in the FEDERAL REG-
ministrator for reconsideration of any
ISTER.
rule issued under this part. Except for
[41 FR 54181, Dec. 13, 1976, as amended at 64 good cause shown, such a petition must
FR 70195, Dec. 16, 1999] be submitted not later than 60 days
after publication of the rule in the
§ 211.21 Consideration of comments re- FEDERAL REGISTER, or 10 days prior to
ceived. the effective date of the rule, which-
All timely comments are considered ever is the earlier. The petition must
before final action is taken on a rule- contain a brief statement of the com-
making proposal. Late-filed comments plaint and an explanation as to why
will be considered so far as possible compliance with the rule is not pos-
sible, is not practicable, is unreason-
without incurring additional expense
able, or is not in the public interest.
or delay.
(b) If the petitioner requests consid-
§ 211.23 Additional public proceedings. eration of additional facts, he must
state the reason they were not pre-
The Administrator may conduct sented to the Administrator within the
other public proceedings that he finds allotted time.
necessary or desirable. For example, he (c) The Administrator does not con-
may invite interested persons to sider repetitious petitions.
present oral arguments, participate in (d) Unless the Administrator specifi-
conferences, or appear at informal cally provides otherwise, and publishes
hearings. notice thereof in the FEDERAL REG-
ISTER, the filing of a petition under
77
§ 211.31 49 CFR Ch. II (10–1–07 Edition)
this section does not stay the effective- by statute) is received, the rule will be-
ness of a rule. come effective a specified number of
days after the date of publication.
FR 27593, May 31, 1977] (c) If no adverse comment or request
for oral hearing is received by the Fed-
§ 211.31 Proceedings on petitions for eral Railroad Administration within
reconsideration of a final rule. the specified time of publication in the
(a) The Administrator may grant or FEDERAL REGISTER, the Federal Rail-
deny, in whole or in part, any petition road Administration will publish a no-
for reconsideration of a final rule with- tice in the FEDERAL REGISTER indi-
out further proceedings. Each petition cating that no adverse comment was
shall be decided not later than 4 received and confirming that the rule
months after its receipt by the Docket will become effective on the date that
Clerk. In the event he determines to re- was indicated in the direct final rule.
consider a rule, the Administrator may (d) If the Federal Railroad Adminis-
amend the rule or initiate a new rule- tration receives any written adverse
making proceeding. An appropriate no- comment or request for oral hearing
tice is published in the FEDERAL REG- within the specified time of publication
ISTER.
in the FEDERAL REGISTER, a notice
(b) Whenever the Administrator de- withdrawing the direct final rule will
termines that a petition should be be published in the final rule section of
granted or denied, a notice of the grant the FEDERAL REGISTER and, if the Fed-
eral Railroad Administration decides a
or denial of a petition for reconsider-
rulemaking is warranted, a notice of
ation is sent to the petitioner. When a
proposed rulemaking will be published
petition is granted, a notice is pub-
in the proposed rule section of the FED-
lished in the FEDERAL REGISTER.
ERAL REGISTER.
(c) The Administrator may consoli-
(e) An ‘‘adverse’’ comment for the
date petitions relating to the same
purpose of this subpart means any
rule.
comment that the Federal Railroad
§ 211.33 Direct final rulemaking proce- Administration determines is critical
dures. of the rule, suggests that the rule
should not be adopted, or suggests a
(a) Rules that the Administrator
change that should be made in the rule.
judges to be noncontroversial and un-
likely to result in adverse public com- [72 FR 10087, Mar. 7, 2007]
ment may be published in the final rule
section of the FEDERAL REGISTER as di- Subpart C—Waivers
rect final rules. These include non-
controversial rules that: § 211.41 Processing of petitions for
(1) Affect internal procedures of the waiver of safety rules.
Federal Railroad Administration, such (a) General. Each petition for a per-
as filing requirements and rules gov- manent or temporary waiver of a safe-
erning inspection and copying of docu- ty rule, regulation or standard filed as
ments, prescribed in §§ 211.7 and 211.9, is re-
(2) Are nonsubstantive clarifications ferred to the Railroad Safety Board for
or corrections to existing rules, decision and decided not later than 9
(3) Update existing forms, and months after receipt.
(4) Make minor changes in the sub- (b) Notice and hearing. If required by
stantive rules regarding statistics and statute or the Administrator or the
reporting requirements. Railroad Safety Board deems it desir-
(b) The FEDERAL REGISTER document able, a notice is published in the FED-
will state that any adverse comment or ERAL REGISTER, an opportunity for pub-
notice of intent to submit adverse com- lic comment is provided, and a hearing
ment must be received in writing by is held in accordance with § 211.25, be-
the Federal Railroad Administration fore the petition is granted or denied.
within the specified time after the date (c) Grants. If the Railroad Safety
of publication and that, if no written Board determines that the petition
adverse comment or request for oral complies with the requirements of
hearing (if such opportunity is required § 211.9 and that a waiver is justified, it
78
grants the petition. Conditions may be also notified or a notice is published in

imposed on the grant of waiver if the the FEDERAL REGISTER.
Board concludes they are necessary to (f) Petitions for reconsideration. Any
assure safety or are in the public inter- person may petition for reconsider-
est. ation of the grant or denial of a waiver
(d) Denials. If the Railroad Safety under procedures set forth in § 211.57.
Board determines that the petition Each petition shall be processed in ac-
does not comply with the requirements cordance with § 211.59.
of § 211.9 or that a waiver is not justi-
fied, it denies the petition. § 211.45 Petitions for emergency waiv-
(e) Notification. Whenever the Rail- er of safety rules.
road Safety Board grants or denies a
(a) General. This section applies only
petition, a notice of that grant or de-
to petitions for waiver of a safety rule,
nial is sent to the petitioner. When a
petition has been decided, interested regulation, or standard that FRA de-
persons are also notified or a notice is termines are directly related to the oc-
published in the FEDERAL REGISTER. currence of, or imminent threat of, an
(f) Petition for reconsideration. Any emergency event. For purposes of this
person may petition for reconsider- section an emergency event could be
ation of the grant or denial of a waiver local, regional, or national in scope and
under procedures set forth in § 211.57. includes a natural or manmade dis-
Each petition shall be processed in ac- aster, such as a hurricane, flood, earth-
cordance with § 211.59. quake, mudslide, forest fire, significant
snowstorm, terrorist act, biological
§ 211.43 Processing of other waiver pe- outbreak, release of a dangerous radio-
titions. logical, chemical, or biological mate-
(a) General. Except as provided in rial, war-related activity, or other
§ 211.41, each petition for a permanent similar event.
or temporary waiver of a rule, regula- (b) Emergency Relief Docket. Each cal-
tion or standard shall be filed and proc- endar year FRA creates an Emergency
essed as prescribed in §§ 211.7 and 211.9. Relief Docket (ERD) in the publicly ac-
(b) Notice and hearing. If required by cessible DOT Document Management
statute or the Administrator deems it System (DMS). The DMS can be
desirable, a notice is published in the accessed 24 hours a day, seven days a
FEDERAL REGISTER, an opportunity for week, via the Internet at the docket fa-
public comment is provided, and a cility’s Web site at http://dms.dot.gov.
hearing is held in accordance with All documents in the DMS are avail-
§ 211.25, before the petition is granted able for inspection and copying on the
or denied. Web site or are available for examina-
(c) Grants. If the Administrator de-
tion at the DOT Docket Management
termines that the petition complies
Facility, Room PL–401 (Plaza Level),
with the requirements of § 211.9 and
400 7th Street, SW., Washington, DC
that a waiver is justified, he grants the
waiver. Conditions may be imposed on 20590 during regular business hours (9
the grant of waiver if the Adminis- a.m.–5 p.m.). By January 31st of each
trator concludes they are necessary to year, FRA publishes a notice in the
achieve the purposes of programs af- FEDERAL REGISTER identifying by
fected by the grant of waiver or are docket number the ERD for that year.
otherwise in the public interest. A notice will also be published in the
(d) Denials. If the Administrator de- previous year’s ERD identifying the
termines that the petition does not new docket number.
comply with the requirements of § 211.9 (c) Determining the existence of an
or that a waiver is not justified, he de- emergency event. If the Administrator
nies the waiver. determines that an emergency event
(e) Notification. Whenever the Admin- identified in paragraph (a) of this sec-
istrator grants or denies a petition, a tion has occurred, or that an imminent
notice of the grant or denial is sent to threat of it occurring exists, and deter-
the petitioner. When a petition has mines that public safety or recovery ef-
been decided, interested persons are forts require that the provisions of this
79
§ 211.45 49 CFR Ch. II (10–1–07 Edition)
section be implemented, the Adminis- XXX–1.) Thus, each petition submitted

trator will activate the Emergency Re- to the ERD will have a unique docu-
lief Docket identified in paragraph (d) ment number which should be identi-
of this section. In determining whether fied on all communications related to
an emergency exists, the Adminis- petitions contained in this docket. If
trator may consider declarations of FRA determines that the petition does
emergency made by local, State, or not meet the criteria for use of these
Federal officials, and determinations emergency procedures, FRA will notify
by the Federal government that a cred- the petitioner and will process the peti-
ible threat of a terrorist attack exists. tion under normal waiver procedures of
(d) Additional notification. When pos- this subpart.
sible, FRA will post the FRA Adminis- (h) Comments. Comments should be
trator’s determination described in submitted within 72 hours from the
paragraph (b)(1) of this section on its close of business on the day that the
website at http://www.fra.dot.gov. FRA petition is entered into and available
will also publish a notice in the FED- on the DMS. Any comment received
ERAL REGISTER alerting interested par- after that period will be considered to
ties of the FRA Administrator’s deter- the extent practicable. All comments
mination as soon as practicable. should identify the appropriate ERD
(e) Content of petitions for emergency and should identify the specific docu-
waivers. Petitions submitted to FRA ment number of the petition des-
pursuant to this section should specifi- ignated by the DMS in the ERD. Inter-
cally address how the petition is re- ested parties commenting on a petition
lated to the emergency, and to the ex- under this section should also include
tent practicable, contain the informa- in their comments to the ERD tele-
tion required under § 211.9(a) and (b). phone numbers at which their rep-
The petition should at a minimum de- resentatives may be reached. Inter-
scribe the following: how the petitioner ested parties may submit their com-
or public is affected by the emergency ments using any of the following meth-
(including the impact on railroad oper- ods:
ations); what FRA regulations are im- (1) Direct e-mail to FRA at:
plicated by the emergency (e.g. move- RRS.Correspondence@fra.dot.gov.
ment of defective equipment); how (2) Direct fax to FRA at: 202–493–6309.
waiver of the implicated regulations (3) Submission of comments to the
would benefit petitioner during the Docket Clerk, DOT Docket Manage-
emergency; and how long the peti- ment Facility, Room PL–401 (Plaza
tioner expects to be affected by the Level), 400 7th Street, SW., Wash-
emergency. ington, DC 20590 or electronically via
(f) Filing requirements. Petitions filed the internet at http://dms.dot.gov. Any
under this section, shall be submitted comments or information sent directly
using any of the following methods: to FRA will be immediately provided
(1) Direct e-mail to FRA at: to the DOT DMS for inclusion in the
RRS.Correspondence@fra.dot.gov; ERD.
(2) Direct fax to FRA at: 202–493–6309; (i) Request for hearing. Parties desir-
or ing a public hearing on any petition
(3) To FRA Docket Clerk, Office of being processed under this section
Chief Counsel, RCC–10, Mail Stop 10, must notify FRA through the comment
1120 Vermont Avenue, NW., Wash- process identified in paragraph (h) of
ington, DC 20590, fax no. (202) 493–6068. this section within 72 hours from the
(g) FRA Handling and Initial Review. close of business on the day that the
Upon receipt and initial review of a pe- petition is entered into and available
tition for waiver, to verify that it on the DMS. In response to a request
meets the criteria for use of these for a public hearing, FRA will arrange
emergency procedures, FRA will add a telephone conference between all in-
the petition to the ERD. The DMS terested parties to provide an oppor-
numbers each document that is added tunity for oral comment. The con-
to a docket. (For example, the first ference will be arranged as soon as
document submitted to the docket in practicable. After such conference, if a
2006 will be identified as FRA–2006– party stills desires a public hearing on
80
the petition, then a public hearing will drawal of the Emergency order. If the
be arranged as soon as practicable pur- controversy is not resolved at the con-
suant to the provisions contained in 49 ference and a hearing is desired, the pe-
CFR part 211. titioner must submit a written request
(j) Decisions. FRA may grant a peti- for a hearing within 15 days after the
tion for waiver prior to conducting a conference. The hearing will commence
public hearing if such action is in the within 14 calendar days f receipt of the
public interest and consistent with request and will be conducted in ac-
safety or in situations where a hearing cordance with sections 556 and 575, title
request is received subsequent to the 5, U.S.C. Each petition for review shall
72-hour comment period. In such an in- be decided not later than 3 months
stance, FRA will notify the party re-
after receipt.
questing the public hearing of its deci-
(b) Unless stayed or modified by the
sion and will arrange to conduct such
hearing as soon as practicable. Administrator, the requirements of
(1) FRA reserves the right to reopen each Emergency order shall remain in
any docket and reconsider any decision effect and be observed pending decision
made pursuant to these emergency pro- on a petition for review.
cedures based upon its own initiative
or based upon information or com- Subpart E—Miscellaneous Safety-
ments received subsequent to the 72- Related Proceedings and Inquiries
hour comment period or at a later
scheduled public hearing. § 211.51 Tests.
(2) FRA decision letters, either (a) Pursuant to the Department of
granting or denying a petition, will be
Transportation Act (80 Stat. 931, 49
posted in the appropriate ERD and will
U.S.C. 1651 et seq.), the Federal Rail-
reference the document number of the
road Safety Act of 1970 (84 Stat. 971, 45
petition to which it relates.
(3) Relief granted shall not extend for U.S.C. 421, 431–441), or both, the Admin-
more than nine months. istrator may temporarily suspend com-
(4) For matters that may signifi- pliance with a substantive rule of the
cantly impact the missions of the De- Federal Railroad Administration, if:
partment of Homeland Security, FRA (1) The suspension is necessary to the
consults with the Department of Home- conduct of a Federal Railroad Adminis-
land Security as soon as practicable. tration approved test program designed
to evaluate the effectiveness of new
[72 FR 17438, Apr. 9, 2007]
technology or operational approaches
or instituted in furtherance of a
Subpart D—Emergency Orders present or proposed rulemaking pro-
§ 211.47 Review procedures. ceeding;
(2) The suspension is limited in scope
(a) As specified in section 203, Public and application to such relief as may
Law 91–458, 84 Stat. 972 (45 U.S.C. 432), be necessary to facilitate the conduct
opportunity for review of Emergency
of the test program; and
orders issued under that section will be
(3) The suspension is conditioned on
provided in accordance with section 554
of title 5 of the U.S.C. Petitions for the observance of standards sufficient
such review must be submitted in writ- to assure safety.
ing to the Office of Chief Counsel, Fed- (b) When required by statute, a no-
eral Railroad Administration, Wash- tice is published in the FEDERAL REG-
ington, DC 20590. Upon receipt of a pe- ISTER, an opportunity is provided for
tition, FRA will immediately contact public comment, and a hearing is held
the petitioner and make the necessary in accordance with § 211.25, before the
arrangements for a conference to be FRA approved test program is imple-
held at the earliest date acceptable to mented.
the petitioner. At this conference, the (c) When the Administrator approves
petitioner will be afforded an oppor- suspension of compliance with any rule
tunity to submit facts, arguments and in connection with a test program, a
proposals for modification or with-
81
§ 211.53 49 CFR Ch. II (10–1–07 Edition)
description of the test program con- § 211.59 Proceedings on petitions for

taining an explanatory statement re- reconsideration.
sponsive to paragraph (a) of this sec- (a) The Administrator may invite
tion is published in the FEDERAL REG- public comment or seek a response
ISTER. from the party at whose request the
final action was taken before deciding
§ 211.53 Signal applications. a petition for reconsideration sub-
Applications for approval of dis- mitted under § 211.57.
continuance or material modification (b) The Administrator may reaffirm,
of a signal system authorized by part modify, or revoke the final action
235 or waiver of a requirement of part without further proceedings and shall
236 of this chapter must be submitted issue notification of his decision to the
in triplicate to the Secretary, Railroad petitioner and other interested parties
Safety Board, handled in accordance or publish a notice in the FEDERAL
with procedures set forth in part 235 or REGISTER. Each petition for reconsider-
236, respectively, and decided not later ation shall be decided not later than 4
than 9 months after receipt. When a de- months after receipt. Petitions for re-
cision is issued, the applicant and consideration relating to the same rule
other interested parties are notified or may be consolidated for decision. In
a notice is published in the FEDERAL the event the Administrator deter-
mines to reconsider a final action, and
REGISTER.
appropriate notice is published in the
§ 211.55 Special approvals. FEDERAL REGISTER.
Requests for special approval per- § 211.61 Informal safety inquiries.
taining to safety not otherwise pro-
The Administrator may conduct in-
vided for in this chapter, must be sub-
formal safety inquiries to collect infor-
mitted in triplicate to the Secretary, mation on selected topics relating to
Railroad Safety Board; specifying the railroad safety. A notice of each such
action requested. These requests shall inquiry will be published in the FED-
be considered by the Board and appro- ERAL REGISTER outlining the area of in-
priate action shall be taken not later quiry and inviting interested persons
than 9 months after receipt. When a de- to assist by submitting written mate-
cision is issued, the requestor and rial or participating in informal public
other interested parties are notified or conferences and discussions. Upon com-
a notice is published in the FEDERAL pletion of the inquiry, the Adminis-
REGISTER. trator will review the information ob-
tained and may, on his own motion,
§ 211.57 Petitions for reconsideration. initiate a rulemaking proceeding under
(a) Any person may petition the Ad- § 211.13 or take whatever other action
ministrator for reconsideration of final he deems appropriate.
action taken in proceedings subject to
subpart C or E of this part. Subpart F—Interim Procedures for
(b) The petition must specify with the Review of Emergency Orders
particularity the grounds for modifica-
tion or revocation of the action in AUTHORITY: Secs. 203 and 208(a), 84 Stat.
question. 972, 974–975 (45 U.S.C. 432, 437(a)) and 5 U.S.C.
(c) The Administrator does not con- 554–559.
sider repetitious petitions. SOURCE: 44 FR 13029, Mar. 9, 1979, unless
(d) Unless the Administrator specifi- otherwise noted.
cally provides otherwise, and gives no-
tice to interested parties or publishes § 211.71 General.
notice in the FEDERAL REGISTER, the (a) This subpart consists of interim
filing of a petition under this section procedures for the review of emergency
does not stay the effectiveness of the orders issued under section 203 of the
action sought to be reconsidered. Federal Railroad Safety Act of 1970,
supplementing § 211.47 of this part.
82
(b) Proceedings under this subpart ceptions of the party to the decision,
are subject to the requirements of 5 making reference to the portions of the
U.S.C. 554–559. administrative record which are be-
(c) Notwithstanding § 211.1 of this lieved to support the exceptions. The
part, as used in this subpart Adminis- notice of appeal and any supporting pa-
trator means the Federal Railroad Ad- pers shall be accompanied by a certifi-
ministrator or Deputy Administrator. cate stating that they have been served
on all parties to the proceeding.
§ 211.73 Presiding officer; powers.
(b) [Reserved]
(a) An administrative hearing for the
review of an emergency order is pre- APPENDIX A TO PART 211—STATEMENT
sided over by the Administrator or by OF AGENCY POLICY CONCERNING
an administrative law judge designated WAIVERS RELATED TO SHARED USE
at the request of FRA pursuant to 5 OF TRACKAGE OR RIGHTS-OF-WAY BY
CFR 930.213. LIGHT RAIL AND CONVENTIONAL OP-
(b) The presiding officer may exercise ERATIONS
the powers of the FRA to regulate the
conduct of the hearing and associated 1. By statute, the Federal Railroad Admin-
proceedings for the purpose of achiev- istration (FRA) may grant a waiver of any
rule or order if the waiver ‘‘is in the public
ing a prompt and fair determination of
interest and consistent with railroad safe-
all material issues in controversy. ty.’’ 49 U.S.C. 20103(d). Waiver petitions are
(c) The final decision of the presiding reviewed by FRA’s Railroad Safety Board
officer shall set forth findings and con- (the ‘‘Safety Board’’) under the provisions of
clusions based on the administrative 49 CFR part 211. Waiver petitions must con-
record. That decision may set aside, tain the information required by 49 CFR
modify or affirm the requirements of 211.9. The Safety Board can, in granting a
the emergency order under review. waiver, impose any conditions it concludes
(d) Except as provided in § 211.77, the are necessary to assure safety or are in the
public interest. If the conditions under which
decision of the presiding officer is ad-
the waiver was granted change substantially,
ministratively final. or unanticipated safety issues arise, FRA
may modify or withdraw a waiver in order to
§ 211.75 Evidence. ensure safety.
(a) The Federal Rules of Evidence for 2. Light rail equipment, commonly re-
United States Courts and Magistrates ferred to as trolleys or street railways, is not
shall be employed as general guidelines designed to be used in situations where there
for the introduction of evidence in pro- is a reasonable likelihood of a collision with
much heavier and stronger conventional rail
ceedings under this subpart. However,
equipment. However, existing conventional
except as provided in paragraph (b) of railroad tracks and rights-of-way provide at-
this section, all relevant and probative tractive opportunities for expansion of light
evidence offered by a party shall be re- rail service.
ceived in evidence. 3. Light rail operators who intend to share
(b) The presiding officer may deny use of the general railroad system trackage
the admission of evidence which is de- with conventional equipment and/or whose
termined to be— operations constitute commuter service (see
(1) Unduly repetitive; or Appendix A of 49 CFR part 209 for relevant
(2) So extensive and lacking in rel- definitions) will either have to comply with
FRA’s safety rules or obtain a waiver of ap-
evance or probative effect that its ad- propriate rules. Light rail operators whose
mission would impair the prompt, or- operations meet the definition of urban rapid
derly, and fair resolution of the pro- transit and who will share a right-of-way or
ceeding. corridor with a conventional railroad but
will not share trackage with that railroad
§ 211.77 Appeal to the Administrator. will be subject to only those rules that per-
(a) Any party aggrieved by the final tain to any significant point of connection to
the general system, such as a rail crossing at
decision of a presiding officer (other
grade, a shared method of train control, or
than the Administrator) may appeal to shared highway-rail grade crossings.
the Administrator. The appeal must be 4. Shared use of track refers to situations
filed within twenty (20) days from where light rail transit operators conduct
issuance of the presiding officer’s deci- their operations over the lines of the general
sion and must set forth the specific ex-
system, and includes light rail operations
83
that are wholly separated in time (tem- presented or have changed substantially,
porally separated) from conventional oper- FRA may revise its initial determination.
ations as well as light rail operations oper-
ating on the same trackage at the same time II. GENERAL FACTORS TO ADDRESS IN A
as conventional rail equipment (simulta- PETITION FOR APPROVAL OF SHARED USE
neous joint use). Where shared use of general 1. Like all waiver petitions, a Petition for
system trackage is contemplated, FRA be- Approval of Shared Use will be reviewed by
lieves a comprehensive waiver request cov- the Safety Board. A non-voting FTA liaison
ering all rules for which a waiver is sought to the Safety Board will participate in an ad-
makes the most sense. FRA suggests that a visory capacity in the Safety Board’s consid-
petitioner caption such a waiver petition as eration of all such petitions. This close co-
a Petition for Approval of Shared Use so as operation between the two agencies will en-
to distinguish it from other types of waiver sure that FRA benefits from the insights,
petitions. The light rail operator should file particularly with regard to operational and
the petition. All other affected railroads will financial issues, that FTA can provide about
be able to participate in the waiver pro- light rail operations, as well as from FTA’s
ceedings by commenting on the petition and knowledge of and contacts with state safety
providing testimony at a hearing on the peti- oversight programs. This working relation-
tion if anyone requests such a hearing. If any ship will also ensure that FTA has a fuller
other railroad will be affected by the pro- appreciation of the safety issues involved in
posed operation in such a way as to neces- each specific shared use operation and a
sitate a waiver of any FRA rule, that rail- voice in shaping the safety requirements
road may either join with the light rail oper- that will apply to such operations.
ator in filing the comprehensive petition or 2. FRA resolves each waiver request on its
file its own petition. own merits based on the information pre-
5. In situations where the light rail oper- sented and the agency’s own investigation of
ator is an urban rapid transit system that the issues. In general, the greater the safety
will share a right-of-way or corridor with the risks inherent in a proposed operation the
conventional railroad but not share track- greater will be the mitigation measures re-
age, any waiver petition should cover only quired. While FRA cannot state in advance
the rules that may apply at any significant what kinds of waivers will be granted or de-
points of connection between the rapid tran- nied, we can provide guidance to those who
sit line and the other railroad. A Petition for may likely be requesting waivers to help en-
Approval of Shared Use would not be appro- sure that their petitions address factors that
priate in such a case. FRA will no doubt consider important.
3. FRA’s procedural rules give a general de-
I. PRELIMINARY JURISDICTIONAL
scription of what any waiver petition should
DETERMINATIONS
contain, including an explanation of the na-
Where a light rail operator is uncertain ture and extent of the relief sought; a de-
whether the planned operation will be sub- scription of the persons, equipment, installa-
ject to FRA’s safety jurisdiction and, if so, tions, and locations to be covered by the
to what extent, the operator may wish to ob- waiver; an evaluation of expected costs and
tain FRA’s views on the jurisdictional issues benefits; and relevant safety data. 49 CFR
before filing a waiver petition. In that case, 211.9. The procedural rules, of course, are not
the light rail operator (here including a tran- specifically tailored to situations involving
sit authority that may not plan to actually light rail operations over the general sys-
operate the system itself) should write to tem, where waiver petitions are likely to in-
FRA requesting such a determination. The volve many of FRA’s regulatory areas. In
letter should be addressed to Chief Counsel, such situations, FRA suggests that a Peti-
Federal Railroad Administration, 1120 tion for Approval of Shared Use address the
Vermont Ave., NW., Mail Stop 10, Wash- following general factors.
ington, DC 20590, with a copy to the Asso- A. Description of operations. You should ex-
ciate Administrator for Safety at the same plain the frequency and speeds of all oper-
address at Mail Stop 25. The letter should ad- ations on the line and the nature of the dif-
dress the criteria (found in 49 CFR part 209, ferent operations. You should explain the na-
appendix A) FRA uses to determine whether ture of any connections between the light
it has jurisdiction over a rail operation and rail and conventional operations.
to distinguish commuter from urban rapid •If the light rail line will operate on any
transit service. A complete description of the segments (e.g., a street railway portion) that
nature of the contemplated operation is es- will not be shared by a conventional rail-
sential to an accurate determination. FRA road, describe those segments and their con-
will attempt to respond promptly to such a nection with the shared use segments. If the
request. Of course, FRA’s response will be petitioner has not previously sought and re-
based only on the facts as presented by the ceived a determination from FRA concerning
light rail operator. If FRA subsequently jurisdictional issues, explain, using the cri-
learns that the facts are different from those teria set out in 49 CFR part 209, Appendix A,
84
whether the light rail operation is, in the pe- vided by the alternative measures the peti-
titioner’s view, a commuter operation or tioner proposes.
urban rapid transit. (1) Most light rail operations that entail
•You should describe precisely what the re- some shared use of the general system will
spective hours of operation will be for each also have segments that are not on the gen-
type of equipment on the shared use seg- eral system. FTA’s rules on rail fixed guide-
ments. If light rail and conventional oper- way systems will probably apply to those
ations will occur only at different times of other segments. If so, the petition for waiver
day, describe what means of protection will of FRA’s rules should explain how the sys-
ensure that the different types of equipment tem safety program plan adopted under
are not operated simultaneously on the same FTA’s rules may affect safety on the por-
track, and how protection will be provided to tions of the system where FRA’s rules apply.
ensure that, where one set of operations be- Under certain circumstances, effective im-
gins and the other ends, there can be no plementation of such a plan may provide
overlap that would possibly result in a colli- FRA sufficient assurance that adequate
sion. measures are in place to warrant waiver of
•If the light rail and conventional oper- certain FRA rules.
ations will share trackage during the same (2) In its petition, the light rail operator
time periods, the petitioners will face a steep may want to certify that the subject matter
burden of demonstrating that extraordinary addressed by the rule to be waived is ad-
safety measures will be taken to adequately dressed by the system safety plan and that
reduce the likelihood of a collision between the light rail operation will be monitored by
conventional and light rail equipment to the the state safety oversight program. That is
point where the safety risks associated with likely to expedite FRA’s processing of the
joint use would be acceptable. You should ex- petition. FRA will analyze information sub-
plain the nature of such simultaneous joint mitted by the petitioner to demonstrate that
use, the system of train control, the fre- a safety matter is addressed by the light rail
quency and proximity of both types of oper- operator’s system safety plan. Alternately,
ations, the training and qualifications of all conditional approval may be requested at an
operating personnel in both types of oper-
early stage in the project, and FRA would
ations, and all methods that would be used
thereafter review the system safety program
to prevent collisions. You should also in-
plan’s status to determine readiness to com-
clude a quantitative risk assessment con-
mence operations. Where FRA grants a waiv-
cerning the risk of collision between the
er, the state agency will oversee the area ad-
light rail and conventional equipment under
dressed by the waiver, but FRA will actively
the proposed operating scenario.
participate in partnership with FTA and the
B. Description of equipment. (1) You should
state agency to address any safety problems.
describe all equipment that will be used by
the light rail and conventional operations. D. Documentation of agreement with affected
Where the light rail equipment does not railroads. Conventional railroads that will
meet the standards of 49 CFR part 238, you share track with the light rail operation
should provide specifics on the crash surviv- need not join as a co-petitioner in the light
ability of the light rail equipment, such as rail operator’s petition. However, the peti-
static end strength, sill height, strength of tion should contain documentation of the
corner posts and collision posts, side precise terms of the agreement between the
strength, etc. light rail operator and the conventional rail-
(2) Given the structural incompatibility of road concerning any actions that the con-
light rail and conventional equipment, FRA ventional railroad must take to ensure effec-
has grave concerns about the prospect of op- tive implementation of alternative safety
erating these two types of equipment simul- measures. For example, if temporal separa-
taneously on the same track. If the light rail tion is planned, FRA expects to see the con-
and conventional operations will share ventional railroad’s written acceptance of its
trackage during the same time periods, you obligations to ensure that the separation is
should provide an engineering analysis of the achieved. Moreover, if the arrangements for
light rail equipment’s resistance to damage the light rail service will require the conven-
in various types of collisions, including a tional railroad to employ any alternative
worst case scenario involving a failure of the safety measures rather than strictly comply
collision avoidance systems resulting in a with FRA’s rules, that railroad will have to
collision between light rail and conventional seek its own waiver (or join in the light rail
equipment at track speeds. operator’s petition).
C. Alternative safety measures to be employed
III. WAIVER PETITIONS INVOLVING NO SHARED
in place of each rule for which waiver is sought.
USE OF TRACK AND LIMITED CONNECTIONS
The petition should specify exactly which
BETWEEN LIGHT RAIL AND CONVENTIONAL
rules the petitioner desires to be waived. For
OPERATIONS
each rule, the petition should explain ex-
actly how a level of safety at least equal to Even where there is no shared use of track,
that afforded by the FRA rule will be pro- light rail operators may be subject to certain
85
FRA rules based on limited, but significant FRA’s standards do not apply and the peti-
connections to the general system. tion need not address those segments with
1. Rail crossings at grade. Where a light rail regard to each specific rule from which waiv-
operation and a conventional railroad have a ers are sought with regard to shared use
crossing at grade, several FRA rules may trackage.
apply to the light rail operation at the point
of connection. If movements at the crossing 1. Track, structures, and signals.
are governed by a signal system, FRA’s sig- A. Track safety standards (part 213). For
nal rules (49 CFR parts 233, 235, and 236)
general system track used by both the con-
apply, as do the signal provisions of the
ventional and light rail lines, the track
hours of service statute, 49 U.S.C. 21104. To
standards apply and a waiver is very un-
the extent radio communication is used to
likely. A light rail operation that owns track
direct the movements, the radio rules (part
over which the conventional railroad oper-
220) apply. The track rules (part 213) cover
ates may wish to consider assigning respon-
any portion of the crossing that may affect
sibility for that track to the other railroad.
the movement of the conventional railroad.
If so, the track owner must follow the proce-
Of course, if the conventional railroad has
dure set forth in 49 CFR 213.5(c). Where such
responsibility for compliance with certain of
the rules that apply at that point (for exam- an assignment occurs, the owner and as-
ple, where the conventional railroad main- signee are responsible for compliance.
tains the track and signals and dispatches B. Signal systems reporting requirements (part
all trains), the light rail operator will not 233). This part contains reporting require-
have compliance responsibility for those ments with respect to methods of train oper-
rules and would not need a waiver. ation, block signal systems, interlockings,
2. Shared train control systems. Where a traffic control systems, automatic train
light rail operation is governed by the same stop, train control, and cab signal systems,
train control system as a conventional rail- or other similar appliances, methods, and
road (e.g., at a moveable bridge that they systems. If a signal system failure occurs on
both traverse), the light rail operator will be general system track which is used by both
subject to applicable FRA rules (primarily conventional and light rail lines, and trig-
the signal rules in parts 233, 235, and 236) if gers the reporting requirements of this part,
it has maintenance or operating responsi- the light rail operator must file, or cooper-
bility for the system. ate fully in the filing of, a signal system re-
3. Highway-Rail Grade Crossings. Light rail port. The petition should explain whether
operations over highway-rail grade crossings the light rail operator or conventional rail-
also used by conventional trains will be sub- road is responsible for maintaining the sig-
ject to FRA’s rules on grade crossing signal nal system. Assuming that the light rail op-
system safety (part 234) and the requirement erator (or a contractor hired by this oper-
to have auxiliary lights on locomotives (49 ator) has responsibility for maintaining the
CFR 229.125). Even if the conventional rail- signal system, that entity is the logical
road maintains the crossing, the light rail choice to file each signal failure report, and
operation will still be responsible for report- a waiver is very unlikely. Moreover, since a
ing and taking appropriate actions in re- signal failure first observed by a light rail
sponse to warning system malfunctions. operator can later have catastrophic con-
In any of these shared right-of-way situa- sequences for a conventional railroad using
tions involving significant connections, the the same track, a waiver would jeopardize
light rail operator may petition for a waiver rail safety on that general system trackage.
of any rules that apply to its activities. Even if the conventional railroad is respon-
sible for maintaining the signal systems, the
IV. FACTORS TO ADDRESS RELATED TO light rail operator must still assist the rail-
SPECIFIC REGULATIONS AND STATUTES road in reporting all signal failures by noti-
Operators of light rail systems are likely fying the conventional railroad of such fail-
to apply for waivers of many FRA rules. FRA ures.
offers the following suggestions on factors C. Grade crossing signal system safety (part
petitioners may want to address concerning 234). This part contains minimum standards
specific areas of regulation. (All ‘‘part’’ ref- for the maintenance, inspection, and testing
erences are to title 49 CFR.) Parts 209 (Rail- of highway-rail grade crossing warning sys-
road Safety Enforcement Procedures), 211 tems, and also prescribes standards for the
(Rules of Practice), 212 (State Safety Partici- reporting of system failures and minimum
pation), and 216 (Special Notice and Emer- actions that railroads must take when such
gency Order Procedures) are largely proce- warning systems malfunction. If a grade
dural rules that are unlikely to be the sub- crossing accident or warning activation fail-
ject of waivers, so those parts are not dis- ure occurs during light rail operations on
cussed further. For segments of a light rail general system track that is used by both
line not involving operations over the gen- conventional and light rail lines, the light
eral system, assuming the light rail oper- rail operator must submit, or cooperate with
ation meets the definition of ‘‘rapid transit,’’ the other railroad to ensure the submission
86
of, a report to FRA within the required time this part only if it (or a contractor hired by
frame (24 hours for an accident report, or 15 the operation) owns or has responsibility for
days for a grade crossing signal system acti- installing, inspecting, maintaining, and re-
vation failure report). The petition should pairing the signal system. If the light rail
explain whether the light rail operator or operation has these responsibilities, a waiver
conventional railroad is responsible for would be unlikely because a signal failure
maintaining the grade crossing devices. As- would jeopardize the safety of both the light
suming that the light rail operator (or a con- rail operation and the conventional railroad.
tractor hired by this operator) has responsi- If the conventional railroad assumes all of
bility for maintaining the grade crossing de- the responsibilities under this part, the light
vices, that entity is the logical choice to file rail operation would not need a waiver, but
each grade crossing signal failure report, and it would have to abide by all operational lim-
a waiver is very unlikely. Moreover, since a itations imposed this part and by the con-
grade crossing warning device failure first ventional railroad. The petition should dis-
observed by a light rail operator can later cuss whether the light rail operator or con-
have catastrophic consequences for a conventional railroad has responsibility for in-
ventional railroad using the same track, a stalling, inspecting, maintaining, and repair-
waiver would jeopardize rail safety on that ing the signal system.
general system trackage. However, if the
conventional railroad is responsible for 2. Motive power and equipment.
maintaining the grade crossing devices, the A. Railroad noise emission compliance regula-
light rail operator will still have to assist tions (part 210). FRA issued this rule under
the railroad in reporting all grade crossing the Noise Control Act of 1972, 42 U.S.C. 4916,
signal failures. Moreover, regardless of rather than under its railroad safety author-
which railroad is responsible for mainte- ity. Because that statute included a defini-
nance of the grade crossing signals, any rail- tion of ‘‘railroad’’ borrowed from one of the
road (including a light rail operation) oper- older railroad safety laws, this part has an
ating over a crossing that has experienced an exception for ‘‘street, suburban, or inter-
activation failure, partial activation, or urban electric railways unless operated as a
false activation must take the steps required part of the general railroad system of trans-
by this rule to ensure safety at those loca- portation.’’ 49 CFR 210.3(b)(2). The petition
tions. While the maintaining railroad will should address whether this exception may
retain all of its responsibilities in such situa- apply to the light rail operation. Note that
tions (such as contacting train crews and no- this exception is broader than the sole excep-
tifying law enforcement agencies), the oper- tion to the railroad safety statutes (i.e.,
ating railroad must observe requirements urban rapid transit not connected to the gen-
concerning flagging, train speed, and use of eral system). The greater the integration of
the locomotive’s audible warning device. the light rail and conventional operations,
D. Approval of signal system modifications the less likely this exception would apply.
(part 235). This part contains instructions If the light rail equipment would normally
governing applications for approval of a dis- meet the standards in this rule, there would
continuance or material modification of a be no reason to seek a waiver of it. If it ap-
signal system or relief from the regulatory pears that the light rail system would nei-
requirements of part 236. In the case of a sig- ther meet the standards nor fit within the
nal system located on general system track exception, the petition should address noise
which is used by both conventional and light mitigation measures used on the system, es-
rail lines, a light rail operation is subject to pecially as part of a system safety program.
this part only if it (or a contractor hired by Note, however, that FRA lacks the authority
the operator) owns or has responsibility for to waive certain Environmental Protection
maintaining the signal system. If the con- Agency standards (40 CFR part 201) that un-
ventional railroad does the maintenance, derlie this rule. See 49 CFR 210.11(a).
then that railroad would file any application B. Railroad freight car safety standards (part
submitted under this part; the light rail op- 215). A light rail operator is likely to move
eration would have the right to protest the freight cars only in connection with mainte-
application under § 235.20. The petition nance-of-way work. As long as such cars are
should discuss whether the light rail oper- properly stenciled in accordance with sec-
ator or conventional railroad is responsible tion 215.305, this part does not otherwise
for maintaining the signal system. apply, and a waiver would seem unnecessary.
E. Standards for signal and train control sys- C. Rear end marking devices (part 221). This
tems (part 236). This part contains rules, part requires that each train occupying or
standards, and instructions governing the in- operating on main line track be equipped
stallation, inspection, maintenance, and re- with, display, and continuously illuminate
pair of signal and train control systems, de- or flash a marking device on the trailing end
vices, and appliances. In the case of a signal of the rear car during periods of darkness or
system located on general system track other reduced visibility. The device, which
which is used by both conventional and light must be approved by FRA, must have spe-
rail lines, a light rail operation is subject to cific intensity, beam arc width, color, and
87
flash rate characteristics. A light rail oper- equipment, some of these provisions may be
ation seeking a waiver of this part will need irrelevant to light rail equipment, and that
to explain how other marking devices with others may not fit properly in the context of
which it equips its vehicles, or other means light rail operations. A waiver petition
such as train control, will provide the same should explain precisely how the light rail
assurances as this part of a reduced likeli- system’s practices will provide for the safe
hood of collisions attributable to the failure condition and operation of its locomotive
of an approaching train to see the rear end of equipment.
a leading train in time to stop short of it (2) FRA is not likely to waive completely
during periods of reduced visibility. The pe- the provision (section 229.125) of this rule
tition should describe the light rail vehicle’s concerning auxiliary lights designed to warn
existing marking devices (e.g., headlights, highway motorists of an approaching train.
brakelights, taillights, turn signal lights), In order to reduce the risk of grade crossing
and indicate whether the vehicle bears re- accidents, it is important that all loco-
flectors. If the light rail system will operate motives used by both conventional railroads
in both a conventional railroad environment and light rail systems present the same dis-
and in streets mixed with motor vehicles, tinctive profile to motor vehicle operators
the petition should discuss whether adapting approaching grade crossings on the general
the design of the vehicle’s lighting charac- railroad system. If uniformity is sacrificed
teristics to conform to FRA’s regulations by permitting light rail systems to operate
would adversely affect the safety of its oper- locomotives through the same grade cross-
ations in the street environment. A light rail ings traversed by conventional trains with
system that has a system safety program de- light arrangements placed in different loca-
veloped under FTA’s rules may choose to dis- tions on the equipment, safety could be com-
cuss how that program addresses the need promised. Accordingly, the vehicle design
for equivalent levels of safety when its vehi- should maintain the triangular pattern re-
cles operate on conventional railroad cor- quired of other locomotives and cab cars to
ridors. the extent practicable.
D. Safety glazing standards (part 223). This (3) FRA is aware that light rail headlights
part provides that passenger car windows be are likely to produce less than 200,000 can-
equipped with FRA-certified glazing mate- dela. While some light rail operators may
rials in order to reduce the likelihood of in- choose to satisfy the requirements of section
jury to railroad employees and passengers 229.125 by including lights on their equip-
from the breakage and shattering of windows ment of different candlepower controlled by
and avoid ejection of passengers from the ve- dimmer switches, the headlights on the ma-
hicle in a collision. This part, in addition to jority of light rail vehicles will likely not
requiring the existence of at least four emer- meet FRA’s minimum requirement. How-
gency windows, also requires window mark- ever, based on the nature of the operations of
ings and operating instructions for each light rail transit, FRA recognizes that waiv-
emergency window, as well as for each win- ers of the minimum candela requirement for
dow intended for emergency access, so as to transit vehicle headlights seems appropriate.
provide the necessary information for evacu- F. Safety appliance laws (49 U.S.C. 20301–
ation of a passenger car. FRA will not per- 20305). (1) Since certain safety appliance re-
mit operations to occur on the general sys- quirements (e.g., automatic couplers) are
tem in the absence of effective alternatives statutory, they can only be ‘‘waived’’ by
to the requirements of this part that provide FRA under the exemption conditions set
an equivalent level of safety. The petition forth in 49 U.S.C. 20306. Because exemptions
should explain what equivalent safeguards requested under this statutory provision do
are in place to provide the same assurance as not involve a waiver of a safety rule, regula-
part 223 that passengers and crewmembers tion, or standard (see 49 CFR 211.41), FRA is
are safe from the effects of objects striking not required to follow the rules of practice
a light rail vehicle’s windows. The petition for waivers contained in part 211. However,
should also discuss the design characteristics whenever appropriate, FRA will combine its
of its equipment when it explains how the consideration of any request for an exemp-
safety of its employees and passengers will tion under § 20306 with its review under part
be assured during an evacuation in the ab- 211 of a light rail operation’s petition for
sence of windows meeting the specific re- waivers of FRA’s regulations.
quirements of this part. A light rail system (2) FRA may grant exemptions from the
that has a system safety program plan devel- statutory safety appliance requirements in
oped under FTA’s rule may be able to dem- 49 U.S.C. 20301–20305 only if application of
onstrate that the plan satisfies the safety such requirements would ‘‘preclude the de-
goals of this part. velopment or implementation of more effi-
E. Locomotive safety standards (part 229). (1) cient railroad transportation equipment or
This part contains minimum safety stand- other transportation innovations.’’ 49 U.S.C.
ards for all locomotives, except those pro- 20306. The exemption for technological im-
pelled by steam power. FRA recognizes that provements was originally enacted to further
due to the unique characteristics of light rail the implementation of a specific type of
88
freight car, but the legislative history shows sion. The petition should discuss the light
that Congress intended the exemption to be rail operation’s operating rules and proce-
used elsewhere so that ‘‘other types of rail- dures, train control technology, and signal
road equipment might similarly benefit.’’ S. system. If the light rail operator and conven-
Rep. 96–614 at 8 (1980), reprinted in 1980 tional railroad will operate simultaneously
U.S.C.C.A.N. 1156,1164. on the same track, the petition should in-
(3) FRA recognizes the potential public clude a quantitative risk assessment that in-
benefits of allowing light rail systems to corporates design information and provide
take advantage of underutilized urban an engineering analysis of the light rail
freight rail corridors to provide service that, equipment and its likely performance in de-
in the absence of the existing right-of-way, railment and collision scenarios. The peti-
would be prohibitively expensive. Any petitioner should also demonstrate that risk
tioner requesting an exemption for techno- mitigation measures to avoid the possibility
logical improvements should carefully ex- of collisions, or to limit the speed at which
plain how being forced to comply with the a collision might occur , will be employed in
existing statutory safety appliance require- connection with the use of the equipment on
ments would conflict with the exemption ex- a specified shared-use rail line. This part
ceptions set forth at 49 U.S.C. 20306. The peti-
also contains requirements concerning power
tion should also show that granting the ex-
brakes on passenger trains, and a petitioner
emption is in the public interest and is con-
seeking a waiver in this area should refer to
sistent with assuring the safety of the light
these requirements, not those found in 49
rail operator’s employees and passengers.
G. Safety appliance standards (part 231). (1) CFR part 232.
The regulations in this part specify the req- 3. Operating practices.
uisite location, number, dimensions, and
manner of application of a variety of rail- A. Railroad workplace safety (part 214). (1)
road car safety appliances (e.g., handbrakes, This part contains standards for protecting
ladders, handholds, steps), and directly im- bridge workers and roadway workers. The
plement a number of the statutory require- petition should explain whether the light
ments found in 49 U.S.C. 20301–20305. These rail operator or conventional railroad is re-
very detailed regulations are intended to en- sponsible for bridge work on shared general
sure that sufficient safety appliances are system trackage. If the light rail operator
available and able to function safely and se- does the work and does similar work on seg-
curely as intended. ments outside of the general system, it may
(2) FRA recognizes that due to the unique wish to seek a waiver permitting it to ob-
characteristics of light rail equipment, some serve OSHA standards throughout its sys-
of these provisions may be irrelevant to light tem.
rail operation, and that others may not fit
(2) There are no comparable OSHA stand-
properly in the context of light rail oper-
ards protecting roadway workers. The peti-
ations (e.g., crewmembers typically do not
tion should explain which operator is respon-
perform yard duties from positions outside
sible for track and signal work on the shared
and adjacent to the light rail vehicle or near
segments. If the light rail operator does this
the vehicle’s doors). However, to the extent
that the light rail operation encompasses the work, the petition should explain how the
safety risks addressed by the regulatory pro- light rail operator protects these workers.
visions of this part, a waiver petition should However, to the extent that protection var-
explain precisely how the light rail system’s ies significantly from FRA’s rules, a waiver
practices will provide for the safe operation permitting use of the light rail system’s
of its passenger equipment. The petition standards could be very confusing to train
should focus on the design specifications of crews of the conventional railroad who fol-
the equipment, and explain how the light low FRA’s rules elsewhere. A waiver of this
rail system’s operating practices, and its in- rule is unlikely. A petition should address
tended use of the equipment, will satisfy the how such confusion would be avoided and
safety purpose of the regulations while pro- safety of roadway workers would be ensured.
viding at least an equivalent level of safety. B. Railroad operating rules (part 217). This
H. Passenger equipment safety standards part requires filing of a railroad’s operating
(part 238). This part prescribes minimum rules and that employees be instructed and
Federal safety standards for railroad pas- tested on compliance with them. A light rail
senger equipment. Since a collision on the operation would not likely have difficulty
general railroad system between light rail complying with this part. However, if a waiv-
equipment and conventional rail equipment er is desired, the light rail system should ex-
could prove catastrophic, because of the sig- plain how other safeguards it has in place
nificantly greater mass and structural provide the same assurance that operating
strength of the conventional equipment, a employees are trained and periodically test-
waiver petition should describe the light rail ed on the rules that govern train operation.
operation’s system safety program that is in A light rail system that has a system safety
place to minimize the risk of such a colli- program plan developed under FTA’s rules
89
may be in a good position to give such an as- F. Railroad accident/incident reporting (part
surance. 225). (1) FRA’s accident/incident information
C. Railroad operating practices (part 218). is very important in the agency’s decision-
This part requires railroads to follow certain making on regulatory issues and strategic
practices in various aspects of their oper- planning. A waiver petition should indicate
ations (protection of employees working on precisely what types of accidents and inci-
equipment, protection of trains and loco- dents it would report, and to whom, under
motives from collisions in certain situations, any alternative it proposes. FRA is not like-
prohibition against tampering with safety ly to waive its reporting requirements con-
devices, protection of occupied camp cars). cerning train accidents or highway-rail
Some of these provisions (e.g., camp cars) grade crossing collisions that occur on the
may be irrelevant to light rail operations. general railroad system. Reporting of acci-
Others may not fit well in the context of dents under FTA’s rules is quite different
light rail operations. To the extent the light and would not provide an effective sub-
rail operation presents the risks addressed stitute. However, with regard to employee
by the various provisions of this part, a injuries, the light rail operation may, absent
waiver provision should explain precisely FRA’s rules, otherwise be subject to report-
how the light rail system’s practices will ad- ing requirements of FTA and OSHA and may
dress those risks. FRA is not likely to waive have an interest in uniform reporting of
the prohibition against tampering with safe- those injuries wherever they occur on the
ty devices, which would seem to present no system. Therefore, it is more likely that
particular burden to light rail operations. FRA would grant a waiver with regard to re-
Moreover, blue signal regulations, which pro- porting of employee injuries.
(2) Any waiver FRA may grant in the acci-
tect employees working on or near equip-
dent/incident reporting area would have no
ment, are not likely to be waived to the ex-
effect on FRA’s authority to investigate
tent that such work is performed on track
such incidents or on the duties of light rail
shared by a light rail operation and a con-
operators and any other affected railroads to
ventional railroad, where safety may best be
cooperate with those investigations. See sec-
served by uniformity.
tions 225.31 and 225.35 and 49 U.S.C. 20107 and
D. Control of alcohol and drug use (part 219). 20902. Light rail operators should anticipate
FRA will not permit operations to occur on that FRA will investigate any serious acci-
the general system in the absence of effec- dent or injury that occurs on the shared use
tive rules governing alcohol and drug use by portion of their lines, even if it occurs during
operating employees. FTA’s own rules may hours when only the light rail trains are op-
provide a suitable alternative for a light rail erating. Moreover, there may be instances
system that is otherwise governed by those when FRA will work jointly with FTA and
rules. However, to the extent that light rail the state agency to investigate the cause of
and conventional operations occur simulta- a transit accident that occurs off the general
neously on the same track, FRA is not likely system under circumstances that raise con-
to apply different rules to the two oper- cerns about the safety of operations on the
ations, particularly with respect to post-ac- shared use portions. For example, if a transit
cident testing, for which FRA requirements operator using the same light rail equipment
are more extensive (e.g., section 219.11(f) ad- on the shared and non-shared-use portions of
dresses the removal, under certain cir- its operation has a serious accident on the
cumstances, of body fluid and/or tissue sam- non-shared-use portion, FRA may want to
ples taken from the remains of any railroad determine whether the cause of the accident
employee who performs service for a rail- pointed to a systemic problem with the
road). (FRA recognizes that in the event of a equipment that might impact the transit
fatal train accident involving a transit vehi- system’s operations on the general system.
cle, whether involving temporal separation Similarly, where human error might be a
or simultaneous use of the same track, the factor, FRA may want to determine whether
National Transportation Safety Board will the employee potentially at fault also has
likely investigate and obtain its own toxi- safety responsibilities on the general system
cology test results.) and, if so, take appropriate action to ensure
E. Railroad communications (part 220). A that corrective action is taken. FRA believes
light rail operation is likely to have an effec- its statutory investigatory authority ex-
tive system of radio communication that tends as far as necessary to address any con-
may provide a suitable alternative to FRA’s dition that might reasonably be expected to
rules. However, the greater the need for create a hazard to railroad operations within
radio communication between light rail per- its jurisdiction.
sonnel (e.g., train crews or dispatchers) and G. Hours of service laws (49 U.S.C. 21101–
personnel of the conventional railroad (e.g., 21108). (1) The hours of service laws apply to
train crews, roadway workers), the greater all railroads subject to FRA’s jurisdiction,
will be the need for standardized commu- and govern the maximum work hours and
nication rules and, accordingly, the less like- minimum off-duty periods of employees en-
ly will be a waiver. gaged in one or more of the three categories
90
of covered service described in 49 U.S.C. fected railroads to provide sufficient emer-
21101. If an individual performs more than gency egress capability and information to
one kind of covered service during a tour of passengers, along with mandating that these
duty, then the most restrictive of the appli- railroads coordinate with local emergency
cable limitations control. Under current law, response officials, the risk of death or injury
a light rail operation could request a waiver from accidents and incidents will be less-
of the substantive provisions of the hours of ened. A waiver petition should state whether
service laws only under the ‘‘pilot project’’
the light rail system has an emergency pre-
provision described in 49 U.S.C. 21108, pro-
paredness plan in place under a state system
vided that the request is based upon a joint
petition submitted by the railroad and its af- safety program developed under FTA’s rules
fected labor organizations. Because waivers for the light rail operator’s separate street
requested under this statutory provision do railway segments. Under a system safety
not involve a waiver of a safety rule, regula- program, a light rail operation is likely to
tion, or standard (see 49 CFR 211.41), FRA is have an effective plan for dealing with emer-
not required to follow the rules of practice gency situations that may provide an equiv-
for waivers contained in part 211. However, alent alternative to FRA’s rules. To the ex-
whenever appropriate, FRA will combine its tent that the light rail operation’s plan re-
consideration of any request for a waiver lates to the various provisions of this part, a
under § 21108 with its review under part 211 of waiver petition should explain precisely how
a light rail operation’s petition for waivers each of the requirements of this part is being
of FRA’s regulations. addressed. The petition should especially
(2) If such a statutory waiver is desired, focus on the issues of communication, em-
the light rail system will need to assure FRA ployee training, passenger information, liai-
that the waiver of compliance is in the pub-
son relationships with emergency respond-
lic interest and consistent with railroad safe-
ers, and marking of emergency exits.
ty. The waiver petition should include a dis-
cussion of what fatigue management strate- J. Qualification and certification of loco-
gies will be in place for each category of cov- motive engineers (part 240). This part contains
ered employees in order to minimize the ef- minimum Federal safety requirements for
fects of fatigue on their job performance. the eligibility, training, testing, certifi-
However, FRA is unlikely to grant a statu- cation, and monitoring of locomotive engi-
tory waiver covering employees of a light neers. Those who operate light rail trains
rail operation who dispatch the trains of a may have significant effects on the safety of
conventional railroad or maintain a signal light rail passengers, motorists at grade
system affecting shared use trackage. crossings, and, to the extent trackage is
H. Hours of service recordkeeping (part 228). shared with conventional railroads, the em-
This part prescribes reporting and record- ployees and passengers of those railroads.
keeping requirements with respect to the The petition should describe whether a light
hours of service of employees who perform rail system has a system safety plan devel-
the job functions set forth in 49 U.S.C. 21101.
oped under FTA’s rules that is likely to have
As a general rule, FRA anticipates that any
an effective means of assuring that the oper-
waivers granted under this part will only ex-
empt the same groups of employees for ators, or ‘‘engineers,’’ of its equipment re-
whom a light rail system has obtained a ceive the necessary training and have proper
waiver of the substantive provisions of the skills to operate a light rail vehicle in
hours of service laws under 49 U.S.C. 21108. shared use on the general railroad system.
Since it is important that FRA be able to The petition should explain what safeguards
verify that a light rail operation is com- are in place to ensure that light rail engi-
plying with the on- and off-duty restrictions neers receive at least an equivalent level of
of the hour of service laws for all employees training, testing, and monitoring on the
not covered by a waiver of the laws’ sub- rules governing train operations to that re-
stantive provisions, it is unlikely that any ceived by locomotive engineers employed by
waiver granted of the reporting and record- conventional railroads and certified under
keeping requirements would exclude those part 240. Any light rail system unable to
employees. However, in a system with fixed meet this burden would have to fully comply
work schedules that do not approach 12 with the requirements of part 240. Moreover,
hours on duty in the aggregate, it may be where a transit system intends to operate si-
possible to utilize existing payroll records to multaneously on the same track with con-
verify compliance.
ventional equipment, FRA will not be in-
I. Passenger train emergency preparedness
clined to waive the part 240 requirements. In
(part 239). This part prescribes minimum
Federal safety standards for the preparation, that situation, FRA’s paramount concern
adoption, and implementation of emergency would be uniformity of training and quali-
preparedness plans by railroads connected fications of all those operating trains on the
with the operation of passenger trains. general system, regardless of the type of
equipment.
FRA’s expectation is that by requiring af-
91
V. WAIVERS THAT MAY BE APPROPRIATE FOR FRA’s railroad safety rules and provides
TIME-SEPARATED LIGHT RAIL OPERATIONS FRA’s view on whether it is likely to grant
1. The foregoing discussion of factors to ad- a waiver in a particular area where temporal
dress in a petition for approval of shared use separation is assured. Where the ‘‘Likely
concerns all such petitions and, accordingly, Treatment’’ column says ‘‘comply’’ a waiver
is quite general. FRA is willing to provide is not likely, and where it says ‘‘waive’’ a
more specific guidance on where waivers waiver is likely. Of course, FRA will consider
may be likely with regard to light rail oper- each petition on its own merits and one
ations that are time-separated from conven- should not presume, based on the chart, that
tional operations. FRA’s greatest concern FRA will grant or deny any particular re-
with regard to shared use of the general sys- quest in a petition. This chart is offered as
tem is a collision between light rail and con- general guidance as part of a statement of
ventional trains on the same track. Because policy, and as such does not alter any safety
the results could well be catastrophic, FRA rules or obligate FRA to follow it in every
places great emphasis on avoiding such colli- case. This chart assumes that the operations
sions. The surest way to guarantee that such of the local rail transit agency on the gen-
collisions will not occur is to strictly seg- eral railroad system are completely sepa-
regate light rail and conventional operations rated in time from conventional railroad op-
by time of day so that the two types of erations, and that the light rail operation
equipment never share the same track at the poses no atypical safety hazards. FRA’s pro-
same time. This is not to say that FRA will cedural rules on matters such as enforce-
not entertain waiver petitions that rely on ment (49 CFR parts 209 and 216), and its stat-
other methods of collision avoidance such as utory authority to investigate accidents and
sophisticated train control systems. How- injuries and take emergency action to ad-
ever, petitioners who do not intend to sepa- dress an imminent hazard of death or injury,
rate light rail from conventional operations would apply to these operations in all cases.
by time of day will face a steep burden of 4. Where waivers are granted, a light rail
demonstrating an acceptable level of safety. operator would be expected to operate under
FRA does not insist that all risk of collision
a system safety plan developed in accordance
be eliminated. However, given the enormous
with the FTA state safety oversight pro-
severity of the likely consequences of a colli-
gram. The state safety oversight agency
sion, the demonstrated risk of such an event
would be responsible for the safety oversight
must be extremely remote.
2. There are various ways of providing such of the light rail operation, even on the gen-
strict separation by time. For example, eral system, with regard to aspects of that
freight operations could be limited to the operation for which a waiver is granted. (The
hours of midnight to 5 a.m. when light rail ‘‘Comments’’ column of the chart shows
operations are prohibited. Or, there might be ‘‘State Safety Oversight’’ where waivers con-
both a nighttime and a mid-day window for ditioned on such state oversight are likely.)
freight operation. The important thing is FRA will coordinate with FTA and the state
that the arrangement not permit simulta- agency to address any serious safety prob-
neous operation on the same track by clearly lems. If the conditions under which the waiv-
defining specific segments of the day when er was granted change substantially, or un-
only one type of operation may occur. Mere anticipated safety issues arise, FRA may
spacing of train movements by a train con- modify or withdraw a waiver in order to en-
trol system does not constitute this tem- sure safety. On certain subjects where waiv-
poral separation. ers are not likely, the ‘‘Comments’’ column
3. FRA is very likely to grant waivers of of the chart makes special note of some im-
many of its rules where complete temporal portant regulatory requirements that the
separation between light rail and conven- light rail system will have to observe even if
tional operations is demonstrated in the it is not primarily responsible for compli-
waiver request. The chart below lists each of ance with that particular rule.
POSSIBLE WAIVERS FOR LIGHT RAIL OPERATIONS ON THE GENERAL RAILROAD SYSTEM BASED ON
SEPARATION IN TIME FROM CONVENTIONAL OPERATIONS
Title 49 CFR part Subject of rule Likely treatment Comments
Track, Structures, and Signals
213 ................................. Track safety standards Comply (assuming light rail operator If the conventional RR owns the
owns track or has been assigned track, light rail will have to ob-
responsibility for it). serve speed limits for class of
track.
233, 235, 236 ................ Signal and train control Comply (assuming light rail operator If conventional RR maintains sig-
or its contractor has responsibility nals, light rail will have to abide
for signal maintenance). by operational limitations and re-
port signal failures.
92
POSSIBLE WAIVERS FOR LIGHT RAIL OPERATIONS ON THE GENERAL RAILROAD SYSTEM BASED ON
SEPARATION IN TIME FROM CONVENTIONAL OPERATIONS—Continued
Title 49 CFR part Subject of rule Likely treatment Comments
234 ................................. Grade crossing signals Comply (assuming light rail operator If conventional RR maintains de-
or its contractor has responsibility vices, light rail will have to comply
for crossing devices). with sections concerning crossing
accidents, activation failures, and
false activations.
213, Appendix C ............ Bridge safety policy ...... Not a rule. Compliance voluntary..
Motive Power and Equipment
210 ................................. Noise emission ............. Waive ............................................... State safety oversight.
215 ................................. Freight car safety Waive ............................................... State safety oversight.
standards.
221 ................................. Rear end marking de- Waive ............................................... State safety oversight.
vices.
223 ................................. Safety glazing stand- Waive ............................................... State safety oversight.
ards.
229 ................................. Locomotive safety Waive, except for arrangement of State safety oversight.
standards. auxiliary lights, which is important
for grade crossing safety.
231* ............................... Safety appliance stand- Waive ............................................... State safety oversight; see note
ards. below on statutory requirements.
238 ................................. Passenger equipment Waive ............................................... State safety oversight.
standards.
Operating Practices
214 ................................. Bridge worker ............... Waive ............................................... OSHA standards.

214 ................................. Roadway worker safety Comply.
217 ................................. Operating rules ............. Waive ............................................... State safety oversight.
218 ................................. Operating practices ...... Waive, except for prohibition on State safety oversight.
tampering with safety devices re-
lated to signal system, and blue
signal rules on shared track.
219 ................................. Alcohol and drug .......... Waive if FTA rule otherwise applies FTA rule may apply.
220 ................................. Radio communications Waive, except to extent communica- State safety oversight.
tions with freight trains and road-
way workers are necessary.
225 ................................. Accident reporting and Comply with regard to train acci- Employee injuries would be re-
investigation. dents and crossing accidents; ported under FTA or OSHA rules.
waive as to injuries; FRA accident
investigation authority not subject
to waiver.
228** .............................. Hours of service record- Waive (in concert with waiver of See note below on possible waiver
keeping. statute); waiver not likely for per- of statutory requirements.
sonnel who dispatch conventional
RR or maintain signal system on
shared use track.
239 ................................. Passenger train emer- Waive ............................................... State safety oversight.
gency preparedness.
240 ................................. Engineer certification .... Waive ............................................... State safety oversight.
* Safety Appliance Statute. Certain safety appliance requirements (e.g., automatic couplers) are statutory and can only be
waived under the conditions set forth in 49 U.S.C. 20306, which permits exemptions if application of the requirements would
‘‘preclude the development or implementation of more efficient railroad transportation equipment or other transportation innova-
tions.’’ If consistent with employee safety, FRA could probably rely on this provision to address most light rail equipment that
could not meet the standards.
** Hours of Service Statute. Currently, 49 U.S.C. 21108 permits FRA to waive substantive provisions of the hours of service
laws based upon a joint petition by the railroad and affected labor organizations, after notice and an opportunity for a hearing.
This is a ‘‘pilot project’’ provision, so waivers are limited to two years but may be extended for additional two-year periods after
notice and an opportunity for comment.
[65 FR 42546, July 10, 2000]

93
Pt. 212 49 CFR Ch. II (10–1–07 Edition)
PART 212—STATE SAFETY ties under the Federal railroad safety

PARTICIPATION REGULATIONS laws and regulations.
§ 212.3 Definitions.
Subpart A—General
As used in this part:
Sec. (a) Administrator means the Federal
212.1 Purpose and scope. Railroad Administrator or the Deputy
212.3 Definitions.
212.5 Filing.
Administrator or the delegate of either
of them.
Subpart B—State/Federal Roles (b) Associate Administrator means the
Associate Administrator for Safety,
212.101 Program principles. Federal Railroad Administration
212.103 Investigative and surveillance au- (FRA), or the Deputy Associate Admin-
thority.
212.105 Agreements. istrator for Safety, FRA.
212.107 Certification. (c) FRA means the Federal Railroad
212.109 Joint planning of inspections. Administration.
212.111 Monitoring and other inspections. (d) Federal railroad safety laws means
212.113 Program termination. the following enactments, together
212.115 Enforcement actions. with regulations and orders issued
under their authority:
Subpart C—State Inspection Personnel
(1) The Federal Railroad Safety Act
212.201 General qualifications of State in- of 1970, as amended (45 U.S.C. 421, 431–
spection personnel. 441);
212.203 Track inspector. (2) The Safety Appliance Acts, as
212.205 Apprentice track inspector. amended (45 U.S.C. 1–16);
212.207 Signal and train control inspector.
(3) The Locomotive Inspection Act,
212.209 Train control inspector.
212.211 Apprentice signal and train control as amended (45 U.S.C. 22–34);
inspector. (4) The Signal Inspection Act, as
212.213 Motive power and equipment amended (49 U.S.C. 26);
(MP&E) inspector. (5) The Accident Reports Act, as
212.215 Locomotive inspector. amended (45 U.S.C. 38–42);
212.217 Car inspector. (6) The Hours of Service Act, as
212.219 Apprentice MP&E inspector. amended (45 U.S.C. 61–64(b); and
212.221 Operating practices inspector.
212.223 Operating practices compliance in- (7) The Hazardous Materials Trans-
spector. portation Act (49 app. U.S.C. 1801 et
212.225 Apprentice operating practices in- seq.), as it pertains to shipment or
spector. transportation by railroad.
212.227 Hazardous materials inspector. (e) Manufacturer means a person that
212.229 Apprentice hazardous materials in- manufactures, fabricates, marks, main-
spector. tains, reconditions, repairs, or tests
212.231 Highway-rail grade crossing inspec-
tor.
containers which are represented,
212.233 Apprentice highway-rail grade cross- marked, certified, or sold for use in the
ing inspector. bulk transportation of hazardous mate-
212.235 Inapplicable qualification require- rials by railroad.
ments. (f) Shipper means a person that offers
AUTHORITY: 49 U.S.C. 20103, 20106, 20105, and a hazardous material for transpor-
20113 (formerly secs. 202, 205, 206, and 208, of tation or otherwise causes it to be
the Federal Railroad Safety Act of 1970, as transported.
amended (45 U.S.C. 431, 434, 435, and 436)); and (g) Planned compliance inspections
49 CFR 1.49. means investigative and surveillance
SOURCE: 47 FR 41051, Sept. 16, 1982, unless activities described in the annual work
otherwise noted. plan required by § 212.109 of this part
that provide basic surveillance of rail-
Subpart A—General road facilities, equipment and/or oper-
ations for the purpose of determining
§ 212.1 Purpose and scope. the level of compliance with relevant
This part establishes standards and Federal safety requirements.
procedures for State participation in [47 FR 41051, Sept. 16, 1982, as amended at 57
investigative and surveillance activi-
FR 28115, June 24, 1992]
94
§ 212.5 Filing. cies, of responsibility for planned rou-

tine compliance inspections. The FRA
Each State agency desiring to con-
encourages further State contributions
duct investigative and surveillance ac-
to the national railroad safety program
tivities must submit to the Associate
consistent with overall program needs,
Administrator for Safety, Federal Rail-
individual State capabilities, and the
road Administration, 400 Seventh
willingness of the States to undertake
Street, SW., Washington, DC 20590, the additional investigative and surveil-
documentation which contains the in- lance activities.
formation prescribed by §§ 212.105 and (e) It is the policy of the FRA to pro-
212.107. mote the growth and vitality of the
State Safety Participation Program
Subpart B—State/Federal Roles through liaison with State govern-
ment, coordination of Federal and
§ 212.101 Program principles. State investigative and surveillance
(a) The purpose of the national rail- activities, and training of inspection
road safety program is to promote safe- personnel.
ty in all areas of railroad operations in [47 FR 41051, Sept. 16, 1982, as amended at 57
order to reduce deaths, injuries and FR 28115, June 24, 1992]
damage to property resulting from rail-
road accidents. § 212.103 Investigative and surveil-
(b)(1) The national railroad safety lance authority.
program is carried out in part through (a) Subject to the requirements of
the issuance of mandatory Federal this part, a State agency with jurisdic-
safety requirements and through in- tion under State law may participate
spection efforts designed to monitor in investigative and surveillance ac-
compliance with those requirements. tivities concerning Federal railroad
FRA and State inspections determine safety laws and regulations by entering
the extent to which the railroads, ship- into an agreement under § 212.105 for
pers, and manufacturers have fulfilled the exercise of specified authority.
their obligations with respect to in- (b) Subject to requirements of this
spection, maintenance, training, and part, a State agency with jurisdiction
supervision. The FRA and partici- under State law may participate in in-
pating States do not conduct inspec- vestigative and surveillance activities
tions of track, equipment, signal sys- with respect to particular rules, regu-
tems, operating practices, and haz- lations, orders or standards issued
ardous materials handling for the rail- under the regulatory authority of the
roads, shippers, and manufacturers. Federal Railroad Safety Act of 1970 by
(2) The national railroad safety pro- filing an annual certification under
gram is also carried out through rou- § 212.107.
tine inspections, accident investiga-
tions, formal and informal educational § 212.105 Agreements.
efforts, complaint investigations, safe- (a) Scope. The principal method by
ty assessments, special inquiries, regu- which States may participate in inves-
latory development, research and simi- tigative and surveillance activities is
lar initiatives. by agreement with FRA. An agreement
(c) It is the policy of the FRA to may delegate investigative and surveil-
maintain direct oversight of railroad, lance authority with respect to all or
shipper, and manufacturer conditions any part of the Federal railroad safety
and practices relevant to safety by con- laws.
ducting inspections and investigations (b) Duration. An agreement may be
in concert with participating State for a fixed term or for an indefinite du-
agencies. ration.
(d) The principal role of the State (c) Amendments. An agreement may
Safety Participation Program in the be amended to expand or contract its
national railroad safety effort is to scope by consent of FRA and the State.
provide an enhanced investigative and (d) Common terms. Each agreement
surveillance capability through as- entered into under this section pro-
sumption, by participating State agen- vides that:
95
§ 212.107 49 CFR Ch. II (10–1–07 Edition)
(1) The State agency is delegated cer- this section prior to the qualification
tain specified authority with respect to of inspection personnel of the State
investigative and surveillance activi- under subpart C of this part. In such a
ties; case, the agreement shall (1) specify
(2) The delgation is effective only to the date at which the State will as-
the extent it is carried out through sume investigative and surveillance
personnel recognized by the State and duties, and (2) refer to any undertaking
the FRA (pursuant to subpart C of this by the FRA to provide training for
part) to be qualified to perform the State inspection personnel, including a
particular investigative and surveil- schedule for the training courses that
lance activities to which the personnel will be made available.
are assigned; and (g) Action on request. The Associate
(3) The State agency agrees to pro- Administrator responds to a request
vide the capability necessary to assure for agreement by entering into an
coverage of facilities, equipment, and agreement based on the request, by de-
operating practices through planned clining the request, or by suggesting
routine compliance inspections for all, modifications.
or a specified part of, the territory of
(Approved by the Office of Management and
the State. Budget under control number 2130–0509)
(e) Request for agreement. A request
for agreement shall contain the fol- [47 FR 41051, Sept. 16, 1982, as amended at 57
lowing information: FR 28115, June 24, 1992]
(1) An opinion of the counsel for the
§ 212.107 Certification.
State agency stating that:
(i) The agency has jurisdiction over (a) Scope. In the event the FRA and
the safety practices of the facilities, the State agency do not agree on terms
equipment, rolling stock, and oper- for the participation of the State under
ations of railroads in that State and § 212.105 of this part and the State wish-
whether the agency has jurisdiction es to engage in investigative and sur-
over shippers and manufacturers; veillance activities with respect to any
(ii) The agency has the authority and rule, regulation, order, or standard
capability to conduct investigative and issued under the authority of the Fed-
surveillance activities in connection eral Railroad Safety Act of 1970, the
with the rules, regulations, orders, and State shall file an annual certification
standards issued by the Administrator with respect to such activities.
under the Federal railroad safety laws; (b) Content. The annual certification
and shall be filed not less than 60 days be-
(iii) State funds may be used for this fore the beginning of the Federal fiscal
purpose. year to which it applies, shall contain
(2) A statement that the State agen- the information required by § 212.105(e)
cy has been furnished a copy of each of this part and, in addition, shall cer-
Federal safety statute, rule, regula- tify that:
tion, order, or standard pertinent to (1) The State agency has the author-
the State’s participation; ity and capability to conduct inves-
(3) The names of the railroads oper- tigative and surveillance activities
ating in the State together with the under the requirements of this part
number of miles of main and branch with respect to each rule, regulation,
lines operated by each railroad in the order or standard for which certifi-
State; cation is submitted; and
(4) The name, title and telephone (2) The State agency will, at a min-
number of the person designated by the imum, conduct planned compliance in-
agency to coordinate the program; and spections meeting the level of effort
(5) A description of the organization, prescribed in the applicable appendix
programs, and functions of the agency to this part.
with respect to railroad safety. (c) Action on certification. The Asso-
(f) Developmental agreement. Con- ciate Administrator responds to the fil-
sistent with national program require- ing of an annual certification within 60
ments, the Associate Administrator days of its receipt by accepting it or by
may enter into an agreement under rejecting it for cause stated.
96
(d) Delegation of authority. Accept- necessary to aid in the enforcement of

ance of an annual certification con- the Federal railroad safety laws.
stitutes a delegation of authority to
conduct investigative and surveillance § 212.113 Program termination.
activities only to the extent that the (a) A State agency participating in
delegation is carried out through per- investigative and surveillance activi-
sonnel recognized by the State and the ties by agreement or certification shall
FRA (pursuant to subpart C of this provide thirty (30) days notice of its in-
part) to be qualified to perform the tent to terminate its participation.
particular investigative and surveil- (b) The Administrator may, on his
lance activities to which the personnel own initiative, terminate the partici-
are assigned. pation of a State agency if, after at
least thirty (30) days notice an oppor-
(Approved by the Office of Management and tunity for oral hearing under section
Budget under control number 2130–0509)
553 of title 5 U.S.C., the State agency
§ 212.109 Joint planning of inspec- does not establish that it has complied
tions. and is complying with:
(1) The requirements of this part;
Prior to the beginning of each cal- (2) Relevant directives, enforcement
endar year, each participating State manuals, and written interpretations
applying for grant assistance under of law and regulations provided by the
subpart D of this part shall develop, in FRA for guidance of the program; and
conjunction with the FRA Regional Di- (3) The rule of national uniformity of
rector of the region in which the State laws, rules, regulations, orders, and
is located, an annual work plan for the standards relating to railroad safety as
conduct of investigative and surveil- expressed in section 205 of the Federal
lance activities by the State agency. Railroad Safety Act of 1970 (45 U.S.C.
The plan shall include a program of in- 434).
spections designed to monitor the com-
pliance of the railroads, shippers, and § 212.115 Enforcement actions.
manufacturers operating within the (a) Except as provided in paragraph
State (or portion thereof) with applica- (b) of this section, the FRA reserves ex-
ble Federal railroad safety laws and clusive authority to assess and com-
regulations. In the event the partici- promise penalties, to issue emergency
pating State and the FRA Regional Di- orders and compliance orders, institute
rector cannot agree on an annual work or cause to be instituted actions for
plan, the Associate Administrator for collection of civil penalties or for in-
Safety shall review the matter. junctive relief, and to commence any
(Approved by the Office of Management and and all other enforcement actions
Budget under control number 2130–0509) under the Federal railroad safety laws.
(b)(1) Section 207(a) of the Federal
[57 FR 28115, June 24, 1992] Railroad Safety Act of 1970, as amend-
ed (45 U.S.C. 436(a)), authorizes a par-
§ 212.111 Monitoring and other inspec-
tions. ticipating State to bring an action for
assessment and collection of a civil
(a) It is the policy of the FRA to penalty in a Federal district court of
monitor State investigative and sur- proper venue, if the FRA has not acted
veillance practices at the program on a request for civil penalty assess-
level. ment originated by the State, within
(b) It is the policy of the FRA to co- sixty (60) days of receipt, by assessing
ordinate its direct inspection and in- the penalty or by determining in writ-
vestigative functions in participating ing that no violation occurred.
States with the responsible State agen- (2) Section 207(b) of the Federal Rail-
cy, providing prior advice to the States road Safety Act of 1970, as amended (45
whenever practicable. U.S.C. 436(b)), authorizes a partici-
(c) The FRA may conduct such moni- pating State to bring an action for in-
toring of State investigative and sur- junctive relief in a Federal district
veillance practices and such other in- court of proper venue, if the FRA has
spection and investigation as may be not acted on a request to initiate such
97
§ 212.201 49 CFR Ch. II (10–1–07 Edition)
an action within fifteen (15) days of re- are clear, complete, and grammatically
ceipt, by referring the matter to the acceptable;
Attorney General for litigation, by un- (3) The ability to record data on
dertaking other enforcement action, or standard report forms with a high de-
by determining in writing that no vio- gree of accuracy;
lation has occurred. (4) The ability to communicate oral-
(3) For purposes of this paragraph, a ly; and
request for legal action is deemed to be (5) Basic knowledge of rail transpor-
received when a legally sufficient in- tation functions, the organization of
vestigative report specifying the action railroad, shipper, and manufacturer
requested is received by the designated companies, and standard industry rules
FRA offices. for personal safety.
(c)(1) Requests for civil penalty as- (e) Each inspector shall demonstrate
sessments and other administrative ac- a thorough knowledge of:
tions shall be submitted to the FRA (1) Railroad rules, practices, record
Regional Director for Railroad Safety systems, and terminology common to
for the FRA region in which the State operating and maintenance functions;
is located. and
(2) Requests for the institution of in- (2) The scope and major requirements
junctive actions shall be submitted si- of all of the Federal railroad safety
multaneously to (i) the FRA Regional laws and regulations.
Director for Railroad Safety for the
(f) In addition to meeting the re-
FRA region in which the State is lo-
quirements of this section, each inspec-
cated and (ii) the Enforcement Divi-
tor and apprentice inspector shall meet
sion, Office of Chief Counsel, FRA,
the applicable requirements of §§ 212.203
Washington, DC 20590.
through 212.229 of this subpart.
Subpart C—State Inspection [47 FR 41051, Sept. 16, 1982, as amended at 57
FR 28115, June 24, 1992]
Personnel
§ 212.201 General qualifications of § 212.203 Track inspector.
State inspection personnel. (a) The track inspector is required, at
(a) This subpart prescribes the min- a minimum, to be able to conduct inde-
imum qualification requirements for pendent inspections of track structures
State railroad safety inspectors, com- for the purpose of determining compli-
pliance inspectors and inspector ap- ance with the Track Safety Standards
prentices. A State agency may estab- (49 CFR part 213), to make reports of
lish more stringent or additional re- those inspections, and to recommend
quirements for its employees. the institution of enforcement actions
(b) An inspector, compliance inspec- when appropriate to promote compli-
tor, or apprentice inspector shall be ance.
recognized as qualified under this part (b) The track inspector is required, at
by the State agency and the Associate a minimum to have at least four years
Administrator prior to assuming the of recent experience in track construc-
responsibilities of the position. tion or maintenance. A bachelor’s de-
(c) Each inspector, compliance in- gree in engineering or a related tech-
spectors and apprentice inspector shall nical specialization may be substituted
be a bona fide employee of the State for two of the four years of this experi-
agency. ence requirement and successful com-
(d) Each inspector, compliance in- pletion of the apprentice training pro-
spector, and apprentice inspector shall gram may be substituted for the four
demonstrate: years of this experience requirement.
(1) The ability to read and com- (c) The track inspector shall dem-
prehend written materials such as onstrate the following specific quali-
training and enforcement manuals, fications:
regulations, operating and safety rules (1) A comprehensive knowledge of
of the railroad, and similar materials; track nomenclature, track inspection
(2) The ability to compose narrative techniques, track maintenance meth-
reports of investigative findings that ods, and track equipment;
98
(2) The ability to understand and de- be substituted for the four years of this
tect deviations from: requirement.
(i) Track maintenance standards ac- (c) The signal and train control in-
cepted in the industry; and spector shall demonstrate the fol-
(ii) The Track Safety Standards (49 lowing specific qualifications:
CFR part 213). (1) A comprehensive knowledge of
(3) Knowledge of operating practices signal and train control systems, main-
and vehicle/track interaction sufficient tenance practices, test and inspection
to understand the safety significance of techniques;
deviations and combinations of devi- (2) The ability to understand and de-
ations; and tect deviations from:
(4) Specialized knowledge of the re- (i) Signal and train control mainte-
quirements of the Track Safety Stand- nance standards accepted in the indus-
ards, including the remedial action re- try; and
quired to bring defective track into (ii) The Rules, Standards and In-
compliance with the standards. structions for Railroad Signal Systems
(49 CFR part 236).
§ 212.205 Apprentice track inspector. (3) The ability to examine plans and
(a) The apprentice track inspector records, to make inspections of signal
must be enrolled in a program of train- train control systems and to determine
ing prescribed by the Associate Admin- adequacy of stopping distances from
istrator leading to qualification as a prescribed speeds;
track inspector. The apprentice track (4) Knowledge of operating practices
inspector may not participate in inves- and signal systems sufficient to under-
tigative and surveillance activities, ex- stand the safety significance of devi-
cept as an assistant to a qualified ations and combination of deviations;
State or FRA inspector while accom- and
panying that qualified inspector. (5) Specialized knowledge of the re-
(b) An apprentice track inspector quirements of the Rules, Standards and
shall demonstrate basic knowledge of Instructions for Railroad Signal Sys-
track inspection techniques, track tems, including the remedial action re-
maintenance methods, and track equip- quired to bring signal and train control
ment prior to being enrolled in the pro- systems into compliance with the
gram. standards.
§ 212.207 Signal and train control in- § 212.209 Train control inspector.
spector. (a) The train control inspector is re-
(a) The signal and train control in- quired, at a minimum, to be able to
spector is required, at a minimum, to conduct independent inspections of
be able to conduct independent inspec- automatic cab signal, automatic train
tions of all types of signal and train stop, and automatic train control de-
control systems for the purpose of devices on board locomotives for the pur-
termining compliance with the Rules, pose of determining compliance with
Standards and Instructions for Rail- subpart E of the Rules, Standards and
road Signal Systems (49 CFR part 236), Instructions for Railroad Signal Sys-
to make reports of those inspections, tems (49 CFR part 236) and to rec-
and to recommend the institution of ommend the institution of enforcement
enforcement actions when appropriate action when appropriate to promote
to promote compliance. compliance.
(b) The signal and train inspector is (b) The train control inspector is re-
required, at a minimum, to have at quired, at a minimum, to have at least
least four years of recent experience in four years of recent experience in loco-
signal construction or maintenance. A motive construction or maintenance. A
bachelor’s degree in electrical engi- bachelor’s degree in electrical engi-
neering or a related technical speciali- neering or a related technical speciali-
zation may be substituted for two of zation may be substituted for two of
the four years of this experience re- the four years of this experience re-
quirement and successful completion of quirement and successful completion of
the apprentice training program may the apprentice training program may
99
§ 212.211 49 CFR Ch. II (10–1–07 Edition)
be substituted for the four year experi- independent inspections of railroad

ence requirement. equipment for the purpose of deter-
(c) The train control inspector shall mining compliance with all sections of
demonstrate the following specific the Freight Car Safety Standards (49
qualifications: CFR part 215), Safety Glazing Stand-
(1) A comprehensive knowledge of the ards (49 CFR part 223), Locomotive
various train control systems used on Safety Standards (49 CFR part 229),
board locomotives, locomotive air Safety Appliance Standards (49 CFR
brake systems and test and inspection part 231), and Power Brake Standards
procedures; (49 CFR part 232), to make reports of
(2) The ability to understand and de- those inspections and to recommend
tect deviations from: the institution of enforcement actions
(i) Train control maintenance stand- when appropriate to promote compli-
ards accepted in the industry; and ance.
(ii) Subpart E of the Rules, Standards (b) The MP&E inspector is required,
and Instructions for Railroad Signal at a minimum, to have at least four
Systems (49 CFR part 236); years of recent experience in the con-
(3) Knowledge of operating practices struction or maintenance of railroad
and train control systems sufficient to rolling equipment. A bachelor’s degree
understand the safety significance of in engineering or a related technical
deviations and combinations of devi- specialization may be substituted for
ations; and two of the four years of this experience
(4) Specialized knowledge of the re- requirement and successful completion
quirements of subpart E of the Rules, of the apprentice training program
Standards and Instructions for Rail- may be substituted for the four year
road Signal Systems, including the re- experience requirement.
medial action required to bring train (c) The MP&E inspector shall dem-
control systems used on board loco- onstrate the following qualifications:
motives into compliance with the (1) A comprehensive knowledge of
standards. construction, testing, inspecting and
repair of railroad freight cars, pas-
§ 212.211 Apprentice signal and train senger cars, locomotives and air
control inspector. brakes;
(a) The apprentice signal and train (2) The ability to understand and de-
control inspector must be enrolled in a tect deviations from:
program of training prescribed by the (i) Railroad equipment maintenance
Associate Administrator leading to standards accepted in the industry; and
qualification as a signal and train con- (ii) The Freight Car Safety Stand-
trol inspector. The apprentice inspec- ards, Safety Glazing Standards, Loco-
tor may not participate in the inves- motive Safety Standards, Safety Appli-
tigative and surveillance activities, ex- ance Standards and Power Brake
cept as an assistant to a qualified Standards.
State or FRA inspector while accom- (3) The knowledge of railroad oper-
panying that qualified inspector. ating procedures associated with the
(b) Prior to being enrolled in the pro- operation of freight cars, passenger
gram the apprentice inspector shall cars, locomotives and air brakes suffi-
demonstrate: cient to understand the safety signifi-
(1) Working knowledge of basic elec- cance of deviations and combinations
tricity and the ability to use electrical of deviations; and
test equipment in direct current and (4) Specialized knowledge of proper
alternating current circuits; and remedial action to be taken in order to
(2) A basic knowledge of signal and bring defective freight cars, passenger
train control inspection and mainte- cars, locomotives, and air brakes into
nance methods and procedures. compliance with applicable Federal
standards.
§ 212.213 Motive power and equipment
(MP&E) inspector. § 212.215 Locomotive inspector.
(a) The MP&E inspector is required, (a) The locomotive inspector is re-
at a minimum, to be able to conduct quired, at a minimum, to be able to
100
conduct independent inspections of lo- CFR part 223), Safety Appliance Stand-
comotives and air brake systems for ards (49 CFR part 231) and Power Brake
the purpose of determining compliance Standards (49 CFR part 232), to make
with applicable sections of the Safety reports of those inspections and to rec-
Glazing Standards (49 CFR part 223), ommend the institution of enforcement
Locomotive Safety Standards (49 CFR actions when appropriate to promote
part 229), Safety Appliance Standards compliance.
(49 CFR part 231) and Power Brake (b) The car inspector is required, at a
Standards (49 CFR part 232), to make minimum, to have at least two years of
reports of those inspections and to rec- recent experience in freight car or pas-
ommend the institution of enforcement senger car construction, maintenance
actions when appropriate to promote or inspection. Successful completion of
compliance. the apprentice training program may
(b) The locomotive inspector is re- be substituted for this two year experi-
quired, at a minimum, to have at least ence requirement.
four years of experience in locomotive (c) The car inspector shall dem-
construction or maintenance. A bach- onstrate the following specific quali-
elor’s degree in mechanical engineering fications:
or a related technical specialization (1) A comprehensive knowledge of the
may be substituted for two of the four construction and testing of freight and
years of this experience requirement passenger cars and air brakes;
and successful completion of the ap- (2) The ability to understand and de-
prentice training program may be sub- tect deviations from:
stituted for the four year experience (i) Railroad freight and passenger car
requirement. maintenance standards accepted in the
(c) The locomotive inspector shall industry; and
demonstrate the following specific
(ii) The Freight Car Safety Standards
qualifications:
(49 CFR part 215), Safety Glazing
(1) A comprehensive knowledge of
Standards (49 CFR part 223), Safety Ap-
construction, testing, inspecting and
pliance Standards (49 CFR part 231) and
repair of locomotive and air brakes;
Power Brake Standards (49 CFR part
(2) The ability to understand and de-
232);
tect deviations from:
(i) Railroad equipment maintenance (3) The knowledge of railroad oper-
standards accepted in the industry; and ating procedures associated with the
(ii) Safety Glazing Standards, Loco- operation of freight and passenger cars
motive Safety Standards, Safety Appli- and air brakes sufficient to understand
ance Standards and Power Brake the safety significance of deviations
Standards; and combinations of deviations; and
(3) The knowledge of railroad oper- (4) Specialized knowledge of proper
ating procedures associated with the remedial action to be taken in order to
operation of locomotives and air bring defective freight and passenger
brakes sufficient to understand the car equipment and air brakes into com-
safety significance of deviations and pliance with applicable Federal stand-
combinations of deviations; and ards.
(4) Specialized knowledge of proper
remedial action to be taken in order to § 212.219 Apprentice MP&E inspector.
bring defective locomotives, and air (a) The apprentice MP&E inspector
brakes into compliance with applicable must be enrolled in a program of train-
Federal standards. ing prescribed by the Associate Admin-
istrator leading to qualification as an
§ 212.217 Car inspector. MP&E inspector. The apprentice may
(a) The car inspector is required, at a not participate in investigative and
minimum, to be able to conduct inde- surveillance activities, except as an as-
pendent inspections of railroad rolling sistant to a qualified State or FRA in-
stock for the purpose of determining spector while accompanying that quali-
compliance with all sections of the fied inspector.
Freight Car Safety Standards (49 CFR (b) An apprentice MP&E inspector
part 215), Safety Glazing Standards (49 shall demonstrate basic knowledge of
101
§ 212.221 49 CFR Ch. II (10–1–07 Edition)
railroad equipment and air brake in- determining compliance with the re-
spection, testing and maintenance, quirements of the following:
prior to being enrolled in the program. (1) Operating Rules—blue flag (49
CFR part 218);
§ 212.221 Operating practices inspec- (2) Control of Alcohol and Drug Use
tor.
(49 CFR part 219);
(a) The operating practices inspector (3) Rear End Marking Device Regula-
is required, at a minimum, to be able tions (49 CFR part 221);
to conduct independent inspections for (4) Railroad accidents/incidents: re-
the purpose of determining compliance ports classification and investigations
with all sections of the Federal oper- (49 CFR part 225); and
ating practice regulations (49 CFR (5) Hours of Service Act (45 U.S.C. 61–
parts 217, 218, 219, 220, 221, 225 and 228) 64b) and implementing regulations (49
and the Hours of Service Act (45 U.S.C. CFR part 228); to make reports of those
61–64b), to make reports of those in- inspections and to recommend the in-
spections, and to recommend the insti- stitution of enforcement actions when
tution of enforcement actions when ap- appropriate to promote compliance.
propriate to promote compliance. (b) The operating practices compli-
(b) The operating practices inspector ance inspector is required, at a min-
is required at a minimum to have at imum, to have at least two years of re-
least four years of recent experience in cent experience in developing or ad-
developing or administering railroad ministering railroad operating rules.
operating rules. Successful completion Successful completion of the appren-
of the apprentice training program tice training program may be sub-
may be substituted for this four year stituted for the two year experience re-
experience requirement. quirement.
(c) The operating practices inspector
(c) The compliance inspector shall
shall demonstrate the following spe-
demonstrate the following specific
cific qualifications:
qualifications.
(1) A comprehensive knowledge of
railroad operating practices, railroad (1) A basic knowledge of railroad op-
operating rules, duties of railroad em- erations, duties of railroad employees
ployees, and general railroad nomen- and general railroad safety as it relates
clature; to the protection of railroad employ-
(2) The ability to understand and de- ees;
tect deviations from: (2) A basic knowledge of railroad
(i) Railroad operating rules accepted rules and practices;
in the industry; and (3) The ability to understand and de-
(ii) Federal operating practice regu- tect deviations from the requirements
lations; cited in paragraph (a) of this section;
(3) Knowledge of operating practices and
and rules sufficient to understand the (4) Specialized knowledge of the re-
safety significance of deviations; and quirements of the Federal operating
(4) Specialized knowledge of the re- practices regulations listed in para-
quirements of the Federal operating graph (a) of this section, including the
practices regulations listed in para- remedial action required to bring de-
graph (a) of this section, including the fective conditions into compliance
remedial action required to bring rail- with the applicable Federal standards.
road operations into compliance with [47 FR 41051, Sept. 16, 1982, as amended at 50
the regulations. FR 31578, Aug. 2, 1985]
[47 FR 41051, Sept. 16, 1982, as amended at 50
FR 31578, Aug. 2, 1985] § 212.225 Apprentice operating prac-
tices inspector.
§ 212.223 Operating practices compli- (a) The apprentice operating prac-
ance inspector. tices inspector must be enrolled in a
(a) The operating practices compli- program of training prescribed by the
ance inspector is required, at a min- Associate Administrator leading to
imum, to be able to conduct inde- qualification as an inspector. The ap-
pendent inspections for the purpose of prentice inspector may not participate
102
in investigative and surveillance ac- ards associated with hazardous mate-

tivities, except as an assistant to a rials that are transported by railroad;
qualified State or FRA inspector while (4) Knowledge of the proper remedial
accompanying that qualified inspector. actions required to bring railroad, ship-
(b) An apprentice operating practices per, and/or manufacturing facilities
inspector shall demonstrate basic into compliance with the Federal regu-
knowledge of railroad operating prac- lations; and
tices, railroad operating rules and gen- (5) Knowledge of the proper remedial
eral duties of railroad employees prior actions required when a hazardous ma-
to being enrolled in the program. terials transportation accident or inci-
dent occurs.
§ 212.227 Hazardous materials inspec-
tor. [57 FR 28115, June 24, 1992]
(a) The hazardous materials inspec-
§ 212.229 Apprentice hazardous mate-
tor is required, at a minimum, to be rials inspector.
able to conduct independent inspec-
tions to determine compliance with all (a) The apprentice hazardous mate-
pertinent sections of the Federal haz- rials inspector must be enrolled in a
ardous materials regulations (49 CFR program of training prescribed by the
parts 171 through 174, and 179), to make Associate Administrator for Safety
reports of those inspections and find- leading to qualification as a hazardous
ings, and to recommend the institution materials inspector. The apprentice
of enforcement actions when appro- may not participate in investigative
priate to promote compliance. and surveillance activities, except as
(b) The hazardous materials inspec- an assistant to a qualified State or
tor is required, at a minimum, to have FRA inspector while accompanying
at least two years of recent experience that qualified inspector.
in developing, administering, or per- (b) An apprentice hazardous mate-
forming managerial functions related rials inspector shall demonstrate a
to compliance with the hazardous ma- basic knowledge of the chemical haz-
terials regulations; four years of recent ards associated with hazardous mate-
experience in performing functions re- rials that are transported by railroad,
lated to compliance with the hazardous including requirements such as ship-
materials regulations; or a bachelor’s ping papers, marking, labeling,
degree in a related technical specializa- placarding, and the manufacturing and
tion. Successful completion of the ap- maintenance of packagings associated
prentice training program may be sub- with these shipments.
stituted for this requirement.
(c) The hazardous materials inspector [57 FR 28116, June 24, 1992]
shall demonstrate the following spe-
§ 212.231 Highway-rail grade crossing
cific qualifications:
inspector.
(1) A comprehensive knowledge of the
transportation and operating proce- (a) The highway-rail grade crossing
dures employed in the railroad, ship- inspector is required, at a minimum, to
ping, or manufacturing industries asso- be able to conduct independent inspec-
ciated with the transportation of haz- tions of all types of highway-rail grade
ardous materials; crossing warning systems for the pur-
(2) Knowledge and ability to under- pose of determining compliance with
stand and detect deviations from the Grade Crossing Signal System Safety
Department of Transportation’s Haz- Rules (49 CFR part 234), to make re-
ardous Materials Regulations, includ- ports of those inspections, and to rec-
ing Federal requirements and industry ommend institution of enforcement ac-
standards for the manufacturing of tions when appropriate to promote
bulk packaging used in the transpor- compliance.
tation of hazardous materials by rail- (b) The highway-rail grade crossing
road; inspector is required, at a minimum, to
(3) Knowledge of the physical and have at least four years of recent expe-
chemical properties and chemical haz- rience in highway-rail grade crossing
103
§ 212.233 49 CFR Ch. II (10–1–07 Edition)
construction or maintenance. A bach- to make reports of those inspections,

elor’s degree in engineering or a re- and to recommend institution of en-
lated technical specialization may be forcement actions when appropriate to
substituted for two of the four years of promote compliance.
this experience requirement. Success- [59 FR 50104, Sept. 30, 1994]
ful completion of an apprentice train-
ing program under § 212.233 may be sub- § 212.233 Apprentice highway-rail
stituted for the four years of this expe- grade crossing inspector.
rience requirement. (a) An apprentice highway-rail grade
(c) The highway-rail grade crossing crossing inspector shall be enrolled in a
inspector shall demonstrate the fol- program of training prescribed by the
lowing specific qualifications: Associate Administrator for Safety
(1) A comprehensive knowledge of leading to qualification as a highway-
highway-rail grade crossing nomen- rail grade crossing inspector. The ap-
clature, inspection techniques, mainte- prentice inspector may not participate
nance requirements, and methods; in investigative and surveillance ac-
(2) The ability to understand and de- tivities, except as an assistant to a
tect deviations from: qualified State or FRA inspector while
(i) Grade crossing signal system accompanying that qualified inspector.
maintenance, inspection and testing (b) Prior to being enrolled in the pro-
standards accepted in the industry; and gram the apprentice inspector shall
(ii) The Grade Crossing Signal Sys- demonstrate:
tem Safety Rules (49 CFR part 234); (1) Working basic knowledge of elec-
(3) Knowledge of operating practices tricity;
and highway-rail grade crossing sys- (2) The ability to use electrical test
tems sufficient to understand the safe- equipment in direct current and alter-
ty significance of deviations and com- nating current circuits; and
binations of deviations from (3) A basic knowledge of highway-rail
§ 212.231(c)(2) (i) and (ii); grade crossing inspection and mainte-
(4) Specialized knowledge of the re- nance methods and procedures.
quirements of the Grade Crossing Sig-
nal System Safety Rules (49 CFR part [59 FR 50104, Sept. 30, 1994]
234), including the remedial action re-
quired to bring highway-rail grade § 212.235 Inapplicable qualification re-
quirements.
crossing signal systems into compli-
ance with those Rules; The Associate Administrator may de-
(5) Specialized knowledge of high- termine that a specific requirement of
way-rail grade crossing standards con- this subpart is inapplicable to an iden-
tained in the Manual on Uniform Traf- tified position created by a State agen-
fic Control Devices; and cy if it is not relevant to the actual du-
(6) Knowledge of railroad signal sys- ties of the position. The determination
tems sufficient to ensure that highway- is made in writing.
rail grade crossing warning systems [47 FR 41051, Sept. 16, 1982. Redesignated at
and inspections of those systems do not 57 FR 28115, June 24, 1992. Further redesig-
adversely affect the safety of railroad nated at 59 FR 50104, Sept. 30, 1994]
signal systems.
(d) A State signal and train control PART 213—TRACK SAFETY
inspector qualified under this part and STANDARDS
who has demonstrated the ability to
understand and detect deviations from Subpart A—General
the Grade Crossing Signal System
Safety Rules (49 CFR part 234) is Sec.
deemed to meet all requirements of 213.1 Scope of part.
this section and is qualified to conduct 213.2 Preemptive effect.
213.3 Application.
independent inspections of all types of
213.4 Excepted track.
highway-rail grade crossing warning 213.5 Responsibility for compliance.
systems for the purpose of determining 213.7 Designation of qualified persons to su-
compliance with Grade Crossing Signal pervise certain renewals and inspect
System Safety Rules (49 CFR part 234),
track.
104
213.9 Classes of track: operating speed lim- Subpart G—Train Operations at Track
its. Classes 6 and Higher
213.11 Restoration or renewal of track under
traffic conditions. 213.301 Scope of subpart.
213.13 Measuring track not under load. 213.303 Responsibility for compliance.
213.15 Penalties. 213.305 Designation of qualified individuals;
213.17 Waivers. general qualifications.
213.19 Information collection. 213.307 Class of track: operating speed lim-
its.
Subpart B—Roadbed 213.309 Restoration or renewal of track
under traffic conditions.
213.31 Scope. 213.311 Measuring track not under load.
213.33 Drainage. 213.317 Waivers.
213.37 Vegetation. 213.319 Drainage.
213.321 Vegetation.
Subpart C—Track Geometry 213.323 Track gage.
213.327 Alinement.
213.51 Scope. 213.329 Curves, elevation and speed limita-
213.53 Gage. tions.
213.55 Alinement. 213.331 Track surface.
213.57 Curves; elevation and speed limita- 213.333 Automated vehicle inspection sys-
tions. tems.
213.59 Elevation of curved track; runoff. 213.334 Ballast; general.
213.63 Track surface. 213.335 Crossties.
213.337 Defective rails.
Subpart D—Track Structure 213.339 Inspection of rail in service.
213.341 Initial inspection of new rail and
213.101 Scope. welds.
213.103 Ballast; general. 213.343 Continuous welded rail (CWR).
213.109 Crossties. 213.345 Vehicle qualification testing.
213.110 Gage restraint measurement sys- 213.347 Automotive or railroad crossings at
tems. grade.
213.113 Defective rails. 213.349 Rail end mismatch.
213.115 Rail end mismatch. 213.351 Rail joints.
213.119 Continuous welded rail (CWR); gen- 213.352 Torch cut rail.
eral. 213.353 Turnouts, crossovers, and lift rail as-
213.121 Rail joints. semblies or other transition devices on
213.122 Torch cut rail. moveable bridges.
213.123 Tie plates. 213.355 Frog guard rails and guard faces;
213.127 Rail fastening systems. gage.
213.133 Turnouts and track crossings gen- 213.357 Derails.
erally. 213.359 Track stiffness.
213.135 Switches. 213.361 Right of way.
213.137 Frogs. 213.365 Visual inspections.
213.139 Spring rail frogs. 213.367 Special inspections.
213.141 Self-guarded frogs. 213.369 Inspection records.
213.143 Frog guard rails and guard faces; APPENDIX A TO PART 213—MAXIMUM ALLOW-
gage. ABLE CURVING SPEEDS
APPENDIX B TO PART 213—SCHEDULE OF CIVIL
Subpart E—Track Appliances and Track- PENALTIES
Related Devices APPENDIX C TO PART 213—STATEMENT OF
AGENCY POLICY ON THE SAFETY OF RAIL-
213.201 Scope. ROAD BRIDGES
213.205 Derails AUTHORITY: 49 U.S.C. 20102–20114 and 20142;
28 U.S.C. 2461, note; and 49 CFR 1.49(m).
Subpart F—Inspection
SOURCE: 63 FR 34029, June 22, 1998, unless
213.231 Scope. otherwise noted.
213.233 Track inspections.
213.235 Inspection of switches, track cross-
ings, and lift rail assemblies or other
Subpart A—General
transition devices on moveable bridges.
§ 213.1 Scope of part.
213.237 Inspection of rail.
213.239 Special inspections. (a) This part prescribes minimum
safety requirements for railroad track
213.241 Inspection records.
105
§ 213.2 49 CFR Ch. II (10–1–07 Edition)
that is part of the general railroad sys- (b) The identified segment is not lo-
tem of transportation. The require- cated within 30 feet of an adjacent
ments prescribed in this part apply to track which can be subjected to simul-
specific track conditions existing in taneous use at speeds in excess of 10
isolation. Therefore, a combination of miles per hour;
track conditions, none of which indi- (c) The identified segment is in-
vidually amounts to a deviation from spected in accordance with 213.233(c)
the requirements in this part, may re- and 213.235 at the frequency specified
quire remedial action to provide for for Class 1 track;
safe operations over that track. This (d) The identified segment of track is
part does not restrict a railroad from not located on a bridge including the
adopting and enforcing additional or track approaching the bridge for 100
more stringent requirements not in- feet on either side, or located on a pub-
consistent with this part. lic street or highway, if railroad cars
(b) Subparts A through F apply to containing commodities required to be
track Classes 1 through 5. Subpart G placarded by the Hazardous Materials
and 213.2, 213.3, and 213.15 apply to Regulations (49 CFR part 172), are
track over which trains are operated at moved over the track; and
speeds in excess of those permitted (e) The railroad conducts operations
over Class 5 track. on the identified segment under the
following conditions:
§ 213.2 Preemptive effect. (1) No train shall be operated at
Under 49 U.S.C. 20106, issuance of speeds in excess of 10 miles per hour;
these regulations preempts any State (2) No occupied passenger train shall
law, regulation, or order covering the be operated;
same subject matter, except an addi- (3) No freight train shall be operated
tional or more stringent law, regula- that contains more than five cars re-
tion, or order that is necessary to quired to be placarded by the Haz-
eliminate or reduce an essentially local ardous Materials Regulations (49 CFR
safety hazard; is not incompatible with part 172); and
a law, regulation, or order of the (4) The gage on excepted track shall
United States Government; and that not be more than 4 feet 101⁄4 inches.
does not impose an unreasonable bur- This paragraph (e)(4) is applicable Sep-
den on interstate commerce. tember 21, 1999.
(f) A track owner shall advise the ap-
§ 213.3 Application. propriate FRA Regional Office at least
(a) Except as provided in paragraph 10 days prior to removal of a segment
(b) of this section, this part applies to of track from excepted status.
all standard gage track in the general [63 FR 34029, June 22, 1998]
railroad system of transportation.
(b) This part does not apply to § 213.5 Responsibility for compliance.
track— (a) Except as provided in paragraph
(1) Located inside an installation (b) of this section, any owner of track
which is not part of the general rail- to which this part applies who knows
road system of transportation; or or has notice that the track does not
(2) Used exclusively for rapid transit comply with the requirements of this
operations in an urban area that are part, shall—
not connected with the general rail- (1) Bring the track into compliance;
road system of transportation. (2) Halt operations over that track;
or
§ 213.4 Excepted track. (3) Operate under authority of a per-
A track owner may designate a seg- son designated under § 213.7(a), who has
ment of track as excepted track pro- at least one year of supervisory experi-
vided that— ence in railroad track maintenance,
(a) The segment is identified in the subject to conditions set forth in this
timetable, special instructions, general part.
order, or other appropriate records (b) If an owner of track to which this
which are available for inspection dur- part applies designates a segment of
ing regular business hours; track as ‘‘excepted track’’ under the
106
provisions of § 213.4, operations may persons to supervise restorations and

continue over that track without com- renewals of track under traffic condi-
plying with the provisions of subparts tions. Each person designated shall
B, C, D, and E of this part, unless oth- have—
erwise expressly stated. (1) At least—
(c) If an owner of track to which this (i) 1 year of supervisory experience in
part applies assigns responsibility for railroad track maintenance; or
the track to another person (by lease (ii) A combination of supervisory ex-
or otherwise), written notification of perience in track maintenance and
the assignment shall be provided to the training from a course in track mainte-
appropriate FRA Regional Office at nance or from a college level edu-
least 30 days in advance of the assign- cational program related to track
ment. The notification may be made by maintenance;
any party to that assignment, but shall (2) Demonstrated to the owner that
be in writing and include the fol- he or she—
lowing— (i) Knows and understands the re-
(1) The name and address of the track quirements of this part;
owner; (ii) Can detect deviations from those
(2) The name and address of the per- requirements; and
son to whom responsibility is assigned (iii) Can prescribe appropriate reme-
(assignee); dial action to correct or safely com-
(3) A statement of the exact relation- pensate for those deviations; and
ship between the track owner and the (3) Written authorization from the
assignee; track owner to prescribe remedial ac-
(4) A precise identification of the tions to correct or safely compensate
track; for deviations from the requirements in
(5) A statement as to the competence this part.
and ability of the assignee to carry out (b) Each track owner to which this
the duties of the track owner under part applies shall designate qualified
this part; and persons to inspect track for defects.
(6) A statement signed by the as- Each person designated shall have—
signee acknowledging the assignment (1) At least—
to him of responsibility for purposes of (i) 1 year of experience in railroad
compliance with this part. track inspection; or
(d) The Administrator may hold the (ii) A combination of experience in
track owner or the assignee or both re- track inspection and training from a
sponsible for compliance with this part course in track inspection or from a
and subject to penalties under § 213.15. college level educational program re-
(e) A common carrier by railroad lated to track inspection;
which is directed by the Surface Trans- (2) Demonstrated to the owner that
portation Board to provide service over he or she—
the track of another railroad under 49 (i) Knows and understands the re-
U.S.C. 11123 is considered the owner of quirements of this part;
that track for the purposes of the ap- (ii) Can detect deviations from those
plication of this part during the period requirements; and
the directed service order remains in (iii) Can prescribe appropriate reme-
effect. dial action to correct or safely com-
(f) When any person, including a con- pensate for those deviations; and
tractor for a railroad or track owner, (3) Written authorization from the
performs any function required by this track owner to prescribe remedial ac-
part, that person is required to perform tions to correct or safely compensate
that function in accordance with this for deviations from the requirements of
part. this part, pending review by a qualified
person designated under paragraph (a)
§ 213.7 Designation of qualified per- of this section.
sons to supervise certain renewals (c) Persons not fully qualified to su-
and inspect track. pervise certain renewals and inspect
(a) Each track owner to which this track as outlined in paragraphs (a) and
part applies shall designate qualified (b) of this section, but with at least one
107
§ 213.9 49 CFR Ch. II (10–1–07 Edition)
year of maintenance-of-way or signal apart and be prepared to stop the train

experience, may pass trains over bro- if necessary; and
ken rails and pull aparts provided (4) Person(s) fully qualified under
that— § 213.7 of this part are notified and dis-
(1) The track owner determines the patched to the location promptly for
person to be qualified and, as part of the purpose of authorizing movements
doing so, trains, examines, and re-ex- and effecting temporary or permanent
amines the person periodically within repairs.
two years after each prior examination
(d) With respect to designations
on the following topics as they relate
to the safe passage of trains over bro- under paragraphs (a), (b), and (c) of this
ken rails or pull aparts: rail defect section, each track owner shall main-
identification, crosstie condition, tain written records of—
track surface and alinement, gage re- (1) Each designation in effect;
straint, rail end mismatch, joint bars, (2) The basis for each designation;
and maximum distance between rail and
ends over which trains may be allowed (3) Track inspections made by each
to pass. The sole purpose of the exam- designated qualified person as required
ination is to ascertain the person’s by § 213.241. These records shall be kept
ability to effectively apply these re- available for inspection or copying by
quirements and the examination may the Federal Railroad Administration
not be used to disqualify the person during regular business hours.
from other duties. A minimum of four
hours training is adequate for initial § 213.9 Classes of track: operating
training; speed limits.
(2) The person deems it safe and train
speeds are limited to a maximum of 10 (a) Except as provided in paragraph
m.p.h. over the broken rail or pull (b) of this section and §§ 213.57(b),
apart; 213.59(a), 213.113(a), and 213.137(b) and
(3) The person shall watch all move- (c), the following maximum allowable
ments over the broken rail or pull operating speeds apply—
[In miles per hour]
The maximum al- The maximum al-

lowable operating lowable operating
Over track that meets all of the requirements prescribed in this part for— speed for freight speed for pas-
trains is— senger trains is—
Excepted track ................................................................................................................... 10 N/A

Class 1 track ..................................................................................................................... 10 15
Class 2 track ..................................................................................................................... 25 30
Class 3 track ..................................................................................................................... 40 60
Class 4 track ..................................................................................................................... 60 80
Class 5 track ..................................................................................................................... 80 90
(b) If a segment of track does not after that person determines that oper-
meet all of the requirements for its in- ations may safely continue and subject
tended class, it is reclassified to the to any limiting conditions specified by
next lowest class of track for which it such person.
does meet all of the requirements of
this part. However, if the segment of § 213.11 Restoration or renewal of
track does not at least meet the re- track under traffic conditions.
quirements for Class 1 track, oper- If during a period of restoration or
ations may continue at Class 1 speeds renewal, track is under traffic condi-
for a period of not more than 30 days tions and does not meet all of the re-
without bringing the track into com- quirements prescribed in this part, the
pliance, under the authority of a per- work on the track shall be under the
son designated under § 213.7(a), who has continuous supervision of a person des-
at least one year of supervisory experi- ignated under § 213.7(a) who has at least
ence in railroad track maintenance, one year of supervisory experience in
108
railroad track maintenance, and sub- criminal penalties under 49 U.S.C.

ject to any limiting conditions speci- 21311.
fied by such person. The term ‘‘contin- [63 FR 34029, June 22, 1998, as amended at 69
uous supervision’’ as used in this sec- FR 30593, May 28, 2004]
tion means the physical presence of
EFFECTIVE DATE NOTE: At 72 FR 51196,
that person at a job site. However,
Sept. 6, 2007, § 213.15, paragraph (a) was
since the work may be performed over amended by removing the numerical amount
a large area, it is not necessary that ‘‘$11,000’’ and adding in its place the numer-
each phase of the work be done under ical amount ‘‘$16,000’’, effective October 9,
the visual supervision of that person. 2007.
§ 213.13 Measuring track not under § 213.17 Waivers.

load. (a) Any owner of track to which this
When unloaded track is measured to part applies, or other person subject to
determine compliance with require- this part, may petition the Federal
ments of this part, the amount of rail Railroad Administrator for a waiver
movement, if any, that occurs while from any or all requirements pre-
the track is loaded must be added to scribed in this part. The filing of such
the measurements of the unloaded a petition does not affect that person’s
track. responsibility for compliance with that
requirement while the petition is being
§ 213.15 Penalties. considered.
(b) Each petition for a waiver under
(a) Any person who violates any re- this section shall be filed in the man-
quirement of this part or causes the ner and contain the information re-
violation of any such requirement is quired by part 211 of this chapter.
subject to a civil penalty of at least (c) If the Administrator finds that a
$550 and not more than $11,000 per vio- waiver is in the public interest and is
lation, except that: Penalties may be consistent with railroad safety, the Ad-
assessed against individuals only for ministrator may grant the exemption
willful violations, and, where a grossly subject to any conditions the Adminis-
negligent violation or a pattern of re- trator deems necessary. Where a waiv-
peated violations has created an immi- er is granted, the Administrator pub-
nent hazard of death or injury to per- lishes a notice containing the reasons
sons, or has caused death or injury, a for granting the waiver.
penalty not to exceed $27,000 per viola-
tion may be assessed. ‘‘Person’’ means § 213.19 Information collection.
an entity of any type covered under 1 (a) The information collection re-
U.S.C. 1, including but not limited to quirements of this part were reviewed
the following: a railroad; a manager, by the Office of Management and Budg-
supervisor, official, or other employee et pursuant to the Paperwork Reduc-
or agent of a railroad; any owner, man- tion Act of 1995 (44 U.S.C. 3501 et seq.)
ufacturer, lessor, or lessee of railroad and are assigned OMB control number
equipment, track, or facilities; any 2130–0010.
independent contractor providing (b) The information collection re-
goods or services to a railroad; any em- quirements are found in the following
ployee of such owner, manufacturer, sections: §§ 213.4, 213.5, 213.7, 213.17,
lessor, lessee, or independent con- 213.57, 213.119, 213.122, 213.233, 213.237,
tractor; and anyone held by the Fed- 213.241, 213.303, 213.305, 213.317, 213.329,
eral Railroad Administrator to be re- 213.333, 213.339, 213.341, 213.343, 213.345,
sponsible under § 213.5(d) or § 213.303(c). 213.353, 213.361, 213.369.
Each day a violation continues shall
constitute a separate offense. See ap- Subpart B—Roadbed
pendix B to this part for a statement of
agency civil penalty policy. § 213.31 Scope.
(b) Any person who knowingly and This subpart prescribes minimum re-
willfully falsifies a record or report requirements for roadbed and areas im-
mediately adjacent to roadbed.
quired by this part may be subject to
109
§ 213.33 49 CFR Ch. II (10–1–07 Edition)
§ 213.33 Drainage. (d) Prevent proper functioning of sig-

Each drainage or other water car- nal and communication lines; or
rying facility under or immediately ad- (e) Prevent railroad employees from
jacent to the roadbed shall be main- visually inspecting moving equipment
tained and kept free of obstruction, to from their normal duty stations.
accommodate expected water flow for
the area concerned. Subpart C—Track Geometry
§ 213.37 Vegetation. § 213.51 Scope.
Vegetation on railroad property This subpart prescribes requirements
which is on or immediately adjacent to for the gage, alinement, and surface of
roadbed shall be controlled so that it
track, and the elevation of outer rails
does not—
and speed limitations for curved track.
(a) Become a fire hazard to track-car-
rying structures; § 213.53 Gage.
(b) Obstruct visibility of railroad
signs and signals: (a) Gage is measured between the
(1) Along the right-of-way, and heads of the rails at right-angles to the
(2) At highway-rail crossings; (This rails in a plane five-eighths of an inch
paragraph (b)(2) is applicable Sep- below the top of the rail head.
tember 21, 1999.) (b) Gage shall be within the limits
(c) Interfere with railroad employees prescribed in the following table—
performing normal trackside duties;
Class of track The gage must be at least— But not more than—
Excepted track ................................................... N/A .................................................................... 4′10 ⁄ ″.

14
Class 1 track ...................................................... 4′8″ .................................................................... 4′10″.

Class 2 and 3 track ........................................... 4′8″ .................................................................... 4′93⁄4″.
Class 4 and 5 track ........................................... 4′8″ .................................................................... 4′91⁄2″.
§ 213.55 Alinement.
Alinement may not deviate from uni-
formity more than the amount pre-
scribed in the following table:
Tangent track Curved track
The deviation of The deviation of The deviation of

the mid-offset the mid-ordinate the mid-ordinate
Class of track from a 62-foot from a 31-foot from a 62-foot
line 1 may not be chord 2 may not chord 2 may not
more than— be more than— be more than—
(inches) (inches) (inches)
Class 1 track ................................................................................... 5 3 N/A 5

Class 2 track ................................................................................... 3 3 N/A 3
Class 3 track ................................................................................... 13⁄4 11⁄4 13⁄4
Class 4 track ................................................................................... 1 ⁄2
1 1 1 ⁄2
1
Class 5 track ................................................................................... 3⁄4 1⁄2 5⁄8
1 The ends of the line shall be at points on the gage side of the line rail, five-eighths of an inch below the top of the railhead.
Either rail may be used as the line rail, however, the same rail shall be used for the full length of that tangential segment of
track.
2 The ends of the chord shall be at points on the gage side of the outer rail, five-eighths of an inch below the top of the rail-
head.
3 N/A—Not Applicable.
§ 213.57 Curves; elevation and speed and 7 inches on Classes 3 through 5. Ex-
limitations. cept as provided in § 213.63, the outside
(a) The maximum crosslevel on the rail of a curve may not be lower than
outside rail of a curve may not be more the inside rail. (The first sentence of
than 8 inches on track Classes 1 and 2 paragraph (a) is applicable September
21, 1999.)
110
(b)(1) The maximum allowable oper- ment and the horizontal does not ex-
ating speed for each curve is deter- ceed 5.7 degrees; and
mined by the following formula— (2) When positioned on a track with a
uniform 6 inch superelevation, no
Ea + 3 wheel of the equipment unloads to a
Vmax = value of 60 percent of its static value
0.0007D on perfectly level track, and the roll
Where— angle between the floor of the equip-
Vmax = Maximum allowable operating speed ment and the horizontal does not ex-
(miles per hour). ceed 8.6 degrees.
Ea = Actual elevation of the outside rail
(3) The track owner shall notify the
(inches).1
D = Degree of curvature (degrees).2
Federal Railroad Administrator no less
than 30 calendar days prior to the pro-
(2) Table 1 of Appendix A is a table of posed implementation of the higher
maximum allowable operating speed curving speeds allowed under the for-
computed in accordance with this formula in paragraph (c) of this section.
mula for various elevations and degrees The notification shall be in writing and
of curvature. shall contain, at a minimum, the fol-
(c)(1) For rolling stock meeting the lowing information—
requirements specified in paragraph (d) (i) A complete description of the
of this section, the maximum operating class of equipment involved, including
speed for each curve may be deter- schematic diagrams of the suspension
mined by the following formula— systems and the location of the center
of gravity above top of rail;
Ea + 4 (ii) A complete description of the test
Vmax =
0.0007D procedure 3 and instrumentation used
Where—
to qualify the equipment and the max-
imum values for wheel unloading and
Vmax = Maximum allowable operating speed
roll angles which were observed during
(miles per hour).
Ea = Actual elevation of the outside rail testing;
(inches).1 (iii) Procedures or standards in effect
D = Degree of curvature (degrees).2 which relate to the maintenance of the
suspension system for the particular
(2) Table 2 of Appendix A is a table of
class of equipment; and
maximum allowable operating speed
(iv) Identification of line segment on
computed in accordance with this for-
mula for various elevations and degrees which the higher curving speeds are
of curvature. proposed to be implemented.
(d) Qualified equipment may be oper- (e) A track owner, or an operator of a
ated at curving speeds determined by passenger or commuter service, who
the formula in paragraph (c) of this provides passenger or commuter serv-
section, provided each specific class of ice over trackage of more than one
equipment is approved for operation by track owner with the same class of
the Federal Railroad Administration equipment may provide written notifi-
and the railroad demonstrates that: cation to the Federal Railroad Admin-
(1) When positioned on a track with a istrator with the written consent of
uniform 4-inch superelevation, the roll the other affected track owners.
angle between the floor of the equip- (f) Equipment presently operating at
curving speeds allowed under the for-
1 Actual elevation for each 155 foot track
mula in paragraph (c) of this section,
segment in the body of the curve is deter-
mined by averaging the elevation for 10 3 The test procedure may be conducted in a
points through the segment at 15.5 foot spac- test facility whereby all the wheels on one
ing. If the curve length is less than 155 feet, side (right or left) of the equipment are al-
average the points through the full length of ternately raised and lowered by 4 and 6
the body of the curve. inches and the vertical wheel loads under
2 Degree of curvature is determined by each wheel are measured and a level is used
ER22JN98.002</GPH>
averaging the degree of curvature over the to record the angle through which the floor
same track segment as the elevation. of the equipment has been rotated.
111
ER22JN98.001</GPH>
§ 213.59 49 CFR Ch. II (10–1–07 Edition)
by reason of conditional waivers grant- representative of other equipment as-

ed by the Federal Railroad Administra- signed to service or a portable device
tion, shall be considered to have suc- that monitors on-board instrumenta-
cessfully complied with the require- tion on trains over the curves in the
ments of paragraph (d) of this section. identified track segment at the rev-
(g) A track owner or a railroad oper- enue speed profile at a frequency of at
ating above Class 5 speeds, may request least once every 90-day period with not
approval from the Federal Railroad Ad- less than 30 days interval between in-
ministrator to operate specified equip- spections. The instrumented car or the
ment at a level of cant deficiency portable device shall monitor a lat-
greater than four inches in accordance erally-oriented accelerometer placed
with § 213.329(c) and (d) on curves in near the end of the vehicle at the floor
Class 1 through 5 track which are con- level. If the carbody lateral accelera-
tiguous to the high speed track pro- tion measurement exceeds the safety
vided that— limits prescribed in paragraph (g)(1),
(1) The track owner or railroad sub- the railroad shall operate trains at
mits a test plan to the Federal Rail- curving speeds in accordance with
road Administrator for approval no less paragraph (b) or (c) of this section; and
than thirty calendar days prior to any (5) The track owner or railroad shall
proposed implementation of the higher maintain a copy of the most recent ex-
curving speeds. The test plan shall in- ception printouts for the inspections
clude an analysis and determination of required under paragraphs (g)(3) and (4)
carbody acceleration safety limits for of this section.
each vehicle type which indicate wheel
unloading of 60 percent in a steady [63 FR 34029, June 22, 1998; 63 FR 54078, Oct.
state condition and 80 percent in a 8, 1998]
transient (point by point) condition.
§ 213.59 Elevation of curved track;
Accelerometers shall be laterally-ori- runoff.
ented and floor-mounted near the end
of a representative vehicle of each (a) If a curve is elevated, the full ele-
type; vation shall be provided throughout
(2) Upon FRA approval of a test plan, the curve, unless physical conditions
the track owner or railroad conducts do not permit. If elevation runoff oc-
incrementally increasing train speed curs in a curve, the actual minimum
test runs over the curves in the identi- elevation shall be used in computing
fied track segment(s) to demonstrate the maximum allowable operating
that wheel unloading is within the lim- speed for that curve under § 213.57(b).
its prescribed in paragraph (g)(1) of this (b) Elevation runoff shall be at a uni-
section; form rate, within the limits of track
(3) Upon FRA approval of a cant defi- surface deviation prescribed in § 213.63,
ciency level, the track owner or rail- and it shall extend at least the full
road inspects the curves in the identi- length of the spirals. If physical condi-
fied track segment with a Track Geom- tions do not permit a spiral long
etry Measurement System (TGMS) enough to accommodate the minimum
qualified in accordance with § 213.333 (b) length of runoff, part of the runoff may
through (g) at an inspection frequency be on tangent track.
of at least twice annually with not less
than 120 days interval between inspec- § 213.63 Track surface.
tions; and Each owner of the track to which
(4) The track owner or railroad oper- this part applies shall maintain the
ates an instrumented car having dy- surface of its track within the limits
namic response characteristics that are prescribed in the following table:
Class of track
Track surface 1 2 3 4 5
(inches) (inches) (inches) (inches) (inches)
The runoff in any 31 feet of rail at the end of a raise may not be
more than. ..................................................................................... 31⁄2 3 2 11⁄2 1
112
Class of track
Track surface 1 2 3 4 5
(inches) (inches) (inches) (inches) (inches)
The deviation from uniform profile on either rail at the mid-ordinate

of a 62-foot chord may not be more than ..................................... 3 23⁄4 21⁄4 2 11⁄4
The deviation from zero crosslevel at any point on tangent or re-
verse crosslevel elevation on curves may not be more than ....... 3 2 1 ⁄
34 1 ⁄
14 1
The difference in crosslevel between any two points less than 62
feet apart may not be more than* 1,2 ............................................ 3 21⁄4 2 13⁄4 11⁄2
* Where determined by engineering decision prior to the promulga-
tion of this rule, due to physical restrictions on spiral length and
operating practices and experience, the variation in crosslevel
on spirals per 31 feet may not be more than ............................... 2 13⁄4 11⁄4 1 ⁄
34
1 Except as limited by § 213.57(a), where the elevation at any point in a curve equals or exceeds 6 inches, the difference in
crosslevel within 62 feet between that point and a point with greater elevation may not be more than 11⁄2 inches. (Footnote 1 is
applicable September 21, 1999.)
2 However, to control harmonics on Class 2 through 5 jointed track with staggered joints, the crosslevel differences shall not
exceed 11⁄4 inches in all of six consecutive pairs of joints, as created by 7 low joints. Track with joints staggered less than 10
feet shall not be considered as having staggered joints. Joints within the 7 low joints outside of the regular joint spacing shall not
be considered as joints for purposes of this footnote. (Footnote 2 is applicable September 21, 1999.)
[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]
Subpart D—Track Structure (iii) Maintain alinement within the

limits prescribed in § 213.55.
§ 213.101 Scope. (2) The minimum number and type of
This subpart prescribes minimum re- crossties specified in paragraphs (c)
quirements for ballast, crossties, track and (d) of this section effectively dis-
assembly fittings, and the physical tributed to support the entire segment;
conditions of rails. and
(3) At least one crosstie of the type
§ 213.103 Ballast; general. specified in paragraphs (c) and (d) of
this section that is located at a joint
Unless it is otherwise structurally
location as specified in paragraph (f) of
supported, all track shall be supported
this section.
by material which will—
(c) Each 39 foot segment of: Class 1
(a) Transmit and distribute the load
track shall have five crossties; Classes
of the track and railroad rolling equip-
2 and 3 track shall have eight crossties;
ment to the subgrade;
and Classes 4 and 5 track shall have 12
(b) Restrain the track laterally, lon-
crossties, which are not:
gitudinally, and vertically under dy- (1) Broken through;
namic loads imposed by railroad roll- (2) Split or otherwise impaired to the
ing equipment and thermal stress ex- extent the crossties will allow the bal-
erted by the rails; last to work through, or will not hold
(c) Provide adequate drainage for the spikes or rail fasteners;
track; and (3) So deteriorated that the tie plate
(d) Maintain proper track crosslevel, or base of rail can move laterally more
surface, and alinement. than 1⁄2 inch relative to the crossties;
§ 213.109 Crossties. or
(4) Cut by the tie plate through more
(a) Crossties shall be made of a mate- than 40 percent of a ties’ thickness.
rial to which rail can be securely fas- (d) Each 39 foot segment of track
tened. shall have the minimum number and
(b) Each 39 foot segment of track type of crossties as indicated in the fol-
shall have— lowing table (this paragraph (d) is ap-
(1) A sufficient number of crossties plicable September 21, 2000).
which in combination provide effective
support that will— Turnouts
Tangent and
(i) Hold gage within the limits pre- track and
Class of track curved
curves ≤2
scribed in § 213.53(b); track over
degrees 2 degrees
(ii) Maintain surface within the lim-
its prescribed in § 213.63; and
Class 1 track ..................................... 5 6
113
§ 213.109 49 CFR Ch. II (10–1–07 Edition)
Tangent Turnouts (3) So deteriorated that the tie plate

and or base of rail can move laterally 1⁄2
track and
Class of track curved
curves ≤2 inch relative to the crossties; or
track over
degrees 2 degrees (4) Cut by the tie plate through more
Class 2 track ..................................... 8 9 than 40 percent of a crosstie’s thick-
Class 3 track ..................................... 8 10 ness (this paragraph (e) is applicable
Class 4 and 5 track ........................... 12 14 September 21, 2000).
(f) Class 1 and Class 2 track shall
(e) Crossties counted to satisfy the have one crosstie whose centerline is
requirements set forth in the table in within 24 inches of each rail joint loca-
paragraph (d) of this section shall not tion, and Classes 3 through 5 track
be— shall have one crosstie whose center-
(1) Broken through; line is within 18 inches of each rail
(2) Split or otherwise impaired to the joint location or, two crossties whose
extent the crossties will allow the bal- centerlines are within 24 inches either
last to work through, or will not hold side of each rail joint location. The rel-
spikes or rail fasteners; ative position of these ties is described
in the following diagrams:
Each rail joint in Classes 1 and 2 track

shall be supported by at least one cross-
tie specified in paragraphs (c) and (d) of
this section whose centerline is within
48″ shown above.
ER22JN98.004</GPH>
114
ER22JN98.003</GPH>
Each rail joint in Classes 3 through 5

track shall be supported by either at
least one crosstie specified in para-
graphs (c) and (d) of this section whose
centerline is within 36″ shown above, or:
Two crossties, one on each side of the rail (1) Identification of the line seg-
joint, whose centerlines are within 24″ ment(s) by timetable designation,
of the rail joint location shown above. milepost limits, class of track, or other
identifying criteria; and
(g) For track constructed without (2) The most recent record of million
crossties, such as slab track, track con- gross tons of traffic per year over the
nected directly to bridge structural identified segment(s).
components and track over servicing (c) The track owner shall also pro-
pits, the track structure shall meet the vide to FRA sufficient technical data
requirements of paragraphs (b)(1)(i), to establish compliance with the min-
(ii), and (iii) of this section. imum design requirements of a GRMS
[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. vehicle which specify that—
28, 1998] (1) Gage restraint shall be measured
between the heads of rail—
§ 213.110 Gage restraint measurement (A) At an interval not exceeding 16
systems. inches;
(a) A track owner may elect to imple- (B) Under an applied vertical load of
ment a Gage Restraint Measurement no less than 10,000 pounds per rail; and
System (GRMS), supplemented by the (C) Under an applied lateral load
use of a Portable Track Loading Fix- which provides for a lateral/vertical
ture (PTLF), to determine compliance load ratio between 0.5 and 1.25, and a
with the crosstie and fastener require- load severity greater than 3,000 pounds
ments specified in §§ 213.109 and 213.127 but less than 8,000 pounds.
provided that— (d) Load severity is defined by the
(1) The track owner notifies the ap- formula—S=L-cV
propriate FRA Regional office at least
30 days prior to the designation of any Where—
line segment on which GRMS tech- S=Load severity, defined as the lateral load
nology will be implemented; and applied to the fastener system (pounds).
(2) The track owner notifies the ap- L=Actual lateral load applied (pounds).
propriate FRA Regional office at least c=Coefficient of friction between rail/tie
which is assigned a nominal value of (0.4).
10 days prior to the removal of any line
V=Actual vertical load applied (pounds).
segment from GRMS designation.
(b) Initial notification under para- (e) The measured gage values shall be
graph (a)(1) of this section shall in- converted to a Projected Loaded Gage
clude— 24 (PLG 24) as follows—
115
ER22JN98.005</GPH>
§ 213.110 49 CFR Ch. II (10–1–07 Edition)
PLG 24 = UTG + A × ( LTG − UTG)
Where— inches from the lateral load application

UTG=Unloaded track gage measured by the point.
GRMS vehicle at a point no less than 10 A=The extrapolation factor used to convert
the measured loaded gage to expected load-
feet from any lateral or vertical load appli-
ed gage under a 24,000 pound lateral load
cation.
and a 33,000 pound vertical load.
LTG=Loaded track gage measured by the
GRMS vehicle at a point no more than 12 For all track—
13153
.
A=
(.001 × L − .000258 × V) − .009 × (.001 × L − .000258 × V)2
NOTE: The A factor shall not exceed (3.184) V=Actual vertical load applied (pounds).
under any valid loading configuration.
(f) The measured gage value shall be
where— converted to a Gage Widening Ratio
L=Actual lateral load applied (pounds). (GWR) as follows—
(LTG − UTG)
GWR = ×16,000
L
(g) The GRMS vehicle shall be capa- by the instrumentation with respect to
ble of producing output reports that loaded and unloaded gage parameters;
provide a trace, on a constant-distance and
scale, of all parameters specified in (2) Maintain each PTLF used for de-
paragraph (l) of this section. termining compliance with the require-
(h) The GRMS vehicle shall be capa- ments of this section such that the
ble of providing an exception report 4,000-pound reading is accurate to with-
containing a systematic listing of all in five percent of that reading.
exceptions, by magnitude and location, (k) The track owner shall provide
to all the parameters specified in para- training in GRMS technology to all
graph (l) of this section. persons designated as fully qualified
(i) The exception reports required by under § 213.7 and whose territories are
this section shall be provided to the ap- subject to the requirements of this sec-
propriate person designated as fully tion. The training program shall be
qualified under § 213.7 prior to the next made available to the Federal Railroad
inspection required under § 213.233. Administration upon request. At a
(j) The track owner shall institute minimum, the training program shall
the necessary procedures for maintain- address—
ing the integrity of the data collected
(1) Basic GRMS procedures;
by the GRMS and PTLF systems. At a
minimum, the track owner shall— (2) Interpretation and handling of ex-
ER10JA01.002</MATH>
(1) Maintain and make available to ception reports generated by the GRMS
the Federal Railroad Administration vehicle;
documented calibration procedures on (3) Locating and verifying defects in
each GRMS vehicle which, at a min- the field;
imum, shall specify a daily instrument (4) Remedial action requirements;
(5) Use and calibration of the PTLF;
ER10JA01.001</MATH>
verification procedure that will ensure

correlation between measurements and
made on the ground and those recorded (6) Recordkeeping requirements.
116
ER10JA01.000</MATH>
(l) The GRMS record of lateral re- shall initiate the required remedial ac-
straint shall identify two exception tion at each exception level as defined
levels. At a minimum, the track owner in the following table—
If measure-
GRMS param- ment value ex- Remedial action required
eter 1 ceeds
First Level Exception
UTG ................ 58 inches ....... (1) Immediately protect the exception location with a 10 mph speed restriction; then verify lo-
cation; and
(2) Restore lateral restraint and maintain in compliance with PTLF criteria as described in
paragraph (m) of this section; and
(3) Maintain compliance with § 213.53(b) of this part as measured with the PTLF.
LTG ................. 58 inches.

PLG24 ............ 59 inches.
GWR ............... 1.0 inches.
Second Level Exception
LTG ................. 573⁄4 inches 2 Limit operating speed to no more than the maximum allowable under § 213.9 for Class 3
on Class 4 track; then verify location; and

2
and 5 track . (1) Maintain in compliance with PTLF criteria as described in paragraph (m) of this section;
and
(2) Maintain compliance with § 213.53(b) of this part as measured with the PTLF.
PLG24 ............ 58 inches.
GWR ............... 0.75 inches.
1 Definitionsfor the GRMS parameters referenced in this table are found in paragraph (p) of this section.
2 This note recognizes that typical good track will increase in total gage by as much as 1⁄4 inch due to outward rail rotation
under GRMS loading conditions. For Class 2 & 3 track, the GRMS LTG values are also increased by 1⁄4 inch to a maximum of
58 inches. However, for any Class of track, GRMS LTG values in excess of 58 inches are considered First Level exceptions and
the appropriate remedial actions must be taken by the track owner. This 1⁄4-inch increase in allowable gage applies only to
GRMS LTG. For gage measured by traditional methods, or with the use of the PTLF, the table in § 213.53(b) will apply.
(m) Between GRMS inspections, the tionary authority to prescribe addi-

PTLF may be used as an additional an- tional remedial actions for those loca-
alytical tool to assist fully qualified tions which comply with the require-
§ 213.7 individuals in determining comments of paragraph (m)(1)(i) and (ii) of
pliance with the crosstie and fastener this section.
requirements of §§ 213.109 and 213.127. (4) When a functional PTLF is not
When the PTLF is used, whether as an available to a fully qualified person
additional analytical tool or to fulfill designated under § 213.7, the criteria for
the requirements of paragraph (l), it determining crosstie and fastener com-
shall be used subject to the following pliance shall be based solely on the re-
criteria—
quirements specified in §§ 213.109 and
(1) At any location along the track 213.127.
that the PTLF is applied, that location
(5) If the PTLF becomes non-func-
will be deemed in compliance with the
crosstie and fastener requirements tional or is missing, the track owner
specified in §§ 213.109 and 213.127 pro- will replace or repair it before the next
vided that— inspection required under § 213.233.
(i) The total gage widening at that (6) Where vertical loading of the
location does not exceed 5⁄8 inch when track is necessary for contact with the
increasing the applied force from 0 to lateral rail restraint components, a
4,000 pounds; and PTLF test will not be considered valid
(ii) The gage of the track under 4,000 until contact with these components is
pounds of applied force does not exceed restored under static loading condi-
the allowable gage prescribed in tions.
§ 213.53(b) for the class of track. (n) The track owner shall maintain a
(2) Gage widening in excess of 5⁄8 inch record of the two most recent GRMS
shall constitute a deviation from Class inspections at locations which meet
1 standards. the requirements specified in
(3) A person designated as fully quali- § 213.241(b). At a minimum, records
fied under § 213.7 retains the discre- shall indicate the following—
117
§ 213.113 49 CFR Ch. II (10–1–07 Edition)
(1) Location and nature of each First tem after friction between rail and tie
Level exception; and is overcome by any applied gage-wid-
(2) Nature and date of remedial ac- ening lateral load.
tion, if any, for each exception identi- (5) Loaded Track Gage (LTG) means
fied in paragraph (n)(1) of this section. the gage measured by the GRMS vehi-
(o) The inspection interval for des- cle at a point no more than 12 inches
ignated GRMS line segments shall be from the lateral load application point.
such that—
(6) Portable Track Loading Fixture
(1) On line segments where the an-
nual tonnage exceeds two million gross (PTLF) means a portable track loading
tons, or where the maximum operating device capable of applying an increas-
speeds for passenger trains exceeds 30 ing lateral force from 0 to 4,000 pounds
mph, GRMS inspections must be per- on the web/base fillet of each rail si-
formed annually at an interval not to multaneously.
exceed 14 months; or (7) Projected Loaded Gage (PLG) means
(2) On line segments where the an- an extrapolated value for loaded gage
nual tonnage is two million gross tons calculated from actual measured loads
or less and the maximum operating and deflections. PLG 24 means the ex-
speed for passenger trains does not extrapolated value for loaded gage under
ceed 30 mph, the interval between a 24,000 pound lateral load and a 33,000
GRMS inspections must not exceed 24 pound vertical load.
months. (8) Unloaded Track Gage (UTG) means
(p) As used in this section— the gage measured by the GRMS vehi-
(1) Gage Restraint Measurement System
cle at a point no less than 10 feet from
(GRMS) means a track loading vehicle
any lateral or vertical load.
meeting the minimum design require-
ments specified in this section. [66 FR 1899, Jan. 10, 2001; 66 FR 8372, Jan. 31,
(2) Gage Widening Ratio (GWR) means 2001]
the measured difference between load-
ed and unloaded gage measurements, § 213.113 Defective rails.
linearly normalized to 16,000 pounds of (a) When an owner of track to which
applied lateral load. this part applies learns, through in-
(3) L/V ratio means the numerical
spection or otherwise, that a rail in
ratio of lateral load applied at a point
that track contains any of the defects
on the rail to the vertical load applied
at that same point. GRMS design re- listed in the following table, a person
quirements specify an L/V ratio of be- designated under § 213.7 shall determine
tween 0.5 and 1.25. GRMS vehicles whether or not the track may continue
using load combinations developing L/ in use. If he determines that the track
V ratios which exceed 0.8 must be oper- may continue in use, operation over
ated with caution to protect against the defective rail is not permitted
the risk of wheel climb by the test until—
wheelset. (1) The rail is replaced; or
(4) Load severity means the amount of (2) The remedial action prescribed in
lateral load applied to the fastener sys- the table is initiated.
118
NOTES: A. Assign person designated under A2. Assign person designated under § 213.7
§ 213.7 to visually supervise each operation to make visual inspection. After a visual in-
over defective rail. spection, that person may authorize oper-
ation to continue without continuous visual
119
EN28SE98.059</GPH>
§ 213.113 49 CFR Ch. II (10–1–07 Edition)
supervision at a maximum of 10 m.p.h. for up crystalline center or nucleus inside the
to 24 hours prior to another such visual in- head from which it spreads outward as
spection or replacement or repair of the rail. a smooth, bright, or dark, round or
B. Limit operating speed over defective
rail to that as authorized by a person des-
oval surface substantially at a right
ignated under § 213.7(a), who has at least one angle to the length of the rail. The dis-
year of supervisory experience in railroad tinguishing features of a transverse fis-
track maintenance. The operating speed can- sure from other types of fractures or
not be over 30 m.p.h. or the maximum allow- defects are the crystalline center or
able speed under § 213.9 for the class of track nucleus and the nearly smooth surface
concerned, whichever is lower. of the development which surrounds it.
C. Apply joint bars bolted only through the
outermost holes to defect within 20 days
(2) Compound fissure means a progres-
after it is determined to continue the track sive fracture originating in a hori-
in use. In the case of Classes 3 through 5 zontal split head which turns up or
track, limit operating speed over defective down in the head of the rail as a
rail to 30 m.p.h. until joint bars are applied; smooth, bright, or dark surface pro-
thereafter, limit speed to 50 m.p.h. or the gressing until substantially at a right
maximum allowable speed under § 213.9 for angle to the length of the rail. Com-
the class of track concerned, whichever is
lower. When a search for internal rail defects
pound fissures require examination of
is conducted under § 213.237, and defects are both faces of the fracture to locate the
discovered in Classes 3 through 5 which re- horizontal split head from which they
quire remedial action C, the operating speed originate.
shall be limited to 50 m.p.h., or the max- (3) Horizontal split head means a hori-
imum allowable speed under § 213.9 for the zontal progressive defect originating
class of track concerned, whichever is lower, inside of the rail head, usually one-
for a period not to exceed 4 days. If the defec- quarter inch or more below the running
tive rail has not been removed from the
track or a permanent repair made within 4
surface and progressing horizontally in
days of the discovery, limit operating speed all directions, and generally accom-
over the defective rail to 30 m.p.h. until joint panied by a flat spot on the running
bars are applied; thereafter, limit speed to 50 surface. The defect appears as a crack
m.p.h. or the maximum allowable speed lengthwise of the rail when it reaches
under § 213.9 for the class of track concerned, the side of the rail head.
whichever is lower. (4) Vertical split head means a vertical
D. Apply joint bars bolted only through the
split through or near the middle of the
after it is determined to continue the track head, and extending into or through it.
in use. In the case of Classes 3 through 5 A crack or rust streak may show under
track, limit operating speed over the defec- the head close to the web or pieces may
tive rail to 30 m.p.h. or less as authorized by be split off the side of the head.
a person designated under § 213.7(a), who has (5) Split web means a lengthwise
at least one year of supervisory experience in crack along the side of the web and ex-
railroad track maintenance, until joint bars tending into or through it.
are applied; thereafter, limit speed to 50
(6) Piped rail means a vertical split in
m.p.h. or the maximum allowable speed
under § 213.9 for the class of track concerned, a rail, usually in the web, due to fail-
whichever is lower. ure of the shrinkage cavity in the ingot
E. Apply joint bars to defect and bolt in ac- to unite in rolling.
cordance with § 213.121(d) and (e). (7) Broken base means any break in
F. Inspect rail 90 days after it is deter- the base of the rail.
mined to continue the track in use. (8) Detail fracture means a progressive
G. Inspect rail 30 days after it is deter- fracture originating at or near the sur-
mined to continue the track in use.
H. Limit operating speed over defective
face of the rail head. These fractures
rail to 50 m.p.h. or the maximum allowable should not be confused with transverse
speed under § 213.9 for the class of track con- fissures, compound fissures, or other
cerned, whichever is lower. defects which have internal origins.
I. Limit operating speed over defective rail Detail fractures may arise from shelly
to 30 m.p.h. or the maximum allowable speed spots, head checks, or flaking.
under § 213.9 for the class of track concerned, (9) Engine burn fracture means a pro-
whichever is lower.
gressive fracture originating in spots
(b) As used in this section— where driving wheels have slipped on
(1) Transverse fissure means a progres- top of the rail head. In developing
sive crosswise fracture starting from a downward they frequently resemble the
120
compound or even transverse fissures base to separate a piece of the rail end
with which they should not be confused from the rail. Multiple cracks occur-
or classified. ring in one rail end are considered to
(10) Ordinary break means a partial or be a single defect. However, bolt hole
complete break in which there is no cracks occurring in adjacent rail ends
sign of a fissure, and in which none of within the same joint must be reported
the other defects described in this as separate defects.
paragraph (b) are found. (14) Defective weld means a field or
(11) Damaged rail means any rail bro- plant weld containing any discontinu-
ken or injured by wrecks, broken, flat, ities or pockets, exceeding 5 percent of
or unbalanced wheels, slipping, or simi- the rail head area individually or 10
lar causes. percent in the aggregate, oriented in or
(12) Flattened rail means a short near the transverse plane, due to in-
length of rail, not at a joint, which has complete penetration of the weld metal
flattened out across the width of the between the rail ends, lack of fusion
rail head to a depth of 3⁄8 inch or more between weld and rail end metal, en-
below the rest of the rail. Flattened trainment of slag or sand, under-bead
rail occurrences have no repetitive reg- or other shrinkage cracking, or fatigue
ularity and thus do not include cor- cracking. Weld defects may originate
rugations, and have no apparent local- in the rail head, web, or base, and in
ized cause such as a weld or engine some cases, cracks may progress from
burn. Their individual length is rel- the defect into either or both adjoining
atively short, as compared to a condi- rail ends.
tion such as head flow on the low rail (15) Head and web separation means a
of curves. progressive fracture, longitudinally
separating the head from the web of
(13) Bolt hole crack means a crack
the rail at the head fillet area.
across the web, originating from a bolt
hole, and progressing on a path either [63 FR 34029, June 22, 1998; 63 FR 51639, Sept.
inclined upward toward the rail head or 28, 1998]
inclined downward toward the base.
Fully developed bolt hole cracks may § 213.115 Rail end mismatch.
continue horizontally along the head/ Any mismatch of rails at joints may
web or base/web fillet, or they may not be more than that prescribed by
progress into and through the head or the following table—
Any mismatch of rails at joints may
not be more than the following—
Class of track On the gage side
On the tread of of the rail ends
the rail ends (inch) (inch)
Class 1 track ..................................................................................................................... 14 ⁄ 14 ⁄

Class 2 track ..................................................................................................................... 14 ⁄ ⁄
3 16
Class 3 track ..................................................................................................................... ⁄

3 16 ⁄
3 16
Class 4 and 5 track ........................................................................................................... 18 ⁄ 18 ⁄
§ 213.119 Continuous welded rail views each plan for compliance with
(CWR); general. the following—
Each track owner with track con- (a) Procedures for the installation
structed of CWR shall have in effect and adjustment of CWR which in-
and comply with a plan that contains clude—
written procedures which address: the (1) Designation of a desired rail in-
installation, adjustment, maintenance, stallation temperature range for the
and inspection of CWR; inspection of geographic area in which the CWR is
CWR joints; and a training program for located; and
the application of those procedures. (2) De-stressing procedures/methods
The plan shall be submitted to the Fed- which address proper attainment of the
eral Railroad Administration. FRA re- desired rail installation temperature
range when adjusting CWR.
121
§ 213.119 49 CFR Ch. II (10–1–07 Edition)
(b) Rail anchoring or fastening re- (ii) Take into consideration the type
quirements that will provide sufficient of crossties used.
restraint to limit longitudinal rail and (f) Procedures which prescribe when
crosstie movement to the extent prac- physical track inspections are to be
tical, and specifically addressing CWR performed to detect buckling prone
rail anchoring or fastening patterns on conditions in CWR track. At a min-
bridges, bridge approaches, and at imum, these procedures shall address
other locations where possible longitu- inspecting track to identify—
dinal rail and crosstie movement asso- (1) Locations where tight or kinky
ciated with normally expected train-in- rail conditions are likely to occur;
duced forces, is restricted. (2) Locations where track work of the
(c) Procedures which specifically ad- nature described in paragraph (e)(1) of
dress maintaining a desired rail instal- this section have recently been per-
lation temperature range when cutting formed; and
CWR including rail repairs, in-track (3) In formulating the procedures
welding, and in conjunction with ad- under this paragraph (f), the track
justments made in the area of tight owner shall—
track, a track buckle, or a pull-apart. (i) Specify the timing of the inspec-
Rail repair practices shall take into tion; and
consideration existing rail temperature (ii) Specify the appropriate remedial
so that— actions to be taken when buckling
(1) When rail is removed, the length prone conditions are found.
installed shall be determined by taking (g) Procedures which prescribe the
into consideration the existing rail scheduling and conduct of inspections
temperature and the desired rail instal- to detect cracks and other indications
lation temperature range; and of potential failures in CWR joints. On
(2) Under no circumstances should and after January 1, 2007, in formu-
rail be added when the rail tempera- lating the procedures under this para-
ture is below that designated by paragraph, the track owner shall—
graph (a)(1) of this section, without (1) Address the inspection of joints
provisions for later adjustment. and the track structure at joints, in-
(d) Procedures which address the cluding, at a minimum, periodic on-
monitoring of CWR in curved track for foot inspections;
inward shifts of alinement toward the (2) Identify joint bars with visible or
center of the curve as a result of dis- otherwise detectable cracks and con-
turbed track. duct remedial action pursuant to
(e) Procedures which control train § 213.121;
speed on CWR track when— (3) Specify the conditions of actual or
(1) Maintenance work, track rehabili- potential joint failure for which per-
tation, track construction, or any sonnel must inspect, including, at a
other event occurs which disturbs the minimum, the following items:
roadbed or ballast section and reduces (i) Loose, bent, or missing joint bolts;
the lateral or longitudinal resistance of (ii) Rail end batter or mismatch that
the track; and contributes to instability of the joint;
(2) In formulating the procedures and
under this paragraph (e), the track (iii) Evidence of excessive longitu-
owner shall— dinal rail movement in or near the
(i) Determine the speed required, and joint, including, but not limited to;
the duration and subsequent removal wide rail gap, defective joint bolts, dis-
of any speed restriction based on the turbed ballast, surface deviations, gap
restoration of the ballast, along with between tie plates and rail, or dis-
sufficient ballast re-consolidation to placed rail anchors;
stabilize the track to a level that can (4) Specify the procedures for the in-
accommodate expected train-induced spection of CWR joints that are
forces. Ballast re-consolidation can be imbedded in highway-rail crossings or
achieved through either the passage of in other structures that prevent a com-
train tonnage or mechanical stabiliza- plete inspection of the joint, including
tion procedures, or both; and procedures for the removal from the
122
joint of loose material or other tem- (6) Specify the timing of periodic in-
porary material; spections, which shall be based on the
(5) Specify the appropriate corrective configuration and condition of the
actions to be taken when personnel joint:
find conditions of actual or potential (i) Except as provided in paragraphs
joint failure, including on-foot follow- (g)(6)(ii) through (iv), track owners
up inspections to monitor conditions of must specify that all CWR joints are
potential joint failure in any period inspected, at a minimum, in accord-
prior to completion of repairs. ance with the intervals identified in
the following table—
MINIMUM NUMBER OF INSPECTIONS PER CALENDAR YEAR 1
Freight trains operating over track with an annual Passenger trains operating
tonnage of: over track with an annual
tonnage of:
Less than Greater than Greater than

40 to 60 mgt Less than
40 mgt 60 mgt or equal to
20 mgt 20 mgt
Class 5 & above ........................................ 2 23 24 23 23
Class 4 ...................................................... 2 23 24 2 23
Class 3 ...................................................... 1 2 2 2 2
Class 2 ...................................................... 0 0 0 1 1
Class 1 ...................................................... 0 0 0 0 0
Excepted Track ......................................... 0 0 0 n/a n/a
4 = Four times per calendar year, with one inspection in each of the following periods: January to March, April to June,
July to September, and October to December; and with consecutive inspections separated by at least 60 calendar days.
3 = Three times per calendar year, with one inspection in each of the following periods: January to April, May to August,
and September to December; and with consecutive inspections separated by at least 90 calendar days
2 = Twice per calendar year, with one inspection in each of the following periods: January to June and July to December;
and with consecutive inspections separated by at least 120 calendar days.
1 = Once per calendar year, with consecutive inspections separated by at least 180 calendar days.
1 Where a track owner operates both freight and passenger trains over a given segment of track, and there are two different
possible inspection interval requirements, the more frequent inspection interval applies.
2 When extreme weather conditions prevent a track owner from conducting an inspection of a particular territory within the re-
quired interval, the track owner may extend the interval by up to 30 calendar days from the last day that the extreme weather
condition prevented the required inspection.
(ii) Consistent with any limitations senger trains over the next lower class
applied by the track owner, a passenger of track, need not be considered in de-
train conducting an unscheduled determining the frequency of inspections
tour operation may proceed over track under paragraph (g)(6)(i).
not normally used for passenger oper- (iv) All CWR joints that are located
ations at a speed not to exceed the in switches, turnouts, track crossings,
maximum authorized speed otherwise lift rail assemblies or other transition
allowed, even though CWR joints have devices on moveable bridges must be
not been inspected in accordance with inspected on foot at least monthly,
the frequency identified in paragraph consistent with the requirements in
(g)(6)(i), provided that: § 213.235; and all records of those inspec-
(A) All CWR joints have been in- tions must be kept in accordance with
spected consistent with requirements the requirements in § 213.241. A track
for freight service; and owner may include in its § 213.235 in-
(B) The unscheduled detour operation spections, in lieu of the joint inspec-
lasts no more than 14 consecutive cal- tions required by paragraph (g)(6)(i),
endar days. In order to continue oper- CWR joints that are located in track
ations beyond the 14-day period, the structure that is adjacent to switches
track owner must inspect the CWR and turnouts, provided that the track
joints in accordance with the require- owner precisely defines the parameters
ments of paragraph (g)(6)(i). of that arrangement in the CWR plans.
(iii) Tourist, scenic, historic, or ex- (7) Specify the recordkeeping require-
cursion operations, if limited to the ments related to joint bars in CWR, in-
maximum authorized speed for pas- cluding the following:
123
§ 213.119 49 CFR Ch. II (10–1–07 Edition)
(i) The track owner shall keep a trator) twice annually, by July 31 for
record of each periodic and follow-up the preceding six-month period from
inspection required to be performed by January 1 through June 30 and by Jan-
the track owner’s CWR plan, except for uary 31 for the preceding six-month pe-
those inspections conducted pursuant riod from July 1 through December 31.
to § 213.235 for which track owners must (C) After February 1, 2010, any track
maintain records pursuant to § 213.241. owner may petition FRA to conduct a
The record shall be prepared on the day technical conference to review the
the inspection is made and signed by Fracture Report data submitted
the person making the inspection. The through December of 2009 and assess
record shall include, at a minimum, whether there is a continued need for
the following items: the boundaries of the collection of Fracture Report data.
the territory inspected; the nature and The track owner shall submit a written
location of any deviations at the joint request to the Associate Adminis-
from the requirements of this Part or trator, requesting the technical con-
of the track owner’s CWR plan, with ference and explaining the reasons for
the location identified with sufficient proposing to discontinue the collection
precision that personnel could return of the data.
to the joint and identify it without am- (8) In lieu of the requirements for the
biguity; the date of the inspection; the inspection of rail joints contained in
remedial action, corrective action, or paragraphs (g)(1) through (7) of this
both, that has been taken or will be section, a track owner may seek ap-
taken; and the name or identification proval from FRA to use alternate pro-
number of the person who made the in- cedures.
spection.
(i) The track owner shall submit the
(ii) The track owner shall generate a
proposed alternate procedures and a
Fracture Report for every cracked or
supporting statement of justification
broken CWR joint bar that the track
to the Associate Administrator for
owner discovers during the course of an
Safety (Associate Administrator).
inspection conducted pursuant to
§§ 213.119(g), 213.233, or 213.235 on track (ii) If the Associate Administrator
that is required under § 213.119(g)(6)(i) finds that the proposed alternate pro-
to be inspected. cedures provide an equivalent or higher
(A) The Fracture Report shall be pre- level of safety than the requirements
pared on the day the cracked or broken in paragraphs (g)(1) through (g)(7) of
joint bar is discovered. The record shall this section, the Associate Adminis-
include, at a minimum: the railroad trator will approve the alternate proce-
name; the location of the joint bar as dures by notifying the track owner in
identified by milepost and subdivision; writing. The Associate Administrator
the class of track; annual million gross will specify in the written notification
tons for the previous calendar year; the the date on which the procedures will
date of discovery of the crack or break; become effective, and after that date,
the rail section; the type of bar (stand- the track owner shall comply with the
ard, insulated, or compromise); the procedures. If the Associate Adminis-
number of holes in the joint bar; a gen- trator determines that the alternate
eral description of the location of the procedures do not provide an equiva-
crack or break in bar; the visible lent level of safety, the Associate Ad-
length of the crack in inches; the gap ministrator will disapprove the alter-
measurement between rail ends; the nate procedures in writing, and the
amount and length of rail end batter or track owner shall continue to comply
ramp on each rail end; the amount of with the requirements in paragraphs
tread mismatch; the vertical move- (g)(1) through (7) of this section.
ment of joint; and in curves or spirals, (iii) While a determination is pending
the amount of gage mismatch and the with the Associate Administrator on a
lateral movement of the joint. request submitted pursuant to para-
(B) The track owner shall submit the graph (g)(8) of this section, the track
information contained in the Fracture owner shall continue to comply with
Reports to the FRA Associate Adminis- the requirements contained in para-
trator for Safety (Associate Adminis- graphs (g)(1) through (7) of this section.
124
(h) The track owner shall have in ef- on operations, and additional on-foot
fect a comprehensive training program inspections.
for the application of these written CWR Joint means (a) any joint di-
CWR procedures, with provisions for rectly connected to CWR, and (b) any
periodic re-training, for those individ- joint(s) in a segment of rail between
uals designated under § 213.7 as quali- CWR strings that are less than 195 feet
fied to supervise the installation, ad- apart, except joints located on jointed
justment, and maintenance of CWR sections on bridges.
track and to perform inspections of Desired Rail Installation Temperature
CWR track. Range means the rail temperature
(i) The track owner shall prescribe range, within a specific geographical
and comply with recordkeeping re- area, at which forces in CWR should
quirements necessary to provide an not cause a buckling incident in ex-
adequate history of track constructed treme heat, or a pull-apart during ex-
with CWR. At a minimum, these treme cold weather.
records must include: Disturbed Track means the disturb-
(1) Rail temperature, location and ance of the roadbed or ballast section,
date of CWR installations. This record as a result of track maintenance or any
shall be retained for at least one year; other event, which reduces the lateral
(2) A record of any CWR installation or longitudinal resistance of the track,
or maintenance work that does not
or both.
conform with the written procedures.
Mechanical Stabilization means a type
Such record shall include the location
of procedure used to restore track re-
of the rail and be maintained until the
sistance to disturbed track following
CWR is brought into conformance with
certain maintenance operations. This
such procedures;
procedure may incorporate dynamic
(3) Information on inspection of rail
track stabilizers or ballast
joints as specified in paragraph (g)(7) of
consolidators, which are units of work
this part.
equipment that are used as a sub-
(j) As used in this section—
stitute for the stabilization action pro-
Action Items mean the rail joint con-
vided by the passage of tonnage trains.
ditions that track owners identify in
their CWR plans pursuant to paragraph Rail Anchors means those devices
(g)(3) which require the application of a which are attached to the rail and bear
corrective action. against the side of the crosstie to con-
Adjusting/De-stressing means the pro- trol longitudinal rail movement. Cer-
cedure by which a rail’s temperature is tain types of rail fasteners also act as
re-adjusted to the desired value. It rail anchors and control longitudinal
typically consists of cutting the rail rail movement by exerting a downward
and removing rail anchoring devices, clamping force on the upper surface of
which provides for the necessary ex- the rail base.
pansion and contraction, and then re- Rail Temperature means the tempera-
assembling the track. ture of the rail, measured with a rail
Buckling Incident means the forma- thermometer.
tion of a lateral misalignment suffi- Remedial Actions mean those actions
cient in magnitude to constitute a de- which track owners are required to
viation from the Class 1 requirements take as a result of requirements of this
specified in § 213.55. These normally part to address a non-compliant condi-
occur when rail temperatures are rel- tion.
atively high and are caused by high Tight/Kinky Rail means CWR which
longitudinal compressive forces. exhibits minute alignment irregular-
Continuous Welded Rail (CWR) means ities which indicate that the rail is in
rail that has been welded together into a considerable amount of compression.
lengths exceeding 400 feet. Tourist, Scenic, Historic, or Excursion
Corrective Actions mean those actions Operations mean railroad operations
which track owners specify in their that carry passengers with the convey-
CWR plans to address conditions of ac- ance of the passengers to a particular
tual or potential joint failure, includ- destination not being the principal pur-
ing, as applicable, repair, restrictions pose.
125
§ 213.121 49 CFR Ch. II (10–1–07 Edition)
Train-induced Forces means the (g) No rail shall have a bolt hole
vertical, longitudinal, and lateral dy- which is torch cut or burned in Classes
namic forces which are generated dur- 2 through 5 track. For Class 2 track,
ing train movement and which can con- this paragraph (g) is applicable Sep-
tribute to the buckling potential of the tember 21, 1999.
rail. (h) No joint bar shall be reconfigured
Track Lateral Resistance means the re- by torch cutting in Classes 3 through 5
sistance provided by the rail/crosstie track.
structure against lateral displacement.
Track Longitudinal Resistance means § 213.122 Torch cut rail.
the resistance provided by the rail an-
chors/rail fasteners and the ballast sec- (a) Except as a temporary repair in
tion to the rail/crosstie structure emergency situations no rail having a
against longitudinal displacement. torch cut end shall be used in Classes 3
Unscheduled Detour Operation means through 5 track. When a rail end is
a short-term, unscheduled operation torch cut in emergency situations,
where a track owner has no more than train speed over that rail end shall not
14 calendar days’ notice that the oper- exceed the maximum allowable for
ation is going to occur. Class 2 track. For existing torch cut
rail ends in Classes 3 through 5 track
[63 FR 34029, June 22, 1998; 63 FR 46102, Aug.
the following shall apply—
28, 1998; 63 FR 49382, Sept. 15, 1998; 70 FR
66297, Nov. 2, 2005; 71 FR 59691, Oct. 11, 2006] (1) Within one year of September 21,
1998, all torch cut rail ends in Class 5
§ 213.121 Rail joints. track shall be removed;
(a) Each rail joint, insulated joint, (2) Within two years of September 21,
and compromise joint shall be of a 1998, all torch cut rail ends in Class 4
structurally sound design and dimen- track shall be removed; and
sions for the rail on which it is applied. (3) Within one year of September 21,
(b) If a joint bar on Classes 3 through 1998, all torch cut rail ends in Class 3
5 track is cracked, broken, or because track over which regularly scheduled
of wear allows excessive vertical move- passenger trains operate, shall be
ment of either rail when all bolts are inventoried by the track owner.
tight, it shall be replaced. (b) Following the expiration of the
(c) If a joint bar is cracked or broken time limits specified in paragraphs
between the middle two bolt holes it (a)(1), (2), and (3) of this section, any
shall be replaced. torch cut rail end not removed from
(d) In the case of conventional joint- Classes 4 and 5 track, or any torch cut
ed track, each rail shall be bolted with rail end not inventoried in Class 3
at least two bolts at each joint in track over which regularly scheduled
Classes 2 through 5 track, and with at passenger trains operate, shall be re-
least one bolt in Class 1 track. moved within 30 days of discovery.
(e) In the case of continuous welded Train speed over that rail end shall not
rail track, each rail shall be bolted exceed the maximum allowable for
with at least two bolts at each joint.
Class 2 track until removed.
(f) Each joint bar shall be held in po-
sition by track bolts tightened to allow § 213.123 Tie plates.
the joint bar to firmly support the
abutting rail ends and to allow longitu- (a) In Classes 3 through 5 track where
dinal movement of the rail in the joint timber crossties are in use there shall
to accommodate expansion and con- be tie plates under the running rails on
traction due to temperature variations. at least eight of any 10 consecutive
When no-slip, joint-to-rail contact ex- ties.
ists by design, the requirements of this (b) In Classes 3 through 5 track no
paragraph do not apply. Those loca- metal object which causes a con-
tions when over 400 feet in length, are centrated load by solely supporting a
considered to be continuous welded rail rail shall be allowed between the base
track and shall meet all the require- of the rail and the bearing surface of
ments for continuous welded rail track the tie plate. This paragraph (b) is ap-
prescribed in this part. plicable September 21, 1999.)
126
§ 213.127 Rail fastening systems. (d) The heel of each switch rail shall
be secure and the bolts in each heel
Track shall be fastened by a system
shall be kept tight.
of components which effectively main-
(e) Each switch stand and connecting
tains gage within the limits prescribed
rod shall be securely fastened and oper-
in § 213.53(b). Each component of each
able without excessive lost motion.
such system shall be evaluated to de-
termine whether gage is effectively (f) Each throw lever shall be main-
being maintained. tained so that it cannot be operated
with the lock or keeper in place.
§ 213.133 Turnouts and track crossings (g) Each switch position indicator
generally. shall be clearly visible at all times.
(a) In turnouts and track crossings, (h) Unusually chipped or worn switch
the fastenings shall be intact and points shall be repaired or replaced.
maintained so as to keep the compo- Metal flow shall be removed to insure
nents securely in place. Also, each proper closure.
switch, frog, and guard rail shall be (i) Tongue & Plain Mate switches,
kept free of obstructions that may which by design exceed Class 1 and ex-
interfere with the passage of wheels. cepted track maximum gage limits, are
(b) Classes 3 through 5 track shall be permitted in Class 1 and excepted
equipped with rail anchoring through track.
and on each side of track crossings and § 213.137 Frogs.
turnouts, to restrain rail movement af-
fecting the position of switch points (a) The flangeway depth measured
and frogs. For Class 3 track, this para- from a plane across the wheel-bearing
graph (b) is applicable September 21, area of a frog on Class 1 track shall not
1999.) be less than 13⁄8 inches, or less than 11⁄2
(c) Each flangeway at turnouts and inches on Classes 2 through 5 track.
track crossings shall be at least 11⁄2 (b) If a frog point is chipped, broken,
inches wide. or worn more than five-eighths inch
down and 6 inches back, operating
§ 213.135 Switches. speed over the frog shall not be more
(a) Each stock rail must be securely than 10 m.p.h.
seated in switch plates, but care shall (c) If the tread portion of a frog cast-
be used to avoid canting the rail by ing is worn down more than three-
overtightening the rail braces. eighths inch below the original con-
(b) Each switch point shall fit its tour, operating speed over that frog
stock rail properly, with the switch shall not be more than 10 m.p.h.
stand in either of its closed positions (d) Where frogs are designed as
to allow wheels to pass the switch flange-bearing, flangeway depth may
point. Lateral and vertical movement be less than that shown for Class 1 if
of a stock rail in the switch plates or of operated at Class 1 speeds.
a switch plate on a tie shall not ad-
§ 213.139 Spring rail frogs.
versely affect the fit of the switch
point to the stock rail. Broken or (a) The outer edge of a wheel tread
cracked switch point rails will be sub- shall not contact the gage side of a
ject to the requirements of § 213.113, ex- spring wing rail.
cept that where remedial actions C, D, (b) The toe of each wing rail shall be
or E require the use of joint bars, and solidly tamped and fully and tightly
joint bars cannot be placed due to the bolted.
physical configuration of the switch, (c) Each frog with a bolt hole defect
remedial action B will govern, taking or head-web separation shall be re-
into account any added safety provided placed.
by the presence of reinforcing bars on (d) Each spring shall have compres-
the switch points. sion sufficient to hold the wing rail
(c) Each switch shall be maintained against the point rail.
so that the outer edge of the wheel (e) The clearance between the
tread cannot contact the gage side of holddown housing and the horn shall
the stock rail. not be more than one-fourth of an inch.
127
§ 213.141 49 CFR Ch. II (10–1–07 Edition)
§ 213.141 Self-guarded frogs. service, the guarding face shall be re-

stored before rebuilding the point.
(a) The raised guard on a self-guarded
frog shall not be worn more than three- § 213.143 Frog guard rails and guard
eighths of an inch. faces; gage.
(b) If repairs are made to a self- The guard check and guard face
guarded frog without removing it from gages in frogs shall be within the lim-
its prescribed in the following table—
Guard face gage
Guard check gage The distance between guard
The distance between the gage line of a frog lines 1, measured across the
Class of track to the guard line 1 of its guard rail or guarding track at right angles to the
face, measured across the track at right an- gage line 2, may not be more
gles to the gage line 2, may not be less than— than—
Class 1 track ...................................................... 4′61⁄8″ ................................................................ 4′ 51⁄4″

Class 2 track ...................................................... 4′61⁄4″ ................................................................ 4′ 51⁄8″
Class 3 and 4 track ........................................... 4′ 63⁄8″ ............................................................... 4′51⁄8″
Class 5 track ...................................................... 4′61⁄2″ ................................................................ 4′ 5″
1A line along that side of the flangeway which is nearer to the center of the track and at the same elevation as the gage line.
2 A line 5⁄8 inch below the top of the center line of the head of the running rail, or corresponding location of the tread portion of
the track structure.
Subpart E—Track Appliances and § 213.205 Derails.

Track-Related Devices (a) Each derail shall be clearly visi-
ble.
§ 213.201 Scope. (b) When in a locked position, a de-
This subpart prescribes minimum re- rail shall be free of lost motion which
quirements for certain track appli- would prevent it from performing its
ER22JN98.007</GPH>
ances and track-related devices. intended function.

128
ER22JN98.006</GPH>
(c) Each derail shall be maintained to quirements. When riding over the track
function as intended. in a vehicle, the inspection will be sub-
(d) Each derail shall be properly in- ject to the following conditions—
stalled for the rail to which it is ap- (1) One inspector in a vehicle may in-
plied. (This paragraph (d) is applicable spect up to two tracks at one time pro-
September 21, 1999.) vided that the inspector’s visibility re-
mains unobstructed by any cause and
Subpart F—Inspection that the second track is not centered
more than 30 feet from the track upon
§ 213.231 Scope. which the inspector is riding;
This subpart prescribes requirements (2) Two inspectors in one vehicle may
for the frequency and manner of in- inspect up to four tracks at a time pro-
specting track to detect deviations vided that the inspectors’ visibility re-
from the standards prescribed in this mains unobstructed by any cause and
part. that each track being inspected is cen-
tered within 39 feet from the track
§ 213.233 Track inspections.
upon which the inspectors are riding;
(a) All track shall be inspected in ac- (3) Each main track is actually tra-
cordance with the schedule prescribed versed by the vehicle or inspected on
in paragraph (c) of this section by a foot at least once every two weeks, and
person designated under § 213.7.
each siding is actually traversed by the
(b) Each inspection shall be made on
vehicle or inspected on foot at least
foot or by riding over the track in a ve-
once every month. On high density
hicle at a speed that allows the person
making the inspection to visually in- commuter railroad lines where track
spect the track structure for compli- time does not permit an on track vehi-
ance with this part. However, mechan- cle inspection, and where track centers
ical, electrical, and other track inspec- are 15 foot or less, the requirements of
tion devices may be used to supplement this paragraph (b)(3) will not apply;
visual inspection. If a vehicle is used and
for visual inspection, the speed of the (4) Track inspection records shall in-
vehicle may not be more than 5 miles dicate which track(s) are traversed by
per hour when passing over track the vehicle or inspected on foot as out-
crossings and turnouts, otherwise, the lined in paragraph (b)(3) of this section.
inspection vehicle speed shall be at the (c) Each track inspection shall be
sole discretion of the inspector, based made in accordance with the following
on track conditions and inspection reschedule—
Class of track Type of track Required frequency
Excepted track and Class 1, 2, and 3 Main track and sidings ............................ Weekly with at least 3 calendar days in-
track. terval between inspections, or before
use, if the track is used less than once
a week, or twice weekly with at least 1
calendar day interval between inspec-
tions, if the track carries passenger
trains or more than 10 million gross
tons of traffic during the preceding cal-
endar year.
Excepted track and Class 1, 2, and 3 Other than main track and sidings .......... Monthly with at least 20 calendar days
track. interval between inspections.
Class 4 and 5 track ................................... .................................................................. Twice weekly with at least 1 calendar
day interval between inspections.
(d) If the person making the inspec- the inspector’s discretion as it involves in-
tion finds a deviation from the require- spection speed and sight distance.
ments of this part, the inspector shall
immediately initiate remedial action.
NOTE TO § 213.233: Except as provided in
paragraph (b) of this section, no part of this
section will in any way be construed to limit
129
§ 213.235 49 CFR Ch. II (10–1–07 Edition)
§ 213.235 Inspection of switches, track described in paragraph (d) of this sec-

crossings, and lift rail assemblies or tion, the track owner shall, before the
other transition devices on move- expiration of time or tonnage limits—
able bridges. (1) Conduct a valid search for inter-
(a) Except as provided in paragraph nal defects;
(c) of this section, each switch, turn- (2) Reduce operating speed to a max-
out, track crossing, and moveable imum of 25 miles per hour until such
bridge lift rail assembly or other tran- time as a valid search for internal de-
sition device shall be inspected on foot fects can be made; or
at least monthly. (3) Remove the rail from service.
(b) Each switch in Classes 3 through
5 track that is held in position only by § 213.239 Special inspections.
the operating mechanism and one con-
In the event of fire, flood, severe
necting rod shall be operated to all of
storm, or other occurrence which
its positions during one inspection in
might have damaged track structure, a
every 3 month period.
special inspection shall be made of the
(c) In the case of track that is used
track involved as soon as possible after
less than once a month, each switch,
the occurrence and, if possible, before
turnout, track crossing, and moveable
the operation of any train over that
bridge lift rail assembly or other tran-
track.
sition device shall be inspected on foot
before it is used. § 213.241 Inspection records.
§ 213.237 Inspection of rail. (a) Each owner of track to which this
(a) In addition to the track inspec- part applies shall keep a record of each
tions required by § 213.233, a continuous inspection required to be performed on
search for internal defects shall be that track under this subpart.
made of all rail in Classes 4 through 5 (b) Each record of an inspection
track, and Class 3 track over which under §§ 213.4, 213.119, 213.233, and 213.235
passenger trains operate, at least once shall be prepared on the day the inspec-
every 40 million gross tons (mgt) or tion is made and signed by the person
once a year, whichever interval is making the inspection. Records shall
shorter. On Class 3 track over which specify the track inspected, date of in-
passenger trains do not operate such a spection, location and nature of any
search shall be made at least once deviation from the requirements of this
every 30 mgt or once a year, whichever part, and the remedial action taken by
interval is longer. (This paragraph (a) the person making the inspection. The
is applicable January 1, 1999. owner shall designate the location(s)
(b) Inspection equipment shall be ca- where each original record shall be
pable of detecting defects between maintained for at least one year after
joint bars, in the area enclosed by joint the inspection covered by the record.
bars. The owner shall also designate one lo-
(c) Each defective rail shall be cation, within 100 miles of each state in
marked with a highly visible marking which they conduct operations, where
on both sides of the web and base. copies of records which apply to those
(d) If the person assigned to operate operations are either maintained or
the rail defect detection equipment can be viewed following 10 days notice
being used determines that, due to rail by the Federal Railroad Administra-
surface conditions, a valid search for tion.
internal defects could not be made over (c) Rail inspection records shall
a particular length of track, the test specify the date of inspection, the loca-
on that particular length of track can- tion and nature of any internal defects
not be considered as a search for inter- found, the remedial action taken and
nal defects under paragraph (a) of this the date thereof, and the location of
section. (This paragraph (d) is not ret- any intervals of track not tested per
roactive to tests performed prior to § 213.237(d). The owner shall retain a
September 21, 1998. rail inspection record for at least two
(e) If a valid search for internal de- years after the inspection and for one
fects cannot be conducted for reasons year after remedial action is taken.
130
(d) Each owner required to keep in- Subpart G—Train Operations at

spection records under this section Track Classes 6 and Higher
shall make those records available for
inspection and copying by the Federal § 213.301 Scope of subpart.
Railroad Administration. This subpart applies to all track used
(e) For purposes of compliance with for the operation of trains at a speed
the requirements of this section, an greater than 90 m.p.h. for passenger
owner of track may maintain and equipment and greater than 80 m.p.h.
transfer records through electronic for freight equipment.
transmission, storage, and retrieval
provided that— § 213.303 Responsibility for compli-
ance.
(1) The electronic system be designed
so that the integrity of each record is (a) Any owner of track to which this
maintained through appropriate levels subpart applies who knows or has no-
tice that the track does not comply
of security such as recognition of an
with the requirements of this subpart,
electronic signature, or other means,
shall—
which uniquely identify the initiating (1) Bring the track into compliance;
person as the author of that record. No or
two persons shall have the same elec- (2) Halt operations over that track.
tronic identity; (b) If an owner of track to which this
(2) The electronic storage of each subpart applies assigns responsibility
record shall be initiated by the person for the track to another person (by
making the inspection within 24 hours lease or otherwise), notification of the
following the completion of that in- assignment shall be provided to the ap-
spection; propriate FRA Regional Office at least
(3) The electronic system shall en- 30 days in advance of the assignment.
sure that each record cannot be modi- The notification may be made by any
fied in any way, or replaced, once the party to that assignment, but shall be
record is transmitted and stored; in writing and include the following—
(4) Any amendment to a record shall (1) The name and address of the track
be electronically stored apart from the owner;
(2) The name and address of the per-
record which it amends. Each amend-
son to whom responsibility is assigned
ment to a record shall be uniquely
(assignee);
identified as to the person making the (3) A statement of the exact relation-
amendment; ship between the track owner and the
(5) The electronic system shall pro- assignee;
vide for the maintenance of inspection (4) A precise identification of the
records as originally submitted with- track;
out corruption or loss of data; (5) A statement as to the competence
(6) Paper copies of electronic records and ability of the assignee to carry out
and amendments to those records, that the duties of the track owner under
may be necessary to document compli- this subpart;
ance with this part shall be made avail- (6) A statement signed by the as-
able for inspection and copying by the signee acknowledging the assignment
Federal Railroad Administration at the to that person of responsibility for pur-
locations specified in paragraph (b) of poses of compliance with this subpart.
this section; and (c) The Administrator may hold the
(7) Track inspection records shall be track owner or the assignee or both re-
sponsible for compliance with this sub-
kept available to persons who per-
part and subject to the penalties under
formed the inspections and to persons
§ 213.15.
performing subsequent inspections. (d) When any person, including a con-
[63 FR 34029, June 22, 1998, as amended at 70 tractor for a railroad or track owner,
FR 66298, Nov. 2, 2005] performs any function required by this
part, that person is required to perform
that function in accordance with this
part.
131
§ 213.305 49 CFR Ch. II (10–1–07 Edition)
§ 213.305 Designation of qualified indi- (3) Be authorized in writing by the

viduals; general qualifications. track owner to prescribe remedial ac-
Each track owner to which this sub- tions to correct or safely compensate
part applies shall designate qualified for deviations from the requirements of
individuals responsible for the mainte- this subpart and successful completion
nance and inspection of track in com- of a recorded examination on this sub-
pliance with the safety requirements part as part of the qualification proc-
prescribed in this subpart. Each indi- ess.
vidual, including a contractor or an (b) Inspect track for defects shall
employee of a contractor who is not a meet the following minimum qualifica-
railroad employee, designated to: tions:
(a) Supervise restorations and renew- (1) At least:
als of track shall meet the following (i) Five years of responsible experi-
minimum requirements: ence inspecting track in Class 4 or
(1) At least;
above and the successful completion of
(i) Five years of responsible super-
a course offered by the employer or by
visory experience in railroad track
a college level engineering program,
maintenance in track Class 4 or higher
supplemented by special on the job
and the successful completion of a
course offered by the employer or by a training emphasizing the techniques to
college level engineering program, sup- be employed in the inspection of high
plemented by special on the job train- speed track; or
ing emphasizing the techniques to be (ii) A combination of at least one
employed in the supervision, restora- year of responsible experience in track
tion, and renewal of high speed track; inspection in Class 4 or above and the
or successful completion of a minimum of
(ii) A combination of at least one 80 hours of specialized training in the
year of responsible supervisory experi- inspection of high speed track provided
ence in track maintenance in Class 4 or by the employer or by a college level
higher and the successful completion of engineering program, supplemented by
a minimum of 80 hours of specialized special on the job training provided by
training in the maintenance of high the employer with emphasis on the in-
speed track provided by the employer spection of high speed track; or
or by a college level engineering pro- (iii) A combination of at least two
gram, supplemented by special on the years of experience in track mainte-
job training provided by the employer nance in Class 4 or above and the suc-
with emphasis on the maintenance of cessful completion of a minimum of 120
high speed track; or hours of specialized training in the in-
(iii) A combination of at least two spection of high speed track provided
years of experience in track mainte- by the employer or from a college level
nance in track Class 4 or higher and engineering program, supplemented by
the successful completion of a min- special on the job training provided by
imum of 120 hours of specialized train- the employer with emphasis on the in-
ing in the maintenance of high speed spection of high speed track.
track provided by the employer or by a (2) Demonstrate to the track owner
college level engineering program sup- that the individual:
plemented by special on the job train-
(i) Knows and understands the re-
ing provided by the employer with em-
quirements of this subpart;
phasis on the maintenance of high
speed track. (ii) Can detect deviations from those
(2) Demonstrate to the track owner requirements; and
that the individual: (iii) Can prescribe appropriate reme-
(i) Knows and understands the re- dial action to correct or safely com-
quirements of this subpart; pensate for those deviations; and
(ii) Can detect deviations from those (3) Be authorized in writing by the
requirements; and track owner to prescribe remedial ac-
(iii) Can prescribe appropriate reme- tions to correct or safely compensate
dial action to correct or safely com- for deviations from the requirements in
pensate for those deviations; and this subpart and successful completion
132
of a recorded examination on this sub- and maximum distance between rail

part as part of the qualification proc- ends over which trains may be allowed
ess. to pass. The sole purpose of the exam-
(c) Individuals designated under ination is to ascertain the person’s
paragraphs (a) or (b) of this section ability to effectively apply these re-
that inspect continuous welded rail quirements and the examination may
(CWR) track or supervise the installa- not be used to disqualify the person
tion, adjustment, and maintenance of from other duties. A minimum of four
CWR in accordance with the written hours training is adequate for initial
procedures established by the track training;
owner shall have: (2) The person deems it safe, and
(1) Current qualifications under ei- train speeds are limited to a maximum
ther paragraph (a) or (b) of this sec- of 10 m.p.h. over the broken rail or pull
tion; apart;
(2) Successfully completed a training (3) The person shall watch all move-
course of at least eight hours duration ments over the broken rail or pull
specifically developed for the applica- apart and be prepared to stop the train
tion of written CWR procedures issued if necessary; and
by the track owner; and (4) Person(s) fully qualified under
(3) Demonstrated to the track owner § 213.305 of this subpart are notified and
that the individual: dispatched to the location as soon as
(i) Knows and understands the re- practicable for the purpose of author-
quirements of those written CWR pro- izing movements and effectuating tem-
cedures; porary or permanent repairs.
(ii) Can detect deviations from those (e) With respect to designations
requirements; and under paragraphs (a), (b), (c) and (d) of
(iii) Can prescribe appropriate reme- this section, each track owner shall
dial action to correct or safely com- maintain written records of:
pensate for those deviations; and (1) Each designation in effect;
(4) Written authorization from the (2) The basis for each designation, in-
track owner to prescribe remedial ac- cluding but not limited to:
tions to correct or safely compensate (i) The exact nature of any training
for deviations from the requirements in courses attended and the dates thereof;
those procedures and successful com- (ii) The manner in which the track
pletion of a recorded examination on owner has determined a successful
those procedures as part of the quali- completion of that training course, in-
fication process. The recorded exam- cluding test scores or other qualifying
ination may be written, or it may be a results;
computer file with the results of an (3) Track inspections made by each
interactive training course. individual as required by § 213.369.
(d) Persons not fully qualified to su- These records shall be made available
pervise certain renewals and inspect for inspection and copying by the Fed-
track as outlined in paragraphs (a), (b) eral Railroad Administration during
and (c) of this section, but with at least regular business hours.
one year of maintenance of way or sig- [63 FR 34029, June 22, 1998; 63 FR 45959, Aug.
nal experience, may pass trains over 28, 1998]
broken rails and pull aparts provided
that— § 213.307 Class of track: operating
(1) The track owner determines the speed limits.
person to be qualified and, as part of (a) Except as provided in paragraph
doing so, trains, examines, and re-ex- (b) of this section and §§ 213.329,
amines the person periodically within 213.337(a) and 213.345(c), the following
two years after each prior examination maximum allowable operating speeds
on the following topics as they relate apply:
to the safe passage of trains over bro-
The maximum al-
ken rails or pull aparts: rail defect Over track that meets all of the require- lowable operating
identification, crosstie condition, ments prescribed in this subpart for— speed for trains 1
is—
track surface and alinement, gage re-
straint, rail end mismatch, joint bars,
Class 6 track ............................................. 110 m.p.h.
133
§ 213.309 49 CFR Ch. II (10–1–07 Edition)
The maximum al- ments of this subpart, evidence of rail

Over track that meets all of the require- lowable operating movement, if any, that occurs while
ments prescribed in this subpart for— speed for trains 1
is— the track is loaded shall be added to
the measurements of the unloaded
Class 7 track ............................................. 125 m.p.h.
Class 8 track ............................................. 160 m.p.h.2 track.
Class 9 track ............................................. 200 m.p.h.
1 Freight may be transported at passenger train speeds if
§ 213.317 Waivers.
the following conditions are met: (a) Any owner of track to which this
(1) The vehicles utilized to carry such freight are of equal
dynamic performance and have been qualified in accordance subpart applies may petition the Fed-
with Sections 213.345 and 213.329(d) of this subpart. eral Railroad Administrator for a waiv-
(2) The load distribution and securement in the freight vehi-
cle will not adversely affect the dynamic performance of the er from any or all requirements pre-
vehicle. The axle loading pattern is uniform and does not ex- scribed in this subpart.
ceed the passenger locomotive axle loadings utilized in pas-
senger service operating at the same maximum speed. (b) Each petition for a waiver under
(3) No carrier may accept or transport a hazardous mate- this section shall be filed in the man-
rial, as defined at 49 CFR 171.8, except as provided in Col-
umn 9A of the Hazardous Materials Table (49 CFR 172.101) ner and contain the information re-
for movement in the same train as a passenger-carrying vehi- quired by §§ 211.7 and 211.9 of this chap-
cle or in Column 9B of the Table for movement in a train with
no passenger-carrying vehicles. ter.
2 Operating speeds in excess of 150 m.p.h. are authorized
(c) If the Administrator finds that a
by this part only in conjunction with a rule of particular appli-
cability addressing other safety issues presented by the waiver is in the public interest and is
system. consistent with railroad safety, the Ad-
(b) If a segment of track does not ministrator may grant the waiver sub-
meet all of the requirements for its in- ject to any conditions the Adminis-
tended class, it is to be reclassified to trator deems necessary. Where a waiv-
the next lower class of track for which er is granted, the Administrator pub-
it does meet all of the requirements of lishes a notice containing the reasons
this subpart. If a segment does not for granting the waiver.
meet all of the requirements for Class
6, the requirements for Classes 1 § 213.319 Drainage.
through 5 apply. Each drainage or other water car-
rying facility under or immediately ad-
§ 213.309 Restoration or renewal of jacent to the roadbed shall be main-
track under traffic conditions. tained and kept free of obstruction, to
(a) Restoration or renewal of track accommodate expected water flow for
under traffic conditions is limited to the area concerned.
the replacement of worn, broken, or
missing components or fastenings that § 213.321 Vegetation.
do not affect the safe passage of trains. Vegetation on railroad property
(b) The following activities are ex- which is on or immediately adjacent to
pressly prohibited under traffic condi- roadbed shall be controlled so that it
tions: does not—
(1) Any work that interrupts rail con- (a) Become a fire hazard to track-car-
tinuity, e.g., as in joint bar replace- rying structures;
ment or rail replacement; (b) Obstruct visibility of railroad
(2) Any work that adversely affects signs and signals:
the lateral or vertical stability of the (1) Along the right of way, and
track with the exception of spot tamp- (2) At highway-rail crossings;
ing an isolated condition where not (c) Interfere with railroad employees
more than 15 lineal feet of track are in- performing normal trackside duties;
volved at any one time and the ambi- (d) Prevent proper functioning of sig-
ent air temperature is not above 95 de- nal and communication lines; or
grees Fahrenheit; and (e) Prevent railroad employees from
(3) Removal and replacement of the visually inspecting moving equipment
rail fastenings on more than one tie at from their normal duty stations.
a time within 15 feet.
§ 213.323 Track gage.
§ 213.311 Measuring track not under (a) Gage is measured between the
load. heads of the rails at right-angles to the
When unloaded track is measured to rails in a plane five-eighths of an inch
determine compliance with require- below the top of the rail head.
134
(b) Gage shall be within the limits § 213.327 Alinement.

prescribed in the following table: (a) Uniformity at any point along the
The track is established by averaging the
change measured mid-chord offset values for
of gage
The gage within nine consecutive points centered
But not more
Class of track must be at than— 31 feet around that point and which are spaced
least— must
not be according to the following table:
greater
than— Chord length Spacing
6 ............................. ′8″ ................ 4′91⁄4″ .......... ⁄ ″

12 31′ .................................................................... 7′9″
7 ............................. 4′8″ .............. 4′91⁄4″ .......... 1⁄2″ 62′ .................................................................... 15′6″
8 ............................. 4′8″ .............. 4′91⁄4″ .......... 1⁄2″ 124′ .................................................................. 31′0″
9 ............................. 4′81⁄4″ .......... 4′91⁄4″ .......... 1⁄2″
(b) For a single deviation, alinement

may not deviate from uniformity more
than the amount prescribed in the fol-
lowing table:
The deviation The deviation The deviation
from uniformity from uniformity from uniformity
of the mid- of the mid- of the mid-
chord offset chord offset chord offset
Class of track for a 31-foot for a 62-foot for a 124-foot
chord may not chord may not chord may not
be more be more be more
than— than— than—
6 ......................................................................................................................... ⁄
12 ⁄
34 11⁄2
7 ......................................................................................................................... ⁄
12 ⁄
12 11⁄4
8 ......................................................................................................................... ⁄
12 ⁄
12 3⁄4
9 ......................................................................................................................... 1⁄2 1⁄2 3⁄4
(c) For three or more non-overlap- limits in the following table, each
ping deviations from uniformity in owner of the track to which this sub-
track alinement occurring within a dis- part applies shall maintain the aline-
tance equal to five times the specified ment of the track within the limits
chord length, each of which exceeds the prescribed for each deviation:
The deviation The deviation The deviation
from uniformity from uniformity from uniformity
of the mid- of the mid- of the mid-
chord offset chord offset chord offset
Class of track for a 31-foot for a 62-foot for a 124-foot
chord may not chord may not chord may not
be more be more be more
than— than— than—
6 ......................................................................................................................... ⁄
38 ⁄
12 1
7 ......................................................................................................................... ⁄
38 ⁄
38 ⁄
78
8 ......................................................................................................................... ⁄
38 ⁄
38 ⁄
12
9 ......................................................................................................................... 3⁄8 3⁄8 1⁄2
§ 213.329 Curves, elevation and speed

limitations. Ea + 3
Vmax =
(a) The maximum crosslevel on the 0.0007D
outside rail of a curve may not be more Where—
than 7 inches. The outside rail of a Vmax = Maximum allowable operating speed
curve may not be more than 1⁄2 inch (miles per hour).
lower than the inside rail.
(b) (1) The maximum allowable oper-
ating speed for each curve is deter-
mined by the following formula:
135
ER22JN98.009</GPH>
§ 213.331 49 CFR Ch. II (10–1–07 Edition)
Ea = Actual elevation of the outside rail equipment, the angle, measured about
(inches) 4. the roll axis, between the floor of the
D = Degree of curvature (degrees) 5. vehicle and the horizontal does not ex-
3 = 3 inches of unbalance. ceed 8.6 degrees.
(2) Appendix A includes tables show- (e) The track owner shall notify the
ing maximum allowable operating Federal Railroad Administrator no less
speeds computed in accordance with than thirty calendar days prior to any
this formula for various elevations and proposed implementation of the higher
degrees of curvature for track speeds curving speeds allowed when the ‘‘Eu’’
greater than 90 m.p.h. term, above, will exceed three inches.
(c) For rolling stock meeting the re- This notification shall be in writing
quirements specified in paragraph (d) and shall contain, at a minimum, the
of this section, the maximum operating following information:
speed for each curve may be deter- (1) A complete description of the
mined by the following formula: class of equipment involved, including
schematic diagrams of the suspension
Ea + Eu system and the location of the center
Vmax = of gravity above top of rail;
0.0007D (2) A complete description of the test
Where— procedure 6 and instrumentation used
Vmax = Maximum allowable operating speed to qualify the equipment and the max-
(miles per hour). imum values for wheel unloading and
Ea = Actual elevation of the outside rail roll angles which were observed during
(inches) 4. testing;
D = Degree of curvature (degrees) 5. (3) Procedures or standards in effect
Eu = Unbalanced elevation (inches). which relate to the maintenance of the
(d) Qualified equipment may be oper- suspension system for the particular
ated at curving speeds determined by class of equipment;
the formula in paragraph (c) of this (4) Identification of line segment on
section, provided each specific class of which the higher curving speeds are
equipment is approved for operation by proposed to be implemented.
the Federal Railroad Administration (f) A track owner, or an operator of a
and the railroad demonstrates that— passenger or commuter service, who
(1) When positioned on a track with provides passenger or commuter serv-
uniform superelevation, Ea, reflecting ice over trackage of more than one
the intended target cant deficiency, Eu, track owner with the same class of
no wheel of the equipment unloads to a equipment, may provide written notifi-
value of 60 percent or less of its static cation to the Federal Railroad Admin-
value on perfectly level track and, for istrator with the written consent of
passenger-carrying equipment, the roll the other affected track owners.
angle between the floor of the vehicle [63 FR 34029, June 22, 1998; 63 FR 46102, Aug.
and the horizontal does not exceed 5.7 28, 1998]
degrees.
(2) When positioned on a track with a § 213.331 Track surface.
uniform 7-inch superelevation, no (a) For a single deviation in track
wheel unloads to a value less than 60% surface, each owner of the track to
of its static value on perfectly level which this subpart applies shall main-
track and, for passenger-carrying tain the surface of its track within the
4 Actual elevation for each 155 foot track 5 Degree of curvature is determined by
segment in the body of the curve is deter- averaging the degree of curvature over the
mined by averaging the elevation for 10 same track segment as the elevation.
6 The test procedure may be conducted in a
points through the segment at 15.5 foot spac-
ing. If the curve length is less than 155 feet, test facility whereby all wheels on one side
average the points through the full length of (right or left) of the equipment are raised or
the body of the curve. If Eu exceeds 4 inches, lowered by six and then seven inches, the
the Vmax formula applies to the spirals on vertical wheel loads under each wheel are
both ends of the curve. measured and a level is used to record the
angle through which the floor of the vehicle
has been rotated.
136
ER22JN98.008</GPH>
limits prescribed in the following

table:
Class of track
Track surface
6 (inches) 7 (inches) 8 (inches) 9 (inches)
The deviation from uniform 1

profile on either rail at the midordinate of a 31-foot
chord may not be more than ............................................................................. 1 1 ⁄
34 ⁄
12
The deviation from uniform profile on either rail at the midordinate of a 62-foot
chord may not be more than ............................................................................. 1 1 1 ⁄
34
chord may not be more than ............................................................................. 13⁄4 11⁄2 11⁄4 11⁄4
The difference in crosslevel between any two points less than 62 feet apart
may not be more than 2 ..................................................................................... 11⁄2 11⁄2 11⁄2 11⁄2
1 Uniformity for profile is established by placing the midpoint of the specified chord at the point of maximum measurement.
2 However, to control harmonics on jointed track with staggered joints, the crosslevel differences shall not exceed 11⁄4 inches in
all of six consecutive pairs of joints, as created by 7 joints. Track with joints staggered less than 10 feet shall not be considered
as having staggered joints. Joints within the 7 low joints outside of the regular joint spacing shall not be considered as joints for
purposes of this footnote.
(b) For three or more non-overlap- lowing table, each owner of the track
ping deviations in track surface occur- to which this subpart applies shall
ring within a distance equal to five maintain the surface of the track with-
times the specified chord length, each in the limits prescribed for each devi-
of which exceeds the limits in the fol- ation:
Class of track
Track surface
6 (inches) 7 (inches) 8 (inches) 9 (inches)
chord may not be more than ............................................................................. ⁄
34 ⁄
34 ⁄
12 ⁄
38
chord may not be more than ............................................................................. ⁄
34 ⁄
34 ⁄
34 ⁄
12
chord may not be more than ............................................................................. 1 ⁄
14 1 ⁄
78 ⁄
78
§ 213.333 Automated vehicle inspection assure that measured and recorded val-
systems. ues accurately represent track condi-
(a) For track Class 7, a qualifying tions. Track geometry measurements
Track Geometry Measurement System recorded by the system shall not differ
(TGMS) vehicle shall be operated at on repeated runs at the same site at
least twice within 120 calendar days the same speed more than 1/8 inch.
with not less than 30 days between in- (c) A qualifying TGMS shall be capa-
spections. For track Classes 8 and 9, it ble of measuring and processing the
shall be operated at least twice within necessary track geometry parameters,
60 days with not less than 15 days be- at an interval of no more than every 2
tween inspections. feet, which enables the system to de-
(b) A qualifying TGMS shall meet or termine compliance with: § 213.323,
exceed minimum design requirements Track gage; § 213.327, Alinement;
which specify that— § 213.329, Curves; elevation and speed
(1) Track geometry measurements limitations; and § 213.331, Track sur-
shall be taken no more than 3 feet face.
away from the contact point of wheels (d) A qualifying TGMS shall be capa-
carrying a vertical load of no less than ble of producing, within 24 hours of the
10,000 pounds per wheel; inspection, output reports that—
(2) Track geometry measurements (1) Provide a continuous plot, on a
shall be taken and recorded on a dis- constant-distance axis, of all measured
tance-based sampling interval which track geometry parameters required in
shall not exceed 2 feet; and paragraph (c) of this section;
(3) Calibration procedures and param- (2) Provide an exception report con-
eters are assigned to the system which taining a systematic listing of all
137
§ 213.333 49 CFR Ch. II (10–1–07 Edition)
track geometry conditions which con- S = L ¥cV

stitute an exception to the class of where:
track over the segment surveyed.
(e) The output reports required under S = Load severity, defined as the lateral load
applied to the fastener system (pounds).
paragraph (c) of this section shall con-
L = Actual lateral load applied (pounds).
tain sufficient location identification
c = Coefficient of friction between rail/tie
information which enable field forces which is assigned a nominal value of (0.4).
to easily locate indicated exceptions. V = Actual vertical load applied (pounds).
(f) Following a track inspection per-
formed by a qualifying TGMS, the (2) The measured gage value shall be
track owner shall, within two days converted to a gage widening ratio
after the inspection, field verify and in- (GWR) as follows:
stitute remedial action for all excep-
tions to the class of track. ( LTG − UTG)
(g) The track owner shall maintain GWR = × 16,000
for a period of one year following an in-
L
spection performed by a qualifying Where:
TGMS, copy of the plot and the excep- UTG=Unloaded track gage measured by the
tion printout for the track segment in- GRMS vehicle at a point no less than 10
volved, and additional records which: feet from any lateral or vertical load appli-
cation.
(1) Specify the date the inspection
LTG=Loaded track gage measured by the
was made and the track segment in-
GRMS vehicle at the point of application
volved; and of the lateral load.
(2) Specify the location, remedial ac- L=Actual lateral load applied (pounds).
tion taken, and the date thereof, for all
listed exceptions to the class. (j) At least one vehicle in one train
(h) For track Classes 8 and 9, a quali- per day operating in Classes 8 and 9
fying Gage Restraint Measurement shall be equipped with functioning on-
System (GRMS) shall be operated at board truck frame and carbody
least once annually with at least 180 accelerometers. Each track owner shall
days between inspections to continu- have in effect written procedures for
ously compare loaded track gage to un- the notification of track personnel
loaded gage under a known loading when on-board accelerometers on
condition. The lateral capacity of the trains in Classes 8 and 9 indicate a pos-
track structure shall not permit a gage sible track-related condition.
widening ratio (GWR) greater than 0.5 (k) For track Classes 7 , 8 and 9, an
inches. instrumented car having dynamic re-
(i) A GRMS shall meet or exceed sponse characteristics that are rep-
minimum design requirements which resentative of other equipment as-
specify that— signed to service or a portable device
(1) Gage restraint shall be measured that monitors on-board instrumenta-
between the heads of the rail—
tion on trains shall be operated over
(i) At an interval not exceeding 16
the track at the revenue speed profile
inches;
at a frequency of at least twice within
(ii) Under an applied vertical load of
60 days with not less than 15 days be-
no less than 10,000 pounds per rail;
(iii) Under an applied lateral load tween inspections. The instrumented
which provides for lateral/vertical load car or the portable device shall mon-
ratio of between 0.5 and 1.25 7, and a itor vertically and laterally oriented
load severity greater than 3,000 pounds accelerometers placed near the end of
but less than 8,000 pounds per rail. the vehicle at the floor level. In addi-
Load severity is defined by the for- tion, accelerometers shall be mounted
mula— on the truck frame. If the carbody lat-
eral, carbody vertical, or truck frame
7 GRMS equipment using load combina-
lateral safety limits in the following
tions developing L/V ratios which exceed 0.8 table of vehicle/track interaction safe-
shall be operated with caution to protect ty limits are exceeded, speeds will be
against the risk of wheel climb by the test reduced until these safety limits are
wheelset. not exceeded.
138
ER22JN98.010</GPH>
(l) For track Classes 8 and 9, an in- wheel/rail forces. If the wheel/rail force
strumented car having dynamic re- limits in the following table of vehicle/
sponse characteristics that are rep- track interaction safety limits are ex-
resentative of other equipment as- ceeded, speeds will be reduced until
signed to service shall be operated over these safety limits are not exceeded.
the track at the revenue speed profile (m) The track owner shall maintain a
annually with not less than 180 days copy of the most recent exception
between inspections. The instrumented printouts for the inspections required
car shall be equipped with functioning under paragraphs (k) and (l) of this sec-
instrumented wheelsets to measure tion.
1 The lateral and vertical wheel forces shall be measured with instrumented wheelsets with
the measurements processed through a low pass filter with a minimum cut-off frequency of
25 Hz. The sample rate for wheel force data shall be at least 250 samples/sec.
2 Carbody lateral and vertical accelerations shall be measured near the car ends at the floor
level.
3 Truck accelerations in the lateral direction shall be measured on the truck frame. The
measurements shall be processed through a filter having a pass band of 0.5 to 10 Hz.
139
EC15NO91.207</GPH>
§ 213.334 49 CFR Ch. II (10–1–07 Edition)
4 Truck hunting is defined as a sustained cyclic oscillation of the truck which is evidenced
by lateral accelerations in excess of 0.4 g root mean square (mean-removed) for 2 seconds.
[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998]
§ 213.334 Ballast; general. (4) Cut by the tie plate through more
Unless it is otherwise structurally than 40 percent of a crosstie’s thick-
supported, all track shall be supported ness;
by material which will— (5) Configured with less than 2 rail
(a) Transmit and distribute the load holding spikes or fasteners per tie
of the track and railroad rolling equip- plate; or
ment to the subgrade; (6) So unable, due to insufficient fas-
(b) Restrain the track laterally, lon- tener toeload, to maintain longitudinal
gitudinally, and vertically under dy- restraint and maintain rail hold down
namic loads imposed by railroad roll- and gage.
ing equipment and thermal stress ex- (d) For concrete tie construction,
erted by the rails; each 39 foot segment of Class 6 track
(c) Provide adequate drainage for the shall have fourteen crossties, Classes 7,
track; and 8 and 9 shall have 16 crossties which
(d) Maintain proper track crosslevel, are not—
surface, and alinement. (1) So deteriorated that the prestress
strands are ineffective or withdrawn
§ 213.335 Crossties. into the tie at one end and the tie ex-
(a) Crossties shall be made of a mate- hibits structural cracks in the rail seat
rial to which rail can be securely fas- or in the gage of track;
tened. (2) Configured with less than 2 fas-
(b) Each 39 foot segment of track teners on the same rail;
shall have— (3) So deteriorated in the vicinity of
(1) A sufficient number of crossties the rail fastener such that the fastener
which in combination provide effective assembly may pull out or move lat-
support that will— erally more than 3⁄8 inch relative to the
(i) Hold gage within the limits pre- crosstie;
scribed in § 213.323(b); (4) So deteriorated that the fastener
(ii) Maintain surface within the lim- base plate or base of rail can move lat-
its prescribed in § 213.331; and erally more than 3⁄8 inch relative to the
(iii) Maintain alinement within the crossties;
limits prescribed in § 213.327. (5) So deteriorated that rail seat ab-
(2) The minimum number and type of rasion is sufficiently deep so as to
crossties specified in paragraph (c) of cause loss of rail fastener toeload;
this section effectively distributed to (6) Completely broken through; or
support the entire segment; and (7) So unable, due to insufficient fas-
(3) Crossties of the type specified in tener toeload, to maintain longitudinal
paragraph (c) of this section that restraint and maintain rail hold down
are(is) located at a joint location as and gage.
specified in paragraph (e) of this sec- (e) Class 6 track shall have one non-
tion. defective crosstie whose centerline is
(c) For non-concrete tie construction, within 18 inches of the rail joint loca-
each 39 foot segment of Class 6 track tion or two crossties whose center lines
shall have fourteen crossties; Classes 7, are within 24 inches either side of the
8 and 9 shall have 18 crossties which rail joint location. Class 7, 8, and 9
are not— track shall have two non-defective ties
(1) Broken through; within 24 inches each side of the rail
(2) Split or otherwise impaired to the joint.
extent the crossties will allow the bal- (f) For track constructed without
last to work through, or will not hold crossties, such as slab track and track
spikes or rail fasteners; connected directly to bridge structural
(3) So deteriorated that the tie plate components, the track structure shall
or base of rail can move laterally 3⁄8 meet the requirements of paragraphs
inch relative to the crossties; (b)(1)(i), (ii), and (iii) of this section.
140
(g) In Classes 7, 8 and 9 there shall be § 213.337 Defective rails.

at least three non-defective ties each (a) When an owner of track to which
side of a defective tie. this part applies learns, through in-
(h) Where timber crossties are in use spection or otherwise, that a rail in
there shall be tie plates under the run- that track contains any of the defects
ning rails on at least nine of 10 con- listed in the following table, a person
secutive ties. designated under § 213.305 shall deter-
(i) No metal object which causes a mine whether or not the track may
concentrated load by solely supporting continue in use. If the person deter-
a rail shall be allowed between the base mines that the track may continue in
of the rail and the bearing surface of use, operation over the defective rail is
the tie plate. not permitted until—
(1) The rail is replaced; or
(2) The remedial action prescribed in
the table is initiated—
141
§ 213.337 49 CFR Ch. II (10–1–07 Edition)
NOTES: A. Assign person designated under A2. Assign person designated under § 213.305
§ 213.305 to visually supervise each operation to make visual inspection. That person may
over defective rail. authorize operation to continue without vis-
ual supervision at a maximum of 10 m.p.h.
142
EN28SE98.059</GPH>
for up to 24 hours prior to another such vis- horizontal split head from which they
ual inspection or replacement or repair of originate.
the rail.
(3) Horizontal split head means a hori-
B. Limit operating speed over defective
rail to that as authorized by a person des- zontal progressive defect originating
ignated under § 213.305(a)(1)(i) or (ii). The op- inside of the rail head, usually one-
erating speed cannot be over 30 m.p.h. quarter inch or more below the running
C. Apply joint bars bolted only through the surface and progressing horizontally in
outermost holes to defect within 20 days all directions, and generally accom-
after it is determined to continue the track
panied by a flat spot on the running
in use. Limit operating speed over defective
rail to 30 m.p.h. until joint bars are applied; surface. The defect appears as a crack
thereafter, limit speed to 50 m.p.h. When a lengthwise of the rail when it reaches
search for internal rail defects is conducted the side of the rail head.
under § 213.339 and defects are discovered (4) Vertical split head means a vertical
which require remedial action C, the oper- split through or near the middle of the
ating speed shall be limited to 50 m.p.h., for
head, and extending into or through it.
a period not to exceed 4 days. If the defective
rail has not been removed from the track or A crack or rust streak may show under
a permanent repair made within 4 days of the head close to the web or pieces may
the discovery, limit operating speed over the be split off the side of the head.
defective rail to 30 m.p.h. until joint bars are (5) Split web means a lengthwise
applied; thereafter, limit speed to 50 m.p.h. crack along the side of the web and ex-
D. Apply joint bars bolted only through the tending into or through it.
after it is determined to continue the track (6) Piped rail means a vertical split in
in use. Limit operating speed over the defec- a rail, usually in the web, due to fail-
tive rail to 30 m.p.h. or less as authorized by ure of the shrinkage cavity in the ingot
a person designated under § 213.305(a)(1)(i) or to unite in rolling.
(ii) until joint bars are applied; thereafter, (7) Broken base means any break in
limit speed to 50 m.p.h.
the base of the rail.
E. Apply joint bars to defect and bolt in ac-
cordance with § 213.351(d) and (e). (8) Detail fracture means a progressive
F. Inspect rail 90 days after it is deter- fracture originating at or near the sur-
mined to continue the track in use. face of the rail head. These fractures
G. Inspect rail 30 days after it is deter- should not be confused with transverse
mined to continue the track in use. fissures, compound fissures, or other
H. Limit operating speed over defective defects which have internal origins.
rail to 50 m.p.h.
I. Limit operating speed over defective rail
Detail fractures may arise from shelly
to 30 m.p.h. spots, head checks, or flaking.
(9) Engine burn fracture means a pro-
(b) As used in this section— gressive fracture originating in spots
(1) Transverse fissure means a progres- where driving wheels have slipped on
sive crosswise fracture starting from a top of the rail head. In developing
crystalline center or nucleus inside the downward they frequently resemble the
head from which it spreads outward as
compound or even transverse fissures
a smooth, bright, or dark, round or
with which they should not be confused
oval surface substantially at a right
or classified.
angle to the length of the rail. The dis-
tinguishing features of a transverse fis- (10) Ordinary break means a partial or
sure from other types of fractures or complete break in which there is no
defects are the crystalline center or sign of a fissure, and in which none of
nucleus and the nearly smooth surface the other defects described in this
of the development which surrounds it. paragraph (b) are found.
(2) Compound fissure means a progres- (11) Damaged rail means any rail bro-
sive fracture originating in a hori- ken or injured by wrecks, broken, flat,
zontal split head which turns up or or unbalanced wheels, slipping, or simi-
down in the head of the rail as a lar causes.
smooth, bright, or dark surface pro- (12) Flattened rail means a short
gressing until substantially at a right length of rail, not a joint, which has
angle to the length of the rail. Com- flattened out across the width of the
pound fissures require examination of rail head to a depth of 3⁄8 inch or more
both faces of the fracture to locate the below the rest of the rail. Flattened
143
§ 213.339 49 CFR Ch. II (10–1–07 Edition)
rail occurrences have no repetitive reg- (d) If the person assigned to operate
ularity and thus do not include cor- the rail defect detection equipment
rugations, and have no apparent local- being used determines that, due to rail
ized cause such as a weld or engine surface conditions, a valid search for
burn. Their individual length is rel- internal defects could not be made over
atively short, as compared to a condi- a particular length of track, the test
tion such as head flow on the low rail on that particular length of track can-
of curves. not be considered as a search for inter-
(13) Bolt hole crack means a crack nal defects under § 213.337(a).
across the web, originating from a bolt (e) If a valid search for internal de-
hole, and progressing on a path either fects cannot be conducted for reasons
inclined upward toward the rail head or described in paragraph (d) of this sec-
inclined downward toward the base. tion, the track owner shall, before the
Fully developed bolt hole cracks may expiration of time limits—
continue horizontally along the head/
(1) Conduct a valid search for inter-
web or base/web fillet, or they may
nal defects;
progress into and through the head or
base to separate a piece of the rail end (2) Reduce operating speed to a max-
from the rail. Multiple cracks occur- imum of 25 miles per hour until such
ring in one rail end are considered to time as a valid search for internal de-
be a single defect. However, bolt hole fects can be made; or
cracks occurring in adjacent rail ends (3) Remove the rail from service.
within the same joint shall be reported
as separate defects. § 213.341 Initial inspection of new rail
(14) Defective weld means a field or and welds.
plant weld containing any discontinu- The track owner shall provide for the
ities or pockets, exceeding 5 percent of initial inspection of newly manufac-
the rail head area individually or 10 tured rail, and for initial inspection of
percent in the aggregate, oriented in or new welds made in either new or used
near the transverse plane, due to in- rail. A track owner may demonstrate
complete penetration of the weld metal compliance with this section by pro-
between the rail ends, lack of fusion viding for:
between weld and rail end metal, en- (a) In-service inspection—A scheduled
trainment of slag or sand, under-bead periodic inspection of rail and welds
or other shrinkage cracking, or fatigue that have been placed in service, if con-
cracking. Weld defects may originate ducted in accordance with the provi-
in the rail head, web, or base, and in sions of § 213.339, and if conducted not
some cases, cracks may progress from later than 90 days after installation,
the defect into either or both adjoining shall constitute compliance with para-
rail ends. graphs (b) and (c) of this section;
(15) Head and web separation means a (b) Mill inspection—A continuous in-
progressive fracture, longitudinally spection at the rail manufacturer’s
separating the head from the web of mill shall constitute compliance with
the rail at the head fillet area. the requirement for initial inspection
[63 FR 34029, June 22, 1998; 63 FR 51638, Sept. of new rail, provided that the inspec-
28, 1998] tion equipment meets the applicable
requirements specified in § 213.339. The
§ 213.339 Inspection of rail in service. track owner shall obtain a copy of the
(a) A continuous search for internal manufacturer’s report of inspection
defects shall be made of all rail in and retain it as a record until the rail
track at least twice annually with not receives its first scheduled inspection
less than 120 days between inspections. under § 213.339;
(b) Inspection equipment shall be ca- (c) Welding plant inspection—A contin-
pable of detecting defects between uous inspection at a welding plant, if
joint bars, in the area enclosed by joint conducted in accordance with the pro-
bars. visions of paragraph (b) of this section,
(c) Each defective rail shall be and accompanied by a plant operator’s
marked with a highly visible marking report of inspection which is retained
on both sides of the web and base. as a record by the track owner, shall
144
constitute compliance with the re- (c) Procedures which specifically ad-
quirements for initial inspection of dress maintaining a desired rail instal-
new rail and plant welds, or of new lation temperature range when cutting
plant welds made in used rail; and CWR including rail repairs, in-track
(d) Inspection of field welds—An initial welding, and in conjunction with ad-
inspection of field welds, either those justments made in the area of tight
joining the ends of CWR strings or track, a track buckle, or a pull-apart.
those made for isolated repairs, shall Rail repair practices shall take into
be conducted not less than one day and consideration existing rail temperature
not more than 30 days after the welds so that—
have been made. The initial inspection (1) When rail is removed, the length
may be conducted by means of portable installed shall be determined by taking
test equipment. The track owner shall into consideration the existing rail
retain a record of such inspections temperature and the desired rail instal-
until the welds receive their first lation temperature range; and
scheduled inspection under § 213.339. (2) Under no circumstances should
(e) Each defective rail found during rail be added when the rail tempera-
inspections conducted under paragraph ture is below that designated by para-
(a) or (d) of this section shall be graph (a)(1) of this section, without
marked with highly visible markings provisions for later adjustment.
on both sides of the web and base and (d) Procedures which address the
the remedial action as appropriate monitoring of CWR in curved track for
under § 213.337 will apply. inward shifts of alinement toward the
center of the curve as a result of dis-
§ 213.343 Continuous welded rail turbed track.
(CWR). (e) Procedures which control train
Each track owner with track con- speed on CWR track when—
structed of CWR shall have in effect (1) Maintenance work, track rehabili-
and comply with written procedures tation, track construction, or any
which address the installation, adjust- other event occurs which disturbs the
ment, maintenance and inspection of roadbed or ballast section and reduces
CWR, and a training program for the the lateral and/or longitudinal resist-
application of those procedures, which ance of the track; and
shall be submitted to the Federal Rail- (2) In formulating the procedures
road Administration by March 21, 1999. under this paragraph (e), the track
FRA reviews each plan for compliance owner shall—
with the following— (i) Determine the speed required, and
(a) Procedures for the installation the duration and subsequent removal
and adjustment of CWR which in- of any speed restriction based on the
clude— restoration of the ballast, along with
(1) Designation of a desired rail insufficient ballast re-consolidation to
stallation temperature range for the stabilize the track to a level that can
geographic area in which the CWR is accommodate expected train-induced
located; and forces. Ballast re-consolidation can be
(2) De-stressing procedures/methods achieved through either the passage of
which address proper attainment of the train tonnage or mechanical stabiliza-
desired rail installation temperature tion procedures, or both; and
range when adjusting CWR. (ii) Take into consideration the type
(b) Rail anchoring or fastening re- of crossties used.
quirements that will provide sufficient (f) Procedures which prescribe when
restraint to limit longitudinal rail and physical track inspections are to be
crosstie movement to the extent prac- performed to detect buckling prone
tical, and specifically addressing CWR conditions in CWR track. At a min-
rail anchoring or fastening patterns on imum, these procedures shall address
bridges, bridge approaches, and at inspecting track to identify—
other locations where possible longitu- (1) Locations where tight or kinky
dinal rail and crosstie movement asso- rail conditions are likely to occur;
ciated with normally expected train-in- (2) Locations where track work of the
duced forces, is restricted. nature described in paragraph (e)(1) of
145
§ 213.343 49 CFR Ch. II (10–1–07 Edition)
this section have recently been per- area, at which forces in CWR should
formed; and not cause a buckling incident in ex-
(3) In formulating the procedures treme heat, or a pull-apart during ex-
under this paragraph (f), the track treme cold weather.
owner shall— (5) Disturbed track means the disturb-
(i) Specify the timing of the inspec- ance of the roadbed or ballast section,
tion; and as a result of track maintenance or any
(ii) Specify the appropriate remedial other event, which reduces the lateral
actions to be taken when buckling or longitudinal resistance of the track,
prone conditions are found. or both.
(g) The track owner shall have in ef- (6) Mechanical stabilization means a
fect a comprehensive training program type of procedure used to restore track
for the application of these written resistance to disturbed track following
CWR procedures, with provisions for certain maintenance operations. This
periodic re-training, for those individ- procedure may incorporate dynamic
uals designated under § 213.305(c) of this
track stabilizers or ballast
part as qualified to supervise the in-
consolidators, which are units of work
stallation, adjustment, and mainte-
equipment that are used as a sub-
nance of CWR track and to perform in-
stitute for the stabilization action pro-
spections of CWR track.
vided by the passage of tonnage trains.
(h) The track owner shall prescribe
recordkeeping requirements necessary (7) Rail anchors means those devices
to provide an adequate history of track which are attached to the rail and bear
constructed with CWR. At a minimum, against the side of the crosstie to con-
these records shall include: trol longitudinal rail movement. Cer-
(1) Rail temperature, location and tain types of rail fasteners also act as
date of CWR installations. This record rail anchors and control longitudinal
shall be retained for at least one year; rail movement by exerting a downward
and clamping force on the upper surface of
(2) A record of any CWR installation the rail base.
or maintenance work that does not (8) Rail temperature means the tem-
conform with the written procedures. perature of the rail, measured with a
Such record shall include the location rail thermometer.
of the rail and be maintained until the (9) Tight/kinky rail means CWR which
CWR is brought into conformance with exhibits minute alinement irregular-
such procedures. ities which indicate that the rail is in
(i) As used in this section— a considerable amount of compression.
(1) Adjusting/de-stressing means the (10) Train-induced forces means the
procedure by which a rail’s tempera- vertical, longitudinal, and lateral dy-
ture is re-adjusted to the desired value. namic forces which are generated dur-
It typically consists of cutting the rail ing train movement and which can con-
and removing rail anchoring devices, tribute to the buckling potential.
which provides for the necessary ex- (11) Track lateral resistance means the
pansion and contraction, and then re- resistance provided to the rail/crosstie
assembling the track. structure against lateral displacement.
(2) Buckling incident means the for-
(12) Track longitudinal resistance
mation of a lateral mis-alinement suf-
means the resistance provided by the
ficient in magnitude to constitute a de-
rail anchors/rail fasteners and the bal-
viation of 5 inches measured with a 62-
last section to the rail/crosstie struc-
foot chord. These normally occur when
ture against longitudinal displace-
rail temperatures are relatively high
ment.
and are caused by high longitudinal
compressive forces. (j) Track owners shall revise their
(3) Continuous welded rail (CWR) CWR plans to include provisions for the
means rail that has been welded to- inspection of joint bars in accordance
gether into lengths exceeding 400 feet. with §§ 213.119(g) and (i)(3).
(4) Desired rail installation temperature [63 FR 34029, June 22, 1998; 63 FR 45959, Aug.
range means the rail temperature 28, 1998, as amended at 70 FR 66298, Nov. 2,
range, within a specific geographical
2005]
146
§ 213.345 Vehicle qualification testing. onstrate vehicle dynamic response as

(a) All rolling stock types which op- speeds are incrementally increased
erate at Class 6 speeds and above shall from acceptable Class 6 limits to the
be qualified for operation for their in- target maximum test speeds. The test
tended track classes in order to dem- shall be suspended at that speed where
onstrate that the vehicle dynamic re- any of the safety limits specified in
sponse to track alinement and geom- paragraph (b) are exceeded.
(d) At the end of the test, when max-
etry variations are within acceptable
imum safe operating speed is known
limits to assure safe operation. Rolling
along with permissible levels of cant
stock operating in Class 6 within one
deficiency, an additional run shall be
year prior to the promulgation of this
made with the subject equipment over
subpart shall be considered as being
the entire route proposed for revenue
successfully qualified for Class 6 track
service at the speeds the railroad will
and vehicles presently operating at
request FRA to approve for such serv-
Class 7 speeds by reason of conditional
ice and a second run again at 10 m.p.h.
waivers shall be considered as qualified
above this speed. A report of the test
for Class 7.
(b) The qualification testing shall en- procedures and results shall be sub-
sure that, at any speed less than 10 mitted to FRA upon the completions of
m.p.h. above the proposed maximum the tests. The test report shall include
operating speed, the equipment will the design flange angle of the equip-
not exceed the wheel/rail force safety ment which shall be used for the deter-
limits and the truck lateral accelera- mination of the lateral to vertical
tions specified in § 213.333, and the test- wheel load safety limit for the track/
ing shall demonstrate the following: vehicle interaction safety measure-
(1) The vertical acceleration, as ments required per § 213.333(l).
measured by a vertical accelerometer (e) As part of the submittal required
mounted on the car floor, shall be lim- in paragraph (d) of the section, the op-
ited to no greater than 0.55g single erator shall include an analysis and de-
event, peak-to-peak. scription of the signal system and oper-
(2) The lateral acceleration, as meas- ating practices to govern operations in
ured by a lateral accelerometer mount- Classes 7 and 8. This statement shall
ed on the car floor, shall be limited to include a statement of sufficiency in
no greater than 0.3g single event, peak- these areas for the class of operation.
to-peak; and Operation at speeds in excess of 150
(3) The combination of the lateral ac- m.p.h. is authorized only in conjunc-
celeration (L) and the vertical accel- tion with a rule of particular applica-
eration (V) within any period of two bility addressing other safety issues
consecutive seconds as expressed by presented by the system.
the square root of (V2 + L2) shall be (f) Based on test results and submis-
limited to no greater than 0.604, where sions, FRA will approve a maximum
L may not exceed 0.3g and V may not train speed and value of cant defi-
exceed 0.55g. ciency for revenue service.
(c) To obtain the test data necessary [63 FR 34029, June 22, 1998; 63 FR 54078, Oct.
to support the analysis required in 8, 1998]
paragraphs (a) and (b) of this section,
the track owner shall have a test plan § 213.347 Automotive or railroad cross-
which shall consider the operating ings at grade.
practices and conditions, signal sys- (a) There shall be no at-grade (level)
tem, road crossings and trains on adja- highway crossings, public or private, or
cent tracks during testing. The track rail-to-rail crossings at-grade on Class
owner shall establish a target max- 8 and 9 track.
imum testing speed (at least 10 m.p.h. (b) If train operation is projected at
above the maximum proposed oper- Class 7 speed for a track segment that
ating speed) and target test and oper- will include rail-highway grade cross-
ating conditions and conduct a test ings, the track owner shall submit for
program sufficient to evaluate the op- FRA’s approval a complete description
erating limits of the track and equip- of the proposed warning/barrier system
ment. The test program shall dem- to address the protection of highway
147
§ 213.349 49 CFR Ch. II (10–1–07 Edition)
traffic and high speed trains. Trains (2) All elements of that warning/bar-
shall not operate at Class 7 speeds over rier system are functioning.
any track segment having highway-rail
grade crossings unless: § 213.349 Rail end mismatch.
(1) An FRA-approved warning/barrier Any mismatch of rails at joints may
system exists on that track segment; not be more than that prescribed by
and the following table—
Any mismatch of rails at joints
may not be more than the fol-
lowing—
Class of track
On the tread On the gage
of the rail ends side of the rail
(inch) ends (inch)
Class 6, 7, 8 and 9 ........................................................................................................................ ⁄

18 18⁄
§ 213.351 Rail joints. rail ends in Class 6 shall be removed

(a) Each rail joint, insulated joint, within six months of September 21,
and compromise joint shall be of a 1998.
structurally sound design and dimen- (b) Following the expiration of the
sions for the rail on which it is applied. time limits specified in paragraph (a)
(b) If a joint bar is cracked, broken, of this section, any torch cut rail end
or because of wear allows excessive not removed shall be removed within 30
vertical movement of either rail when days of discovery. Train speed over
all bolts are tight, it shall be replaced. that rail shall not exceed the max-
(c) If a joint bar is cracked or broken imum allowable for Class 2 track until
between the middle two bolt holes it removed.
shall be replaced.
(d) Each rail shall be bolted with at § 213.353 Turnouts, crossovers, and lift
rail assemblies or other transition
least two bolts at each joint. devices on moveable bridges.
(e) Each joint bar shall be held in po-
sition by track bolts tightened to allow (a) In turnouts and track crossings,
the joint bar to firmly support the the fastenings must be intact and
abutting rail ends and to allow longitu- maintained so as to keep the compo-
dinal movement of the rail in the joint nents securely in place. Also, each
to accommodate expansion and con- switch, frog, and guard rail shall be
traction due to temperature variations. kept free of obstructions that may
When no-slip, joint-to-rail contact ex- interfere with the passage of wheels.
ists by design, the requirements of this Use of rigid rail crossings at grade is
section do not apply. Those locations, limited per § 213.347.
when over 400 feet long, are considered (b) Track shall be equipped with rail
to be continuous welded rail track and anchoring through and on each side of
shall meet all the requirements for track crossings and turnouts, to re-
continuous welded rail track prescribed strain rail movement affecting the po-
in this subpart. sition of switch points and frogs. Elas-
(f) No rail shall have a bolt hole tic fasteners designed to restrict longi-
which is torch cut or burned. tudinal rail movement are considered
(g) No joint bar shall be reconfigured rail anchoring.
by torch cutting. (c) Each flangeway at turnouts and
track crossings shall be at least 11⁄2
§ 213.352 Torch cut rail. inches wide.
(a) Except as a temporary repair in (d) For all turnouts and crossovers,
emergency situations no rail having a and lift rail assemblies or other transi-
torch cut end shall be used. When a rail tion devices on moveable bridges, the
end with a torch cut is used in emer- track owner shall prepare an inspec-
gency situations, train speed over that tion and maintenance Guidebook for
rail shall not exceed the maximum al- use by railroad employees which shall
lowable for Class 2 track. All torch cut be submitted to the Federal Railroad
148
Administration. The Guidebook shall mechanism for maintaining the secu-

contain at a minimum— rity of switch point position.
(1) Inspection frequency and method-
ology including limiting measurement § 213.355 Frog guard rails and guard
values for all components subject to faces; gage.
wear or requiring adjustment. The guard check and guard face
(2) Maintenance techniques. gages in frogs shall be within the lim-
(e) Each hand operated switch shall
its prescribed in the following table—
be equipped with a redundant operating
Guard face gage—The dis-
Guard check gage—The distance between the tance between guard lines, 1
gage line of a frog to the guard line 1 of its measured across the track at
Class of track guard rail or guarding face, measured across right angles to the gage
the track at right angles to the gage line, 2 may line, 2 may not be more
not be less than— than—
Class 6 track ...................................................... 4′61⁄2″ ................................................................ 4′5″

Class 7 track ...................................................... 4′61⁄2″ ................................................................ 4′5″
Class 8 track ...................................................... 4′61⁄2″ ................................................................ 4′5″
Class 9 track ...................................................... 4′61⁄2″ ................................................................ 4′ 5″
1A line along that side of the flangeway which is nearer to the center of the track and at the same elevation as the gage line.
2 A line 5⁄8 inch below the top of the center line of the head of the running rail, or corresponding location of the tread portion of
the track structure.
§ 213.357 Derails. § 213.359 Track stiffness.

(a) Each track, other than a main (a) Track shall have a sufficient
track, which connects with a Class 7, 8 vertical strength to withstand the
or 9 main track shall be equipped with maximum vehicle loads generated at
a functioning derail of the correct size maximum permissible train speeds,
and type, unless railroad equipment on cant deficiencies and surface defects.
the track, because of grade characteris- For purposes of this section, vertical
tics cannot move to foul the main track strength is defined as the track
track. capacity to constrain vertical deforma-
(b) For the purposes of this section, a tions so that the track shall return fol-
lowing maximum load to a configura-
derail is a device which will physically
tion in compliance with the vehicle/
stop or divert movement of railroad
track interaction safety limits and ge-
rolling stock or other railroad on-track
ometry requirements of this subpart.
equipment past the location of the de-
(b) Track shall have sufficient lateral
vice.
strength to withstand the maximum
(c) Each derail shall be clearly visi- thermal and vehicle loads generated at
ble. When in a locked position, a derail maximum permissible train speeds,
shall be free of any lost motion which cant deficiencies and lateral alinement
would prevent it from performing its defects. For purposes of this section
intended function. lateral track strength is defined as the
(d) Each derail shall be maintained track capacity to constrain lateral de-
to function as intended. formations so that track shall return
(e) Each derail shall be properly in- following maximum load to a configu-
stalled for the rail to which it is ap- ration in compliance with the vehicle/
plied. track interaction safety limits and ge-
(f) If a track protected by a derail is ometry requirements of this subpart.
occupied by standing railroad rolling
stock, the derail shall be in derailing § 213.361 Right of way.
position. The track owner in Class 8 and 9
(g) Each derail on a track which is shall submit a barrier plan, termed a
connected to a Class 7, 8 or 9 main ‘‘right-of-way plan,’’ to the Federal
track shall be interconnected with the Railroad Administration for approval.
signal system. At a minimum, the plan will contain
provisions in areas of demonstrated
need for the prevention of—
149
§ 213.365 49 CFR Ch. II (10–1–07 Edition)
(a) Vandalism; (4) Track inspection records shall in-

(b) Launching of objects from over- dicate which track(s) are traversed by
head bridges or structures into the the vehicle or inspected on foot as out-
path of trains; and lined in paragraph (b)(3) of this section.
(c) Intrusion of vehicles from adja- (c) Each track inspection shall be
cent rights of way. made in accordance with the following
schedule—
§ 213.365 Visual inspections.
Class of Required frequency
(a) All track shall be visually in- track
spected in accordance with the sched-
6, 7, and 8 Twice weekly with at least 2 calendar-day’s in-
ule prescribed in paragraph (c) of this terval between inspections.
section by a person designated under 9 ................ Three times per week.
§ 213.305.
(b) Each inspection shall be made on (d) If the person making the inspec-
foot or by riding over the track in a ve- tion finds a deviation from the require-
hicle at a speed that allows the person ments of this part, the person shall im-
making the inspection to visually in- mediately initiate remedial action.
spect the track structure for compli- (e) Each switch, turnout, track cross-
ance with this part. However, mechan- ing, and lift rail assemblies on move-
ical, electrical, and other track inspec- able bridges shall be inspected on foot
tion devices may be used to supplement at least weekly. The inspection shall be
visual inspection. If a vehicle is used accomplished in accordance with the
for visual inspection, the speed of the Guidebook required under § 213.353.
vehicle may not be more than 5 miles (f) In track Classes 8 and 9, if no train
per hour when passing over track traffic operates for a period of eight
crossings and turnouts, otherwise, the hours, a train shall be operated at a
inspection vehicle speed shall be at the speed not to exceed 100 miles per hour
sole discretion of the inspector, based over the track before the resumption of
on track conditions and inspection re- operations at the maximum authorized
quirements. When riding over the track speed.
in a vehicle, the inspection will be sub-
ject to the following conditions— [63 FR 34029, June 22, 1998; 63 FR 45959, Aug.
28, 1998]
(1) One inspector in a vehicle may in-
spect up to two tracks at one time pro- § 213.367 Special inspections.
vided that the inspector’s visibility re-
mains unobstructed by any cause and In the event of fire, flood, severe
that the second track is not centered storm, temperature extremes or other
more than 30 feet from the track upon occurrence which might have damaged
which the inspector is riding; track structure, a special inspection
(2) Two inspectors in one vehicle may shall be made of the track involved as
inspect up to four tracks at a time pro- soon as possible after the occurrence
vided that the inspector’s visibility re- and, if possible, before the operation of
mains unobstructed by any cause and any train over that track.
that each track being inspected is cen-
§ 213.369 Inspection records.
tered within 39 feet from the track
upon which the inspectors are riding; (a) Each owner of track to which this
(3) Each main track is actually tra- part applies shall keep a record of each
versed by the vehicle or inspected on inspection required to be performed on
foot at least once every two weeks, and that track under this subpart.
each siding is actually traversed by the (b) Except as provided in paragraph
vehicle or inspected on foot at least (e) of this section, each record of an in-
once every month. On high density spection under § 213.365 shall be pre-
commuter railroad lines where track pared on the day the inspection is
time does not permit an on track vehi- made and signed by the person making
cle inspection, and where track centers the inspection. Records shall specify
are 15 foot or less, the requirements of the track inspected, date of inspection,
this paragraph (b)(3) will not apply; location and nature of any deviation
and from the requirements of this part, and
150
the remedial action taken by the per- (2) The electronic storage of each
son making the inspection. The owner record shall be initiated by the person
shall designate the location(s) where making the inspection within 24 hours
each original record shall be main- following the completion of that in-
tained for at least one year after the spection;
inspection covered by the record. The (3) The electronic system shall en-
owner shall also designate one loca- sure that each record cannot be modi-
tion, within 100 miles of each state in fied in any way, or replaced, once the
which they conduct operations, where
record is transmitted and stored;
copies of record which apply to those
operations are either maintained or (4) Any amendment to a record shall
can be viewed following 10 days notice be electronically stored apart from the
by the Federal Railroad Administra- record which it amends. Each amend-
tion. ment to a record shall be uniquely
(c) Rail inspection records shall identified as to the person making the
specify the date of inspection, the loca- amendment;
tion and nature of any internal defects (5) The electronic system shall pro-
found, the remedial action taken and vide for the maintenance of inspection
the date thereof, and the location of records as originally submitted with-
any intervals of track not tested per out corruption or loss of data; and
§ 213.339(d). The owner shall retain a (6) Paper copies of electronic records
rail inspection record for at least two and amendments to those records, that
years after the inspection and for one may be necessary to document compli-
year after remedial action is taken. ance with this part, shall be made
(d) Each owner required to keep in- available for inspection and copying by
spection records under this section the FRA and track inspectors respon-
shall make those records available for sible under § 213.305. Such paper copies
inspection and copying by the Federal
shall be made available to the track in-
Railroad Administrator.
spectors and at the locations specified
(e) For purposes of compliance with
the requirements of this section, an in paragraph (b) of this section.
owner of track may maintain and (7) Track inspection records shall be
transfer records through electronic kept available to persons who per-
transmission, storage, and retrieval formed the inspection and to persons
provided that— performing subsequent inspections.
(1) The electronic system be designed (f) Each vehicle/track interaction
such that the integrity of each record safety record required under § 213.333
maintained through appropriate levels (g), and (m) shall be made available for
of security such as recognition of an inspection and copying by the FRA at
electronic signature, or other means, the locations specified in paragraph (b)
which uniquely identify the initiating of this section.
person as the author of that record. No
two persons shall have the same elec- APPENDIX A TO PART 213—MAXIMUM
tronic identity; ALLOWABLE CURVING SPEEDS
151
VerDate Aug<31>2005
TABLE 1—THREE INCHES UNBALANCE
[Elevation of outer rail (inches)]
08:11 Nov 30, 2007

Degree of curvature 0 12
⁄ 1 11⁄2 2 21⁄2 3 31⁄2 4 41⁄2 5 51⁄2 6
(12) Maximum allowable operating speed (mph)
Jkt 211212
Pt. 213, App. A
0°30′ ............................................ 93 100 107 113 120 125 131 136 141 146 151 156 160
0°40′ ............................................ 80 87 93 98 103 109 113 118 122 127 131 135 139
0°50′ ............................................ 72 78 83 88 93 97 101 106 110 113 117 121 124
1°00′ ............................................ 66 71 76 80 85 89 93 96 100 104 107 110 113
PO 00000
1°15′ ............................................ 59 63 68 72 76 79 83 86 89 93 96 99 101
1°30′ ............................................ 54 58 62 66 69 72 76 79 82 85 87 90 93
1°45′ ............................................ 50 54 57 61 64 67 70 73 76 78 81 83 86
2°00′ ............................................ 46 50 54 57 60 63 66 68 71 73 76 78 80
2°15′ ............................................ 44 47 50 54 56 59 62 64 67 69 71 74 76
Frm 00162
2°30′ ............................................ 41 45 48 51 54 56 59 61 63 66 68 70 72
2°45′ ............................................ 40 43 46 48 51 54 56 58 60 62 65 66 68
3°00′ ............................................ 38 41 44 46 49 51 54 56 58 60 62 64 66
3°15′ ............................................ 36 39 42 45 47 49 51 54 56 57 59 61 63
Fmt 8010
3°30′ ............................................ 35 38 40 43 45 47 50 52 54 55 57 59 61
152
3°45′ ............................................ 34 37 39 41 44 46 48 50 52 54 55 57 59
4°00′ ............................................ 33 35 38 40 42 44 46 48 50 52 54 55 57
4°30′ ............................................ 31 33 36 38 40 42 44 45 47 49 50 52 54
Sfmt 8002
5°00′ ............................................ 29 32 34 36 38 40 41 43 45 46 48 49 51
5°30′ ............................................ 28 30 32 34 36 38 40 41 43 44 46 47 48
6°00′ ............................................ 27 29 31 33 35 36 38 39 41 42 44 45 46
6°30′ ............................................ 26 28 30 31 33 35 36 38 39 41 42 43 45
7°00′ ............................................ 25 27 29 30 32 34 35 36 38 39 40 42 43
8°00′ ............................................ 23 25 27 28 30 31 33 34 35 37 38 39 40
9°00′ ............................................ 22 24 25 27 28 30 31 32 33 35 36 37 38
10°00′ .......................................... 21 22 24 25 27 28 29 31 32 33 34 35 36
11°00′ .......................................... 20 21 23 24 26 27 28 29 30 31 32 33 34
Y:\SGML\211212.XXX
12°00′ .......................................... 19 20 22 23 24 26 27 28 29 30 31 32 33
TABLE 2—FOUR INCHES UNBALANCE
211212
[Elevation of outer rail (inches)]
Degree of curvature 0 12
⁄ 1 11⁄2 2 21⁄2 3 31⁄2 4 41⁄2 5 51⁄2 6
49 CFR Ch. II (10–1–07 Edition)
VerDate Aug<31>2005
(12) Maximum allowable operating speed (mph)
0°30′ ............................................ 107 113 120 125 131 136 141 146 151 156 160 165 169
08:11 Nov 30, 2007

0°40′ ............................................ 93 98 104 109 113 118 122 127 131 135 139 143 146
0°50′ ............................................ 83 88 93 97 101 106 110 113 117 121 124 128 131
1°00′ ............................................ 76 80 85 89 93 96 100 104 107 110 113 116 120
1°15′ ............................................ 68 72 76 79 83 86 89 93 96 99 101 104 107
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2°45′ ............................................ 46 48 51 53 56 58 60 62 64 66 68 70 72
3°00′ ............................................ 44 46 49 51 53 56 58 60 62 64 65 67 69
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4°00′ ............................................ 38 40 42 44 46 48 50 52 53 55 57 58 60
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Federal Railroad Administration, DOT
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Y:\SGML\211212.XXX
211212
Pt. 213, App. A
APPENDIX B TO PART 213—SCHEDULE OF CIVIL PENALTIES

Willful Viola-
Section Violation tion 1
Subpart A—General:
213.4(a) Excepted track 2 ............................................................................................... $2,500 $5,000
213.4(b) Excepted track 2 ............................................................................................... 2,500 5,000
213.4(c) Excepted track 2 ................................................................................................ 2,500 5,000
213.4(d) Excepted track 2 ............................................................................................... 2,500 5,000
213.4(e):
(1) Excepted track ............................................................................................ 5,000 7,500
(2) Excepted track ............................................................................................ 7,000 10,000
(3) Excepted track ............................................................................................ 7,000 10,000
(4) Excepted track ............................................................................................ 5,000 7,500
213.4(f) Excepted track ................................................................................................... 2,000 4,000
213.7 Designation of qualified persons to supervise certain renewals and inspect
track ............................................................................................................................. 1,000 2,000
213.9 Classes of track: Operating speed limits .............................................................. 2,500 2,500
213.11 Restoration or renewal of track under traffic conditions .................................... 2,500 2,500
213.13 Measuring track not under load .......................................................................... 1,000 2,000
Subpart B—Roadbed:
213.33 Drainage ............................................................................................................. 2,500 5,000
213.37 Vegetation ........................................................................................................... 1,000 2,000
Subpart C—Track Geometry:
213.53 Gage ................................................................................................................... 5,000 7,500
13.55 Alinement .............................................................................................................. 5,000 7,500
213.57 Curves; elevation and speed limitations ............................................................. 2,500 5,000
213.59 Elevation of curved track; runoff ......................................................................... 2,500 2,500
213.63 Track surface .................................................................................................................... 5,000 7,500
Subpart D—Track surface:
213.103 Ballast; general ................................................................................................. 2,500 5,000
213.109 Crossties
(a) Material used .............................................................................................. 1,000 2,000
(b) Distribution of ties ....................................................................................... 2,500 5,000
(c) Sufficient number of nondefective ties ........................................................ 1,000 2,000
(d) Joint ties ...................................................................................................... 2,500 5,000
(e) Track constructed without crossties ........................................................... 2,500 5,000
213.113 Defective rails ................................................................................................... 5,000 7,500
213.115 Rail end mismatch ............................................................................................ 2,500 5,000
§ 213.119 Continuous welded rail
(a) through (i) .................................................................................................... 5,000 7,500
213.121 (a) Rail joints ..................................................................................................... 2,500 5,000
213.121 (b) Rail joints ..................................................................................................... 2,500 5,000
213.121 (c) Rail joints ..................................................................................................... 5,000 7,500
213.121 (d) Rail joints ..................................................................................................... 2,500 5,000
213.121 (e) Rail joints ..................................................................................................... 2,500 5,000
213.121 (f) Rail joints ...................................................................................................... 2,500 5,000
213.121 (g) Rail joints ..................................................................................................... 2,500 5,000
213.121 (h) Rail joints ..................................................................................................... 5,000 7,500
213.122 Torch cut rail ..................................................................................................... 2,500 5,000
213.123 Tie plates .......................................................................................................... 1,000 2,000
213.127 Rail fastenings .................................................................................................. 2,500 5,000
213.133 Turnouts and track crossings, generally .......................................................... 1,000 1,000
213.135 Switches:
(a) through (g) .................................................................................................. 2,500 5,000
(h) chipped or worn points ............................................................................... 5,000 7,500
213.137 Frogs ................................................................................................................. 2,500 5,000
213.139 Spring rail frogs ................................................................................................ 2,500 5,000
213.141 Self-guarded frogs ............................................................................................ 2,500 5,000
213.143 Frog guard rails and guard faces; gage ........................................................... 2,500 5,000
Subpart E—Track appliances and track-related devices:
213.205 Derails ............................................................................................................... 2,500 5,000
Subpart F—Inspection:
213.233 Track inspections .............................................................................................. 2,000 4,000
213.235 Switches, crossings, transition devices ............................................................ 2,000 4,000
213.237 Inspection of rail ............................................................................................... 2,500 5,000
213.239 Special inspections ........................................................................................... 2,500 5,000
213.241 Inspection records ............................................................................................ 1,000 1,000
Subpart G—High Speed:
213.305 Designation of qualified individuals; general qualifications .............................. 1,000 2,000
213.307 Class of track; operating speed limits .............................................................. 2,500 5,000
213.309 Restoration or renewal of track under traffic conditions .................................. 2,500 5,000
213.311 Measuring track not under load ........................................................................ 1,000 2,000
213.319 Drainage ........................................................................................................... 2,500 5,000
213.321 Vegetation ......................................................................................................... 1,000 2,000
154
Federal Railroad Administration, DOT Pt. 213, App. C
Willful Viola-
Section Violation tion 1
213.323 Track gage ........................................................................................................ 5,000 7,500

213.327 Alinement .......................................................................................................... 5,000 7,500
213.329 Curves, elevation and speed limits .................................................................. 2,500 5,000
213.331 Track surface .................................................................................................... 5,000 7,500
213.333 Automated vehicle inspection systems ............................................................ 5,000 7,500
213.335 Crossties
(a) Material used .............................................................................................. 1,000 2,000
(b) Distribution of ties ....................................................................................... 2,500 5,000
(c) Sufficient number of nondefective ties, non-concrete ................................ 1,000 2,000
(d) Sufficient number of nondefective concrete ties ........................................ 1,000 2,000
(e) Joint ties ...................................................................................................... 2,500 5,000
(f) Track constructed without crossties ............................................................ 2,500 5,000
(g) Non-defective ties surrounding defective ties ............................................. 2,500 5,000
(h) Tie plates .................................................................................................... 2,500 5,000
(i) Tie plates ...................................................................................................... 1,000 2,000
213.337 Defective rails ................................................................................................... 5,000 7,500
213.339 Inspection of rail in service ............................................................................... 2,500 5,000
213.341 Inspection of new rail ........................................................................................ 2,500 5,000
213.343 Continuous welded rail (a) through (h) ............................................................. 5,000 7,500
213.345 Vehicle qualification testing (a) through (b) ...................................................... 5,000 7,500
(c) through (e) ................................................................................................... 2,500 5,000
213.347 Automotive or railroad crossings at grade ....................................................... 5,000 7,500
213.349 Rail end mismatch ............................................................................................ 2,500 5,000
213.351 (a) Rail joints ..................................................................................................... 2,500 5,000
213.351 (b) Rail joints ..................................................................................................... 2,500 5,000
213.351 (c) Rail joints ..................................................................................................... 5,000 7,500
213.351 (d) Rail joints ..................................................................................................... 2,500 5,000
213.351 (e) Rail joints ..................................................................................................... 2,500 5,000
213.351 (f) Rail joints ...................................................................................................... 5,000 7,500
213.351 (g) Rail joints ..................................................................................................... 5,000 7,500
213. 352 Torch cut rails .................................................................................................. 2,500 5,000
213.353 Turnouts, crossovers, transition devices .......................................................... 1,000 2,000
213.355 Frog guard rails and guard faces; gage ........................................................... 2,500 5,000
213.357 Derails ............................................................................................................... 2,500 5,000
213.359 Track stiffness ................................................................................................... 5,000 7,500
213.361 Right of way ...................................................................................................... 5,000 7,500
213.365 Visual inspections ............................................................................................. 2,500 5,000
213.367 Special inspections ........................................................................................... 2,500 5,000
213.369 Inspections records ........................................................................................... 2,000 4,000
1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a
penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR Part 209, Appendix A.
2 In addition to assessment of penalties for each instance of noncompliance with the requirements identified by this footnote,
track segments designated as excepted track that are or become ineligible for such designation by virtue of noncompliance with
any of the requirements to which this footnote applies are subject to all other requirements of Part 213 until such noncompliance
is remedied.
[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998, as amended at 70 FR 66299, Nov. 2, 2005]
APPENDIX C TO PART 213—STATEMENT yond the intent of this policy. In assessing a

OF AGENCY POLICY ON THE SAFETY bridge’s structural condition, FRA focuses
OF RAILROAD BRIDGES on the present safety of the structure, rather
than its appearance or long term usefulness.
1. The structural integrity of bridges that 4. FRA inspectors conduct regular evalua-
carry railroad tracks is important to the tions of railroad bridge inspection and man-
safety of railroad employees and to the pub- agement practices. The objective of these
lic. The responsibility for the safety of rail- evaluations is to document the practices of
road bridges rests with the owner of the the evaluated railroad and to disclose any
track carried by the bridge, together with program weaknesses that could affect the
any other party to whom that responsibility safety of the public or railroad employees.
has been assigned by the track owner. When the evaluation discloses problems,
2. The capacity of a bridge to safely sup- FRA seeks a cooperative resolution. If safety
port its traffic can be determined only by in- is jeopardized by a bridge owner’s failure to
telligent application of engineering prin- resolve a bridge problem, FRA will use avail-
ciples and the laws of physics. Bridge owners able legal means, including issuance of emer-
should use, as FRA does, those principles to gency orders, to protect the safety of rail-
assess the integrity of railroad bridges. road employees and the public.
3. The long term ability of a structure to 5. This policy statement addresses the in-
perform its function is an economic issue be- tegrity of bridges that carry railroad tracks.
155
It does not address the integrity of other 2. CAPACITY OF RAILROAD BRIDGES
types of structures on railroad property (i.e.,
(a) DETERMINATION. The safe capacity of
tunnels or bridges carrying highways) or
bridges should be determined by competent
other features over railroads (i.e., highway
engineers using accepted principles of struc-
overpasses).
tural design and analysis.
6. The guidelines published in this state- (b) ANALYSIS. Proper analysis of a bridge
ment are advisory, rather than regulatory, means knowledge of the actual dimensions,
in nature. They indicate those elements FRA materials and properties of the structural
deems essential to successful bridge manage- members of the bridge, their condition, and
ment programs. FRA uses the guidelines the stresses imposed in those members by
when evaluating bridge inspection and man- the service loads.
agement practices. (c) RATING. The factors which were used for
the design of a bridge can generally be used
GUIDELINES
to determine and rate the load capacity of a
1. Responsibility for safety of railroad bridge provided:
bridges (i) The condition of the bridge has not
(a) TRACK OWNER. The owner of the track changed significantly, and
on a bridge, or another person assuming re- (ii) The stresses resulting from the service
sponsibility for the compliance of that track loads can be correlated to the stresses for
with this Part under provisions of § 213.5, is which the bridge was designed or rated.
responsible for ensuring that the bridge is
capable of safely carrying all railroad traffic 3. RAILROAD BRIDGE LOADS
operated on that track, and for specifying (a) CONTROL OF LOADS. The operating in-
the maximum loads that may be operated structions for each railroad operating over
over the bridge. bridges should include provisions to restrict
(b) DIVIDED OWNERSHIP. Where the owner of the movement of cars and locomotives whose
the track on a bridge does not own the weight or configuration exceed the nominal
bridge, the track owner should ensure that capacity of the bridges.
the bridge owner is following a program that (b) AUTHORITY FOR EXCEPTIONS. Equipment
will maintain the integrity of the bridge. exceeding the nominal weight restriction on
The track owner either should participate in a bridge should be operated only under con-
the inspection of the bridge, or should obtain ditions determined by a competent engineer
and review reports of inspections performed who has properly analyzed the stresses re-
by the bridge owner. The track owner should sulting from the proposed loads.
maintain current information regarding (c) OPERATING CONDITIONS. Operating condi-
loads that may be operated over the bridge, tions for exceptional loads may include
either from its own engineering evaluations speed restrictions, restriction of traffic from
or as provided by a competent engineer rep- adjacent multiple tracks, and weight limita-
resenting the bridge owner. Information on tions on adjacent cars in the same train.
permissible loads may be communicated by
4. RAILROAD BRIDGE RECORDS
the bridge owner either in terms of specific
car and locomotive configurations and (a) The organization responsible for the
weights, or as values representing a standard safety of a bridge should keep design, con-
railroad bridge rating reference system. The struction, maintenance and repair records
most common standard bridge rating ref- readily accessible to permit the determina-
erence system incorporated in the Manual tion of safe loads. Having design or rating
for Railway Engineering of the American drawings and calculations that conform to
Railway Engineering and Maintenance of the actual structure greatly simplifies the
Way Association is the dimensional and pro- process of making accurate determinations
portional load configuration devised by of safe bridge loads.
Theodore Cooper. Other reference systems (b) Organizations acquiring railroad prop-
may be used where convenient, provided erty should obtain original or usable copies
their effects can be defined in terms of shear, of all bridge records and drawings, and pro-
bending and pier reactions as necessary for a tect or maintain knowledge of the location
comprehensive evaluation and statement of of the original records.
the capacity of a bridge.
5. SPECIFICATIONS FOR DESIGN AND RATING OF
(c) OTHER RAILROADS. The owner of the
RAILROAD BRIDGES
track on a bridge should advise other rail-
roads operating on that track of the max- (a) The recommended specifications for the
imum loads permitted on the bridge stated design and rating of bridges are those found
in terms of car and locomotive configura- in the Manual for Railway Engineering pub-
tions and weights. No railroad should oper- lished by the American Railway Engineering
ate a load which exceeds those limits with- and Maintenance-of-way Association. These
out specific authority from, and in accord- specifications incorporate recognized prin-
ance with restrictions placed by, the track ciples of structural design and analysis to
owner. provide for the safe and economic utilization
156
of railroad bridges during their expected use- an earthquake. In fact, earthquakes in such
ful lives. These specifications are contin- regions might propagate their effects over
ually reviewed and revised by committees of much wider areas than earthquakes of the
competent engineers. Other specifications same magnitude occurring in regions with
for design and rating, however, have been frequent seismic activity.
successfully used by some railroads and may
continue to be suitable. 9. SPECIAL INSPECTIONS OF RAILROAD BRIDGES
(b) A bridge can be rated for capacity ac-
cording to current specifications regardless (a) A special bridge inspection should be
of the specification to which it was origi- performed after an occurrence that might
nally designed. have reduced the capacity of the bridge, such
as a flood, an earthquake, a derailment, or
6. PERIODIC INSPECTIONS OF RAILROAD an unusual impact.
BRIDGES (b) When a railroad learns that a bridge
(a) Periodic bridge inspections by com- might have suffered damage through an un-
petent inspectors are necessary to determine usual occurrence, it should restrict train op-
whether a structure conforms to its design erations over the bridge until the bridge is
or rating condition and, if not, the degree of inspected and evaluated.
nonconformity.
10. RAILROAD BRIDGE INSPECTION RECORDS
(b) The prevailing practice throughout the
railroad industry is to inspect railroad (a) Bridge inspections should be recorded.
bridges at least annually. Inspections at Records should identify the structure in-
more frequent intervals may be indicated by spected, the date of the inspection, the name
the nature or condition of a structure or in- of the inspector, the components inspected,
tensive traffic levels. and their condition.
(b) Information from bridge inspection re-
7. UNDERWATER INSPECTIONS OF RAILROAD
ports should be incorporated into a bridge
BRIDGES
management program to ensure that excep-
(a) Inspections of bridges should include tions on the reports are corrected or ac-
measuring and recording the condition of counted for. A series of inspection reports
substructure support at locations subject to prepared over time should be maintained so
erosion from moving water. as to provide a valuable record of trends and
(b) Stream beds often are not visible to the rates of degradation of bridge components.
inspector. Indirect measurements by sound- The reports should be structured to promote
ing, probing, or any other appropriate means comprehensive inspections and effective
are necessary in those cases. A series of communication between an inspector and an
records of those readings will provide the engineer who performs an analysis of a
best information in the event unexpected bridge.
changes suddenly occur. Where such indirect (c) An inspection report should be com-
measurements do not provide the necessary prehensible to a competent person without
assurance of foundation integrity, diving in- interpretation by the reporting inspector.
spections should be performed as prescribed
by a competent engineer. 11. RAILROAD BRIDGE INSPECTORS AND
ENGINEERS
8. SEISMIC CONSIDERATIONS
(a) Bridge inspections should be performed
(a) Owners of bridges should be aware of by technicians whose training and experi-
the risks posed by earthquakes in the areas ence enable them to detect and record indi-
in which their bridges are located. Pre- cations of distress on a bridge. Inspectors
cautions should be taken to protect the safe- should provide accurate measurements and
ty of trains and the public following an other information about the condition of the
earthquake. bridge in enough detail so that an engineer
(b) Contingency plans for seismic events can make a proper evaluation of the safety
should be prepared in advance, taking into of the bridge.
account the potential for seismic activity in
(b) Accurate information about the condi-
an area.
tion of a bridge should be evaluated by an
(c) The predicted attenuation of ground
engineer who is competent to determine the
motion varies considerably within the
capacity of the bridge. The inspector and the
United States. Local ground motion attenu-
evaluator often are not the same individual.
ation values and the magnitude of an earth-
The quality of the bridge evaluation depends
quake both influence the extent of the area
on the quality of the communication be-
affected by an earthquake. Regions with low
tween them.
frequency of seismic events produce less data
from which to predict attenuation factors. 12. SCHEDULING INSPECTIONS
That uncertainty should be considered when
designating the area in which precautions (a) A bridge management program should
should be taken following the first notice of include a means to ensure that each bridge
157
under the program is inspected at the fre- 214.313 Responsibility of individual roadway
quency prescribed for that bridge by a com- workers.
petent engineer. 214.315 Supervision and communication.
(b) Bridge inspections should be scheduled 214.317 On-track safety procedures, gen-
from an accurate bridge inventory list that erally.
includes the due date of the next inspection. 214.319 Working limits, generally.
214.321 Exclusive track occupancy.
13. SPECIAL CONSIDERATIONS FOR RAILROAD
214.323 Foul time.
BRIDGES
214.325 Train coordination.
Railroad bridges differ from other types of 214.327 Inaccessible track.
bridges in the types of loads they carry, in 214.329 Train approach warning provided by
their modes of failure and indications of dis- watchmen/lookouts.
tress, and in their construction details and 214.331 Definite train location.
components. Proper inspection and analysis 214.333 Informational line-ups of trains.
of railroad bridges require familiarity with 214.335 On-track safety procedures for road-
the loads, details and indications of distress way work groups.
that are unique to this class of structure. 214.337 On-track safety procedures for lone
Particular care should be taken that modi- workers.
fications to railroad bridges, including retro- 214.339 Audible warning from trains.
fits for protection against the effects of 214.341 Roadway maintenance machines.
earthquakes, are suitable for the structure
214.343 Training and qualification, general.
to which they are to be applied. Modifica-
214.345 Training for all roadway workers.
tions should not adversely affect the service-
214.347 Training and qualification for lone
ability of the bridge nor its accessibility for
workers.
periodic or special inspection.
214.349 Training and qualification of watch-
[65 FR 52670, Aug. 30, 2000] men/lookouts.
214.351 Training and qualification of
PART 214—RAILROAD WORKPLACE flagmen.
214.353 Training and qualification of road-
SAFETY way workers who provide on-track safety
for roadway work groups.
Subpart A—General 214.355 Training and qualification in on-
track safety for operators of roadway
Sec.
maintenance machines.
214.3 Application.
Subpart D—On-Track Roadway Mainte-
214.4 Preemptive effect.
214.5 Responsibility for compliance. nance Machines and Hi-Rail Vehicles
214.7 Definitions. 214.501 Purpose and scope.
214.503 Good-faith challenges; procedures
Subpart B—Bridge Worker Safety Standards for notification and resolution.
214.101 Purpose and scope. 214.505 Required environmental control and
214.103 Fall protection, generally. protection systems for new on-track
214.105 Fall protection systems standards roadway maintenance machines with en-
and practices. closed cabs.
214.107 Working over or adjacent to water. 214.507 Required safety equipment for new
214.109 Scaffolding. on-track roadway maintenance ma-
214.111 Personal protective equipment, gen- chines.
erally. 214.509 Required visual illumination and re-
214.113 Head protection. flective devices for new on-track road-
214.115 Foot protection. way maintenance machines.
214.117 Eye and face protection. 214.511 Required audible warning devices for
new on-track roadway maintenance ma-
Subpart C—Roadway Worker Protection chines.
214.513 Retrofitting of existing on-track
214.301 Purpose and scope. roadway maintenance machines; general.
214.302 Information collection require- 214.515 Overhead covers for existing on-
ments. track roadway maintenance machines.
214.303 Railroad on-track safety programs, 214.517 Retrofitting of existing on-track
generally. roadway maintenance machines manu-
214.305 Compliance dates. factured on or after January 1, 1991.
214.307 Review and approval of individual 214.518 Safe and secure positions for riders.
on-track safety programs by FRA. 214.519 Floors, decks, stairs, and ladders of
214.309 On-track safety program documents. on-track roadway maintenance ma-
214.311 Responsibility of employers. chines.
158
214.521 Flagging equipment for on-track § 214.5 Responsibility for compliance.
roadway maintenance machines and hi-
rail vehicles. Any person (an entity of any type
214.523 Hi-rail vehicles. covered under 1 U.S.C. 1, including but
214.525 Towing with on-track roadway not limited to the following: a railroad;
maintenance machines or hi-rail vehi- a manager, supervisor, official, or
cles. other employee or agent of a railroad;
214.527 On-track roadway maintenance ma- any owner, manufacturer, lessor, or
chines; inspection for compliance and lessee of railroad equipment, track, or
schedule for repairs. facilities; any independent contractor
214.529 In-service failure of primary braking providing goods or services to a rail-
system. road; and any employee of such owner,
214.531 Schedule of repairs; general.
manufacturer, lessor, lessee, or inde-
214.533 Schedule of repairs subject to avail-
pendent contractor) who violates any
ability of parts.
requirement of this part or causes the
APPENDIX A TO PART 214—SCHEDULE OF CIVIL violation of any such requirement is
PENALTIES
subject to a civil penalty of at least
AUTHORITY: 49 U.S.C. 20103, 20107, 21301, $550 and not more than $11,000 per vio-
21304; 28 U.S.C. 2461, note; and 49 CFR 1.49. lation, except that penalties may be as-
SOURCE: 57 FR 28127, June 24, 1992, unless sessed against individuals only for will-
otherwise noted. ful violations, and where a grossly neg-
ligent violation or a pattern of re-
peated violations has created an immi-
Subpart A—General nent hazard of death or injury, or has
§ 214.1 Purpose and scope. caused death or injury, a penalty not
to exceed $27,000 per violation may be
(a) The purpose of this part is to pre- assessed. See appendix A to this part
vent accidents and casualties to em- for a statement of agency civil penalty
ployees involved in certain railroad in- policy.
spection, maintenance and construc-
tion activities. [57 FR 28127, June 24, 1992, as amended at 63
FR 11620, Mar. 10, 1998; 69 FR 30593, May 28,
(b) This part prescribes minimum 2004]
Federal safety standards for the rail-
road workplace safety subjects ad- EFFECTIVE DATE NOTE: At 72 FR 51196,
Sept. 6, 2007, § 214.5 was amended by removing
dressed herein. This part does not re- the numerical amount ‘‘$11,000’’ and adding
strict a railroad or railroad contractor in its place the numerical amount ‘‘$16,000’’,
from adopting and enforcing additional effective October 9, 2007.
or more stringent requirements not in-
consistent with this part. § 214.7 Definitions.
Adjacent tracks mean two or more
§ 214.3 Application. tracks with track centers spaced less
This part applies to railroads that than 25 feet apart.
operate rolling equipment on track Anchorage means a secure point of at-
that is part of the general railroad sys- tachment for lifelines, lanyards or de-
tem of transportation. celeration devices that is independent
of the means of supporting or sus-
§ 214.4 Preemptive effect. pending the employee.
Under 49 U.S.C. 20106 (formerly sec- Body belt means a strap that can be
tion 205 of the Federal Railroad Safety secured around the waist or body and
Act of 1970 (45 U.S.C. 434)), issuance of attached to a lanyard, lifeline, or de-
the regulations in this part preempts celeration device.
Body harness means a device with
any State law, rule, regulation, order,
straps that is secured about the person
or standard covering the same subject
in a manner so as to distribute the fall
matter, except a provision directed at
arrest forces over (at least) the thighs,
an essentially local safety hazard that
shoulders, pelvis, waist, and chest and
is not incompatible with this part and
that can be attached to a lanyard, life-
that does not unreasonably burden on
line, or deceleration device.
interstate commerce.
Class I, Class II, and Class III have the
meaning assigned by, Title 49 Code of
[61 FR 65975, Dec. 16, 1996]
159
§ 214.7 49 CFR Ch. II (10–1–07 Edition)
Federal Regulations part 1201, General Equivalent means alternative designs,

Instructions 1–1. materials, or methods that the railroad
Competent person means one who is or railroad contractor can demonstrate
capable of identifying existing and pre- will provide equal or greater safety for
dictable hazards in the workplace and employees than the means specified in
who is authorized to take prompt cor- this part.
rective measures to eliminate them. Exclusive track occupancy means a
Control operator means the railroad method of establishing working limits
employee in charge of a remotely con- on controlled track in which movement
trolled switch or derail, an inter- authority of trains and other equip-
locking, or a controlled point, or a segment is withheld by the train dis-
ment of controlled track. patcher or control operator, or re-
Controlled track means track upon stricted by flagmen, as prescribed in
which the railroad’s operating rules re- § 214.321 of this part.
quire that all movements of trains Flagman when used in relation to
must be authorized by a train dis- roadway worker safety means an em-
patcher or a control operator. ployee designated by the railroad to di-
Deceleration device means any mecha- rect or restrict the movement of trains
nism, including, but not limited to, past a point on a track to provide on-
rope grabs, ripstitch lanyards, spe- track safety for roadway workers,
cially woven lanyards, tearing or de- while engaged solely in performing
forming lanyards, and automatic self- that function.
retracting lifelines/lanyards that serve Foul time is a method of establishing
to dissipate a substantial amount of working limits on controlled track in
energy during a fall arrest, or other- which a roadway worker is notified by
wise limit the energy on a person dur- the train dispatcher or control oper-
ing fall arrest. ator that no trains will operate within
Definite train location means a system a specific segment of controlled track
for establishing on-track safety by pro- until the roadway worker reports clear
viding roadway workers with informa- of the track, as prescribed in § 214.323 of
tion about the earliest possible time this part.
that approaching trains may pass spe- Fouling a track means the placement
cific locations as prescribed in § 214.331 of an individual or an item of equip-
of this part. ment in such proximity to a track that
Designated official means any per- the individual or equipment could be
son(s) designated by the employer to struck by a moving train or on-track
receive notification of non-complying equipment, or in any case is within
conditions on on-track roadway main- four feet of the field side of the near
tenance machines and hi-rail vehicles. running rail.
Effective securing device when used in Free fall means the act of falling be-
relation to a manually operated switch fore the personal fall arrest system be-
or derail means one which is: gins to apply force to arrest the fall.
(a) Vandal resistant; Free fall distance means the vertical
(b) Tamper resistant; and displacement of the fall arrest attach-
(c) Designed to be applied, secured, ment point on a person’s body harness
uniquely tagged and removed only by between onset of the fall and the point
the class, craft or group of employees at which the system begins to apply
for whom the protection is being pro- force to arrest the fall. This distance
vided. excludes deceleration distance and life-
Employee means an individual who is line and lanyard elongation, but in-
engaged or compensated by a railroad cludes any deceleration device slide
or by a contractor to a railroad to per- distance or self-retracting lifeline/lan-
form any of the duties defined in this yard extension before they operate and
part. fall arrest forces occur.
Employer means a railroad, or a con- Hi-rail vehicle means a roadway main-
tractor to a railroad, that directly en- tenance machine that is manufactured
gages or compensates individuals to to meet Federal Motor Vehicle Safety
perform any of the duties defined in Standards and is equipped with retract-
this part. able flanged wheels so that the vehicle
160
may travel over the highway or on rail- On-track roadway maintenance ma-
road tracks. chine, existing means any on-track
Hi-rail vehicle, new means a hi-rail ve- roadway maintenance machine that
hicle that is ordered after December 26, does not meet the definition of a ‘‘new
2003 or completed after September 27, on-track roadway maintenance ma-
2004. chine.’’
Inaccessible track means a method of On-track roadway maintenance ma-
establishing working limits on non- chine, new means an on-track roadway
controlled track by physically pre- maintenance machine that is ordered
venting entry and movement of trains after December 26, 2003, and completed
and equipment. after September 27, 2004.
Individual train detection means a pro- On-track safety means a state of free-
cedure by which a lone worker acquires dom from the danger of being struck by
on-track safety by seeing approaching a moving railroad train or other rail-
trains and leaving the track before road equipment, provided by operating
they arrive and which may be used and safety rules that govern track oc-
only under circumstances strictly de- cupancy by personnel, trains and on-
fined in this part. track equipment.
Informational line-up of trains means Personal fall arrest system means a
information provided in a prescribed system used to arrest the fall of a per-
format to a roadway worker by the
son from a working level. It consists of
train dispatcher regarding movements
an anchorage, connectors, body har-
of trains authorized or expected on a
ness, lanyard, deceleration device, life-
specific segment of track during a spe-
line, or combination of these.
cific period of time.
Lanyard means a flexible line of rope, Qualified means a status attained by
wire rope, or strap that is used to se- an employee who has successfully com-
cure a body harness to a deceleration pleted any required training for, has
device, lifeline, or anchorage. demonstrated proficiency in, and has
Lifeline means a component of a fall been authorized by the employer to
arrest system consisting of a flexible perform the duties of a particular posi-
line that connects to an anchorage at tion or function.
one end to hang vertically (vertical Railroad means all forms of non-high-
lifeline) or to an anchorage at both way ground transportation that run on
ends to stretch horizontally (horizontal rails or electro-magnetic guideways,
lifeline), and that serves as a means for including (1) commuter or other short-
connecting other components of a per- haul rail passenger service in a metro-
sonal fall arrest system to the anchor- politan or suburban area, and (2) high-
age. speed ground transportation systems
Lone worker means an individual that connect metropolitan areas, with-
roadway worker who is not being af- out regard to whether they use new
forded on-track safety by another road- technologies not associated with tradi-
way worker, who is not a member of a tional railroads. Such term does not in-
roadway work group, and who is not clude rapid transit operations within
engaged in a common task with an- an urban area that are not connected
other roadway worker. to the general railroad system of trans-
Non-controlled track means track portation.
upon which trains are permitted by Railroad bridge means a structure
railroad rule or special instruction to supporting one or more railroad tracks
move without receiving authorization above land or water with a span length
from a train dispatcher or control oper- of 12 feet or more measured along the
ator. track centerline. This term applies to
On-track roadway maintenance ma- the entire structure between the faces
chine means a self-propelled, rail- of the backwalls of abutments or equiv-
mounted, non-highway, maintenance alent components, regardless of the
machine whose light weight is in ex- number of spans, and includes all such
cess of 7,500 pounds, and whose purpose structures, whether of timber, stone,
is not for the inspection of railroad concrete, metal, or any combination
track. thereof.
161
§ 214.101 49 CFR Ch. II (10–1–07 Edition)
Railroad bridge worker or bridge worker an object and, when released, auto-
means any employee of, or employee of matically closes to retain the object.
a contractor of, a railroad owning or Train approach warning means a
responsible for the construction, in- method of establishing on-track safety
spection, testing, or maintenance of a by warning roadway workers of the ap-
bridge whose assigned duties, if per- proach of trains in ample time for
formed on the bridge, include inspec- them to move to or remain in a place
tion, testing, maintenance, repair, con- of safety in accordance with the re-
struction, or reconstruction of the quirements of this part.
track, bridge structural members, op- Train coordination means a method of
erating mechanisms and water traffic establishing working limits on track
control systems, or signal, communica- upon which a train holds exclusive au-
tion, or train control systems integral thority to move whereby the crew of
to that bridge. that train yields that authority to a
Restricted speed means a speed that roadway worker.
will permit a train or other equipment Train dispatcher means the railroad
to stop within one-half the range of vi- employee assigned to control and issue
sion of the person operating the train orders governing the movement of
or other equipment, but not exceeding trains on a specific segment of railroad
20 miles per hour, unless further re- track in accordance with the operating
stricted by the operating rules of the rules of the railroad that apply to that
railroad. segment of track.
Roadway maintenance machine means Watchman/lookout means an employee
a device powered by any means of en- who has been annually trained and
ergy other than hand power which is qualified to provide warning to road-
being used on or near railroad track for way workers of approaching trains or
maintenance, repair, construction or on-track equipment. Watchmen/look-
inspection of track, bridges, roadway, outs shall be properly equipped to pro-
signal, communications, or electric vide visual and auditory warning such
traction systems. Roadway mainte- as whistle, air horn, white disk, red
nance machines may have road or rail flag, lantern, fusee. A watchman/look-
wheels or may be stationary. out’s sole duty is to look out for ap-
Roadway work group means two or proaching trains/on-track equipment
more roadway workers organized to and provide at least fifteen seconds ad-
work together on a common task. vanced warning to employees before ar-
rival of trains/on-track equipment.
Roadway worker means any employee
Working limits means a segment of
of a railroad, or of a contractor to a
track with definite boundaries estab-
railroad, whose duties include inspec-
lished in accordance with this part
tion, construction, maintenance or re-
upon which trains and engines may
pair of railroad track, bridges, road-
move only as authorized by the road-
way, signal and communication sys-
way worker having control over that
tems, electric traction systems, road-
defined segment of track. Working lim-
way facilities or roadway maintenance
its may be established through ‘‘exclu-
machinery on or near track or with the sive track occupancy,’’ ‘‘inaccessible
potential of fouling a track, and track,’’ ‘‘foul time’’ or ‘‘train coordina-
flagmen and watchmen/lookouts as de- tion’’ as defined herein.
fined in this section.
Self-retracting lifeline/lanyard means a [57 FR 28127, June 24, 1992, as amended at 61
deceleration device that contains a FR 65975, Dec. 16, 1996; 67 FR 1906, Jan. 15,
drum-wound line that may be slowly 2002; 68 FR 44407, July 28, 2003]
extracted from, or retracted onto, the
drum under slight tension during nor- Subpart B—Bridge Worker Safety
mal employee movement, and which, Standards
after onset of a fall, automatically
locks the drum and arrests the fall. § 214.101 Purpose and scope.
Snap-hook means a connector com- (a) The purpose of this subpart is to
prised of a hook-shaped member with a prevent accidents and casualties aris-
normally closed keeper, that may be ing from the performance of work on
opened to permit the hook to receive railroad bridges.
162
(b) This subpart prescribes minimum previously and voluntarily designated

railroad safety rules for railroad em- to perform inspections under the provi-
ployees performing work on bridges. sion of that program, and has accepted
Each railroad and railroad contractor the designation;
may prescribe additional or more strin- (iii) The bridge worker to whom this
gent operating rules, safety rules, and exception applies is familiar with the
other special instructions not incon- appropriate climbing techniques asso-
sistent with this subpart. ciated with all bridge structures the
(c) These provisions apply to all rail- bridge worker is responsible for in-
road employees, railroads, and railroad
specting;
contractors performing work on rail-
(iv) The bridge worker to whom this
road bridges.
(d) Any working conditions involving exception applies is engaged solely in
the protection of railroad employees moving on or about the bridge or ob-
working on railroad bridges not within serving, measuring and recording the
the subject matter addressed by this dimensions and condition of the bridge
chapter, including respiratory protec- and its components; and
tion, hazard communication, hearing (v) The bridge worker to whom this
protection, welding and lead exposure section applies is provided all equip-
standards, shall be governed by the ment necessary to meet the needs of
regulations of the U.S. Department of safety, including any specialized alter-
Labor, Occupational Safety and Health native systems required.
Administration. (c) This section shall not apply where
bridge workers are working on a rail-
§ 214.103 Fall protection, generally.
road bridge equipped with walkways
(a) Except as provided in paragraphs and railings of sufficient height, width,
(b) through (d) of this section, when and strength to prevent a fall, so long
bridge workers work twelve feet or as bridge workers do not work beyond
more above the ground or water sur- the railings, over the side of the bridge,
face, they shall be provided and shall on ladders or other elevation devices,
use a personal fall arrest system or or where gaps or holes exist through
safety net system. All fall protection
which a body could fall. Where used in
systems required by this section shall
place of fall protection as provided for
conform to the standards set forth in
in § 214.105, this paragraph (c) is satis-
§ 214.105 of this subpart.
(b)(1) This section shall not apply if fied by:
the installation of the fall arrest sys- (1) Walkways and railings meeting
tem poses a greater risk than the work standards set forth in the American
to be performed. In any action brought Railway Engineering Association’s
by FRA to enforce the fall protection Manual for Railway Engineering; and
requirements, the railroad or railroad (2) Roadways attached to railroad
contractor shall have the burden of bridges, provided that bridge workers
proving that the installation of such on the roadway deck work or move at
device poses greater exposure to risk a distance six feet or more from the
than performance of the work itself. edge of the roadway deck, or from an
(2) This section shall not apply to opening through which a person could
bridge workers engaged in inspection of fall.
railroad bridges conducted in full com- (d) This section shall not apply where
pliance with the following conditions: bridge workers are performing repairs
(i) The railroad or railroad con- or inspections of a minor nature that
tractor has a written program in place are completed by working exclusively
that requires training in, adherence to,
between the outside rails, including
and use of safe procedures associated
but not limited to, routine welding,
with climbing techniques and proce-
dures to be used; spiking, anchoring, spot surfacing, and
(ii) The bridge worker to whom this joint bolt replacement.
exception applies has been trained and [67 FR 1906, Jan. 15, 2002]
qualified according to that program to
perform bridge inspections, has been
163
§ 214.105 49 CFR Ch. II (10–1–07 Edition)
§ 214.105 Fall protection systems (2) Self-retracting lifelines and lan-

standards and practices. yards that automatically limit free fall
(a) General requirements. All fall pro- distance to two feet or less shall have
tection systems required by this sub- components capable of sustaining a
part shall conform to the following: minimum static tensile load of 3,000
pounds applied to the device with the
(1) Fall protection systems shall be
lifeline or lanyard in the fully extended
used only for personal fall protection.
position.
(2) Any fall protection system sub-
(3) Self-retracting lifelines and lan-
jected to impact loading shall be im-
yards that do not limit free fall dis-
mediately and permanently removed
tance to two feet or less, ripstitch, and
from service unless fully inspected and
tearing and deformed lanyards shall be
determined by a competent person to
capable of withstanding 5,000 pounds
be undamaged and suitable for reuse.
applied to the device with the lifeline
(3) All fall protection system compo- or lanyard in the fully extended posi-
nents shall be protected from abra- tion.
sions, corrosion, or any other form of (4) Horizontal lifelines shall be de-
deterioration. signed, installed, and used under the
(4) All fall protection system compo- supervision of a competent person, as
nents shall be inspected prior to each part of a complete personal fall arrest
use for wear, damage, corrosion, mil- system that maintains a safety factor
dew, and other deterioration. Defective of at least two.
components shall be permanently re- (5) Lifelines shall not be made of nat-
moved from service. ural fiber rope.
(5) Prior to use and after any compo- (6) Body belts shall not be used as
nent or system is changed, bridge components of personal fall arrest sys-
workers shall be trained in the applica- tems.
tion limits of the equipment, proper (7) The personal fall arrest system
hook-up, anchoring and tie-off tech- shall limit the maximum arresting
niques, methods of use, and proper force on a bridge worker to 1,800
methods of equipment inspection and pounds when used with a body harness.
storage. (8) The personal fall arrest system
(6) The railroad or railroad con- shall bring a bridge worker to a com-
tractor shall provide for prompt rescue plete stop and limit maximum decel-
of bridge workers in the event of a fall. eration distance a bridge worker trav-
(7) Connectors shall have a corrosion- els to 3.5 feet.
resistant finish, and all surfaces and (9) The personal fall arrest system
edges shall be smooth to prevent dam- shall have sufficient strength to with-
age to interfacing parts of the system. stand twice the potential impact en-
(8) Connectors shall be drop forged, ergy of a bridge worker free falling a
pressed or formed steel, or made of distance of six feet, or the free fall dis-
equivalent-strength materials. tance permitted by the system, which-
(9) Anchorages, including single- and ever is less.
double-head anchors, shall be capable (10) The personal fall arrest system
of supporting at least 5,000 pounds per shall be arranged so that a bridge
bridge worker attached, or shall be de- worker cannot free fall more than six
signed, installed, and used under super- feet and cannot contact the ground or
vision of a qualified person as part of a any lower horizontal surface of the
complete personal fall protection sys- bridge.
tem that maintains a safety factor of (11) Personal fall arrest systems shall
at least two. be worn with the attachment point of
(b) Personal fall arrest systems. All the body harness located in the center
components of a personal fall arrest of the wearer’s back near shoulder
system shall conform to the following level, or above the wearer’s head.
standards: (12) When vertical lifelines are used,
(1) Lanyards and vertical lifelines each bridge worker shall be provided
that tie off one bridge worker shall with a separate lifeline.
have a minimum breaking strength of (13) Devices used to connect to a hor-
5,000 pounds. izontal lifeline that may become a
164
vertical lifeline shall be capable of which bridge workers are to be pro-

locking in either direction. tected.
(14) Dee-rings and snap-hooks shall (i) When the railroad or railroad con-
be capable of sustaining a minimum tractor demonstrates that a drop-test
tensile load of 3,600 pounds without is not feasible and, as a result, the test
cracking, breaking, or taking perma- is not performed, the railroad or rail-
nent deformation. road contractor, or designated com-
(15) Dee-rings and snap-hooks shall petent person, shall certify that the
be capable of sustaining a minimum net and its installation are in compli-
tensile load of 5,000 pounds. ance with the provisions of this section
(16) Snap-hooks shall not be con- by preparing a certification record
nected to each other. prior to use of the net.
(17) Snap-hooks shall be dimension- (ii) The certification shall include an
ally compatible with the member to identification of the net, the date it
which they are connected to prevent was determined that the net was in
unintentional disengagement, or shall compliance with this section, and the
be a locking snap-hook designed to pre- signature of the person making this de-
vent unintentional disengagement. termination. Such person’s signature
(18) Unless of a locking type, snap- shall certify that the net and its instal-
hooks shall not be engaged: lation are in compliance with this sec-
(i) Directly, next to a webbing, rope, tion. The most recent certification for
or wire rope; each net installation shall be available
(ii) To each other; at the jobsite where the subject net is
(iii) To a dee-ring to which another located.
snap-hook or other connector is at- (5) Safety nets and their installations
tached; shall be capable of absorbing an impact
(iv) To a horizontal lifeline; or force equal to that produced by the
(v) To any object that is incom- drop test specified in this section.
patibly shaped or dimensioned in rela- (6) The safety net shall be installed
tion to the snap-hook so that uninten- such that there is no contact with sur-
tional disengagement could occur. faces or structures below the net when
(c) Safety net systems. Use of safety subjected to an impact force equal to
net systems shall conform to the fol- the drop test specified in this section.
lowing standards and practices: (7) Safety nets shall extend outward
(1) Safety nets shall be installed as from the outermost projection of the
close as practicable under the walking/ work surface as follows:
working surface on which bridge work- (i) When the vertical distance from
ers are working, but shall not be in- the working level to the horizontal
stalled more than 30 feet below such plane of the net is 5 feet or less, the
surface. minimum required horizontal distance
(2) If the distance from the working of the outer edge of the net beyond the
surface to the net exceeds 30 feet, edge of the working surface is 8 feet.
bridge workers shall be protected by (ii) When the vertical distance from
personal fall arrest systems. the working level to the horizontal
(3) The safety net shall be installed plane of the net is 5 feet, but less than
such that any fall from the working 10 feet, the minimum required hori-
surface to the net is unobstructed. zontal distance of the outer edge of the
(4) Except as provided in this section, net beyond the edge of the working
safety nets and net installations shall surface is 10 feet.
be drop-tested at the jobsite after ini- (iii) When the vertical distance from
tial installation and before being used the working level to the horizontal
as a fall protection system, whenever plane of the net is more than 10 feet,
relocated, after major repair, and at the minimum required horizontal dis-
six-month intervals if left in one place. tance of the outer edge of the net be-
The drop-test shall consist of a 400- yond the edge of the working surface is
pound bag of sand 30 inches, plus or 13 feet.
minus two inches, in diameter dropped (8) Defective nets shall not be used.
into the net from the highest (but not Safety nets shall be inspected at least
less than 31⁄2 feet) working surface on once a week for mildew, wear, damage,
165
§ 214.107 49 CFR Ch. II (10–1–07 Edition)
and other deterioration. Defective between ring buoys shall not exceed 200
components shall be removed perma- feet.
nently from service. (d) Where life vests are required, at
(9) Safety nets shall be inspected least one lifesaving skiff, inflatable
after any occurrence that could affect boat, or equivalent device shall be im-
the integrity of the safety net system. mediately available. If it is determined
(10) Tools, scraps, or other materials by a competent person that environ-
that have fallen into the safety net mental conditions, including weather,
shall be removed as soon as possible, water speed, and terrain, merit addi-
and at least before the next work shift. tional protection, the skiff or boat
(11) Each safety net shall have a bor- shall be manned.
der rope for webbing with a minimum [70 FR 7050, Feb. 10, 2005]
breaking strength of 5,000 pounds.
(12) The maximum size of each safety § 214.109 Scaffolding.
net mesh opening shall not exceed 36
(a) Scaffolding used in connection
square inches and shall not be longer
with railroad bridge maintenance, in-
than 6 inches on any side measured
spection, testing, and construction
center-to-center of mesh ropes or web-
shall be constructed and maintained in
bing. All mesh crossing shall be se-
a safe condition and meet the following
cured to prevent enlargement of the
minimum requirements:
mesh opening.
(1) Each scaffold and scaffold compo-
(13) Connections between safety net nent, except suspension ropes and
panels shall be as strong as integral guardrail systems, but including foot-
net components and shall be spaced not ings and anchorage, shall be capable of
more than 6 inches apart. supporting, without failure, its own
[67 FR 1906, Jan. 15, 2002; 67 FR 11055, Mar. 12, weight and at least four times the max-
2002] imum intended load applied or trans-
mitted to that scaffold or scaffold com-
§ 214.107 Working over or adjacent to ponent.
water. (2) Guardrail systems shall be capa-
(a) Bridge workers working over or ble of withstanding, without failure, a
adjacent to water with a depth of four force of at least 200 pounds applied
feet or more, or where the danger of within two inches of the top edge, in
drowning exists, shall be provided and any outward or downward direction, at
shall use life vests or buoyant work any point along the top edge.
vests in compliance with U.S. Coast (3) Top edge height of toprails, or
Guard requirements in 46 CFR 160.047, equivalent guardrail system member,
160.052, and 160.053. Life preservers in shall be 42 inches, plus or minus three
compliance with U.S. Coast Guard re- inches. Supports shall be at intervals
quirements in 46 CFR 160.055 shall also not to exceed eight feet. Toeboards
be within ready access. This section shall be a minimum of four inches in
shall not apply to bridge workers using height.
personal fall arrest systems or safety (4) Midrails, screens, mesh, inter-
nets that comply with this subpart or mediate vertical members, solid pan-
to bridge workers who are working els, and equivalent structural members
under the provisions of § 214.103(b)(2), shall be capable of withstanding, with-
(c) or (d) of this subpart. out failure, a force of at least 150
(b) Prior to each use, all flotation de- pounds applied in any downward or
vices shall be inspected for defects that outward direction at any point along
reduce their strength or buoyancy by the midrail or other member.
designated individuals trained by the (5) Midrails shall be installed at a
railroad or railroad contractor. Defec- height midway between the top edge of
tive units shall not be used. the guardrail system and the walking/
(c) Where life vests are required by working level.
paragraph (a) of this section, ring (b) Scaffolds shall not be altered or
buoys with at least 90 feet of line shall moved while they are occupied. This
be provided and readily available for paragraph does not apply to vertical
emergency rescue operations. Distance movements of mobile scaffolds that are
166
designed to move vertically while occu- applied or transmitted to that compo-

pied. nent. All scaffold casters shall be pro-
(c) An access ladder or equivalent vided with a positive wheel and/or
safe access shall be provided. swivel lock to prevent movement. Lad-
(d) All exposed surfaces shall be pre- der stands shall have at least two of
pared and cleared to prevent injury due the four casters and shall be of the
to laceration, puncture, tripping, or swivel type.
falling hazard.
(e) All scaffold design, construction, § 214.111 Personal protective equip-
and repair shall be completed by comment, generally.
petent individuals trained and knowl- With the exception of foot protec-
edgeable about design criteria, in- tion, the railroad or railroad con-
tended use, structural limitations, and tractor shall provide and the bridge
procedures for proper repair. worker shall use appropriate personal
(f) Manually propelled mobile ladder protective equipment described in this
stands and scaffolds shall conform to subpart in all operations where there is
the following: exposure to hazardous conditions, or
(1) All manually propelled mobile where this subpart indicates the need
ladder stands and scaffolds shall be ca- for using such equipment to reduce the
pable of carrying the design load. hazards to railroad bridge workers. The
(2) All ladder stands, scaffolds, and railroad or railroad contractor shall re-
scaffold components shall be capable of quire the use of foot protection when
supporting, without failure, displace- the potential for foot injury exists.
ment, or settlement, its own weight
and at least four times the maximum [67 FR 1908, Jan. 15, 2002]
intended load applied or transmitted to
§ 214.113 Head protection.
that ladder stand, scaffold, or scaffold
component. (a) Railroad bridge workers working
(3) All exposed surfaces shall be free in areas where there is a possible dan-
from sharp edges or burrs. ger of head injury from impact, or from
(4) The maximum work level height falling or flying objects, or from elec-
shall not exceed four times the min- trical shock and burns, shall be pro-
imum or least base dimensions of any vided and shall wear protective hel-
mobile ladder stand or scaffold. Where mets.
the basic mobile unit does not meet (b) Helmets for the protection of rail-
this requirement, suitable outrigger road bridge workers against impact
frames shall be employed to achieve and penetration of falling and flying
this least base dimension, or equiva- objects, or from high voltage electrical
lent provisions shall be made to guy or shock and burns shall conform to the
brace the unit against tipping. national consensus standards for indus-
(5) The minimum platform width for trial head protection (American Na-
any work level shall not be less than 20 tional Standards Institute, Z89.1–1986,
inches for mobile scaffolds (towers). Protective Headwear for Industrial
Ladder stands shall have a minimum Workers). This incorporation by ref-
step width of 16 inches. The steps of erence was approved by the Director of
ladder stands shall be fabricated from the Federal Register in accordance
slip resistant treads. with 5 U.S.C. 552(a) and 1 CFR part 51.
(6) Guardrails and midrails shall con- Copies may be obtained from the Amer-
form to the requirements listed in ican National Standards Institute, 25
paragraph (a) of this section. West 43rd Street, New York, NY 10036.
(7) A climbing ladder or stairway Copies may be inspected at the Federal
shall be provided for proper access and Railroad Administration, Docket
egress, and shall be affixed or built into Clerk, 1120 Vermont Avenue NW.,
the scaffold and so located that in its Washington, DC, or at the National Ar-
use it will not have a tendency to tip chives and Records Administration
the scaffold. (NARA). For information on the avail-
(8) Wheels or casters shall be capable ability of this material at NARA, call
of supporting, without failure, at least 202–741–6030, or go to: http://
four times the maximum intended load www.archives.gov/federallregister/
167
§ 214.115 49 CFR Ch. II (10–1–07 Edition)
codeloflfederallregulations/ ican National Standards Institute, 25

ibrllocations.html. West 43rd Street, New York, NY 10036.
[67 FR 1908, Jan. 15, 2002]
Copies may be inspected at the Federal
Railroad Administration, Docket
§ 214.115 Foot protection. Clerk, 1120 Vermont Avenue, Wash-
ington, DC, or at the National Archives
(a) The railroad or railroad con-
and Records Administration (NARA).
tractor shall require railroad bridge
For information on the availability of
workers to wear foot protection equip-
this material at NARA, call 202–741–
ment when potential foot injury may
6030, or go to: http://www.archives.gov/
result from impact, falling or flying
federallregister/
objects, electrical shock or burns, or
codeloflfederallregulations/
other hazardous condition.
ibrllocations.html.
(b) Safety-toe footwear for railroad
(c) Face and eye protection equip-
bridge workers shall conform to the na-
ment required by this section shall be
tional consensus standards for safety-
kept clean and in good repair. Use of
toe footwear (American National
equipment with structural or optical
Standards Institute, American Na-
defects is prohibited.
tional Standard Z41–1991, Standard for
(d) Railroad bridge workers whose vi-
Personal Protection-Protective Foot-
sion requires the use of corrective
wear). This incorporation by reference
lenses, when required by this section to
was approved by the Director of the
wear eye protection, shall be protected
Federal Register in accordance with 5
by goggles or spectacles of one of the
U.S.C. 552(a) and 1 CFR part 51. Copies
following types:
may be obtained from American Na-
(i) Spectacles whose protective lenses
tional Standards Institute, 25 West 43rd
provide optical correction the, frame of
Street, New York, NY 10036. Copies
which includes shielding against ob-
may be inspected at the Federal Rail-
jects reaching the wearer’s eyes around
road Administration, Docket Clerk,
the lenses;
1120 Vermont Avenue, Washington, DC,
(ii) Goggles that can be worn over
or at the National Archives and
corrective lenses without disturbing
Records Administration (NARA). For
the adjustment of the lenses; or
information on the availability of this
material at NARA, call 202–741–6030, or (iii) Goggles that incorporate correc-
go to: http://www.archives.gov/ tive lenses mounted behind the protec-
federallregister/ tive lenses.
codeloflfederallregulations/ [67 FR 1908, Jan. 15, 2002; 67 FR 11055, Mar. 12,
ibrllocations.html. 2002]
[67 FR 1908, Jan. 15, 2002]
Subpart C—Roadway Worker
§ 214.117 Eye and face protection. Protection
(a) Railroad bridge workers shall be
provided and shall wear eye and face SOURCE: 61 FR 65976, Dec. 16, 1996, unless
protection equipment when potential otherwise noted.
eye or face injury may result from
physical, chemical, or radiant agents. § 214.301 Purpose and scope.
(b) Eye and face protection equip- (a) The purpose of this subpart is to
ment required by this section shall prevent accidents and casualties
conform to the national consensus caused by moving railroad cars, loco-
standards for occupational and edu- motives or roadway maintenance ma-
cational eye and face protection chines striking roadway workers or
(American National Standards Insti- roadway maintenance machines.
tute, Z87.1–1989, Practice for Occupa- (b) This subpart prescribes minimum
tional and Educational Eye and Face safety standards for roadway workers.
Protection). This incorporation by ref- Each railroad and railroad contractor
erence was approved by the Director of may prescribe additional or more strin-
the Federal Register in accordance gent operating rules, safety rules, and
with 5 U.S.C. 552(a) and 1 CFR part 51. other special instructions that are con-
Copies may be obtained from the Amer- sistent with this subpart.
168
(c) This subpart prescribes safety (b) For each Class II railroad, April
standards related to the movement of 15, 1997.
roadway maintenance machines where (c) For each Class III railroad,
such movements affect the safety of switching and terminal railroad, and
roadway workers. This subpart does any railroad not otherwise classified,
not otherwise affect movements of May 15, 1997.
roadway maintenance machines that (d) For each railroad commencing op-
are conducted under the authority of a erations after the pertinent date speci-
train dispatcher, a control operator, or fied in this section, the date on which
the operating rules of the railroad. operations commence.
§ 214.302 Information collection re- § 214.307 Review and approval of indi-
quirements. vidual on-track safety programs by
(a) The information collection re- FRA.
quirements of this part were reviewed (a) Each railroad shall notify, in
by the Office of Management and Budg- writing, the Associate Administrator
et pursuant to the Paperwork Reduc- for Safety, Federal Railroad Adminis-
tion Act of 1995, Public Law 104–13, § 2, tration, RRS–15, 400 Seventh Street
109 Stat.163 (1995) (codified as revised at SW, Washington, DC 20590, not less
44 U.S.C. §§ 3501–3520), and are assigned than one month before its on-track
OMB control number 2130–0539. FRA safety program becomes effective. The
may not conduct or sponsor and a re- notification shall include the effective
spondent is not required to respond to, date of the program, the address of the
a collection of information unless it office at which the program documents
displays a currently valid OMB control are available for review and
number. photocopying by representatives of the
(b) The information collection re- Federal Railroad Administrator, and
quirements are found in the following the name, title, address and telephone
sections: §§ 214.303, 214.307, 214.309, number of the primary person to be
214.311, 214.313, 214.315, 214.319, 214.321, contacted with regard to review of the
214.323, 214.325, 214.327, 214.329, 214.331, program. This notification procedure
214.335, 214.341. shall also apply to subsequent changes
to a railroad’s on-track safety pro-
§ 214.303 Railroad on-track safety program.
grams, generally.
(b) After receipt of the notification
(a) Each railroad to which this part from the railroad, the Federal Railroad
applies shall adopt and implement a Administration will conduct a formal
program that will afford on-track safe- review of the on-track safety program.
ty to all roadway workers whose duties The Federal Railroad Administration
are performed on that railroad. Each will notify the primary railroad con-
such program shall provide for the lev- tact person of the results of the review,
els of protection specified in this sub- in writing, whether the on-track safety
part. program or changes to the program
(b) Each on-track safety program have been approved by the Adminis-
adopted to comply with this part shall trator, and if not approved, the specific
include procedures to be used by each points in which the program or changes
railroad for monitoring effectiveness of are deficient.
and compliance with the program. (c) A railroad’s on-track safety pro-
gram will take effect by the estab-
§ 214.305 Compliance dates. lished compliance dates in § 214.305,
Each program adopted by a railroad without regard to the date of review or
shall comply not later than the date approval by the Federal Railroad Ad-
specified in the following schedule: ministration. Changes to a railroad’s
(a) For each Class I railroad (includ- program will take effect on dates es-
ing National Railroad Passenger Cor- tablished by each railroad without re-
poration) and each railroad providing gard to the date of review and approval
commuter service in a metropolitan or by the Federal Railroad Administra-
suburban area, March 15, 1997. tion.
169
§ 214.309 49 CFR Ch. II (10–1–07 Edition)
§ 214.309 On-track safety program doc- shall provide the employee with a job
uments. briefing that includes information on
Rules and operating procedures gov- the means by which on-track safety is
erning track occupancy and protection to be provided, and instruction on the
shall be maintained together in one on-track safety procedures to be fol-
manual and be readily available to all lowed.
roadway workers. Each roadway work- (b) A job briefing for on-track safety
er responsible for the on-track safety shall be deemed complete only after
of others, and each lone worker, shall the roadway worker has acknowledged
be provided with and shall maintain a understanding of the on-track safety
copy of the program document. procedures and instructions presented.
(c) Every roadway work group whose
§ 214.311 Responsibility of employers. duties require fouling a track shall
(a) Each employer is responsible for have one roadway worker designated
the understanding and compliance by by the employer to provide on-track
its employees with its rules and the re- safety for all members of the group.
quirements of this part. The designated person shall be quali-
(b) Each employer shall guarantee fied under the rules of the railroad that
each employee the absolute right to conducts train operations on those
challenge in good faith whether the on- tracks to provide the protection nec-
track safety procedures to be applied essary for on-track safety of each indi-
at the job location comply with the vidual in the group. The responsible
rules of the operating railroad, and to person may be designated generally, or
remain clear of the track until the specifically for a particular work situa-
challenge is resolved. tion.
(c) Each employer shall have in place (d) Before any member of a roadway
a written procedure to achieve prompt work group fouls a track, the des-
and equitable resolution of challenges ignated person providing on-track safe-
made in accordance with §§ 214.311(b) ty for the group under paragraph (c) of
and 214.313(d).
this section shall inform each roadway
§ 214.313 Responsibility of individual worker of the on- track safety proce-
roadway workers. dures to be used and followed during
the performance of the work at that
(a) Each roadway worker is respon-
time and location. Each roadway work-
sible for following the on-track safety
er shall again be so informed at any
rules of the railroad upon which the
time the on-track safety procedures
roadway worker is located.
(b) A roadway worker shall not foul a change during the work period. Such
track except when necessary for the information shall be given to all road-
performance of duty. way workers affected before the change
(c) Each roadway worker is respon- is effective, except in cases of emer-
sible to ascertain that on-track safety gency. Any roadway workers who, be-
is being provided before fouling a cause of an emergency, cannot be noti-
track. fied in advance shall be immediately
(d) Each roadway worker may refuse warned to leave the fouling space and
any directive to violate an on-track shall not return to the fouling space
safety rule, and shall inform the em- until on-track safety is re-established.
ployer in accordance with § 214.311 (e) Each lone worker shall commu-
whenever the roadway worker makes a nicate at the beginning of each duty
good faith determination that on-track period with a supervisor or another
safety provisions to be applied at the designated employee to receive a job
job location do not comply with the briefing and to advise of his or her
rules of the operating railroad. planned itinerary and the procedures
that he or she intends to use for on-
§ 214.315 Supervision and communica- track safety. When communication
tion. channels are disabled, the job briefing
(a) When an employer assigns duties shall be conducted as soon as possible
to a roadway worker that call for that after the beginning of the work period
employee to foul a track, the employer when communications are restored.
170
§ 214.317 On-track safety procedures, working limits only as permitted by

generally. the roadway worker in charge, or
Each employer subject to the provi- (3) The roadway worker in charge
sions of this part shall provide on- causing fixed signals at each entrance
track safety for roadway workers by to the working limits to display an as-
adopting a program that contains spe- pect indicating ‘‘Stop.’’
cific rules for protecting roadway (b) An authority for exclusive track
workers that comply with the provi- occupancy given to the roadway work-
sions of §§ 214.319 through 214.337 of this er in charge of the working limits shall
part. be transmitted on a written or printed
document directly, by relay through a
§ 214.319 Working limits, generally. designated employee, in a data trans-
Working limits established on con- mission, or by oral communication, to
trolled track shall conform to the pro- the roadway worker by the train dis-
visions of § 214.321 Exclusive track oc- patcher or control operator in charge
cupancy, or § 214.323 Foul time, or § 214. of the track.
325 Train coordination. Working limits (1) Where authority for exclusive
established on non-controlled track track occupancy is transmitted orally,
shall conform to the provision of the authority shall be written as re-
§ 214.327 Inaccessible track. Working ceived by the roadway worker in
limits established under any procedure charge and repeated to the issuing em-
shall, in addition, conform to the fol- ployee for verification.
lowing provisions: (2) The roadway worker in charge of
(a) Only a roadway worker who is the working limits shall maintain pos-
qualified in accordance with § 214.353 of session of the written or printed au-
this part shall establish or have con- thority for exclusive track occupancy
trol over working limits for the pur- while the authority for the working
pose of establishing on-track safety. limits is in effect.
(b) Only one roadway worker shall (3) The train dispatcher or control
have control over working limits on operator in charge of the track shall
any one segment of track. make a written or electronic record of
(c) All affected roadway workers all authorities issued to establish ex-
shall be notified before working limits clusive track occupancy.
are released for the operation of trains.
(c) The extent of working limits es-
Working limits shall not be released
tablished through exclusive track oc-
until all affected roadway workers
cupancy shall be defined by one of the
have either left the track or have been
following physical features clearly
afforded on-track safety through train
identifiable to a locomotive engineer
approach warning in accordance with
or other person operating a train or
§ 214.329 of this subpart.
railroad equipment:
§ 214.321 Exclusive track occupancy. (1) A flagman with instructions and
Working limits established on con- capability to hold all trains and equip-
trolled track through the use of exclu- ment clear of the working limits;
sive track occupancy procedures shall (2) A fixed signal that displays an as-
comply with the following require- pect indicating ‘‘Stop’’;
ments: (3) A station shown in the time-table,
(a) The track within working limits and identified by name with a sign, be-
shall be placed under the control of one yond which train movement is prohib-
roadway worker by either: ited by train movement authority or
(1) Authority issued to the roadway the provisions of a direct train control
worker in charge by the train dis- system.
patcher or control operator who con- (4) A clearly identifiable milepost
trols train movements on that track, sign beyond which train movement is
(2) Flagmen stationed at each en- prohibited by train movement author-
trance to the track within working ity or the provisions of a direct train
limits and instructed by the roadway control system; or
worker in charge to permit the move- (5) A clearly identifiable physical lo-
ment of trains and equipment into the cation prescribed by the operating
171
§ 214.323 49 CFR Ch. II (10–1–07 Edition)
rules of the railroad that trains may (2) The train is stopped,
not pass without proper authority. (3) Further movements of the train
(d) Movements of trains and roadway will be made only as permitted by the
maintenance machines within working roadway worker in charge of the work-
limits established through exclusive ing limits while the working limits re-
track occupancy shall be made only main in effect, and
under the direction of the roadway (4) The crew of the train will not give
worker having control over the work- up its exclusive authority to move
ing limits. Such movements shall be until the working limits have been re-
restricted speed unless a higher speed leased to the train crew by the road-
has been specifically authorized by the way worker in charge of the working
roadway worker in charge of the work- limits.
ing limits.
§ 214.327 Inaccessible track.
§ 214.323 Foul time.
(a) Working limits on non-controlled
Working limits established on con- track shall be established by rendering
trolled track through the use of foul the track within working limits phys-
time procedures shall comply with the ically inaccessible to trains at each
following requirements: possible point of entry by one of the
(a) Foul time may be given orally or following features:
in writing by the train dispatcher or
(1) A flagman with instructions and
control operator only after that em-
capability to hold all trains and equip-
ployee has withheld the authority of
ment clear of the working limits;
all trains to move into or within the
(2) A switch or derail aligned to pre-
working limits during the foul time pe-
vent access to the working limits and
riod.
(b) Each roadway worker to whom secured with an effective securing de-
foul time is transmitted orally shall re- vice by the roadway worker in charge
peat the track number, track limits of the working limits;
and time limits of the foul time to the (3) A discontinuity in the rail that
issuing employee for verification be- precludes passage of trains or engines
fore the foul time becomes effective. into the working limits;
(c) The train dispatcher or control (4) Working limits on controlled
operator shall not permit the move- track that connects directly with the
ment of trains or other on-track equip- inaccessible track, established by the
ment onto the working limits pro- roadway worker in charge of the work-
tected by foul time until the roadway ing limits on the inaccessible track; or
worker who obtained the foul time has (5) A remotely controlled switch
reported clear of the track. aligned to prevent access to the work-
ing limits and secured by the control
§ 214.325 Train coordination. operator of such remotely controlled
Working limits established by a road- switch by application of a locking or
way worker through the use of train blocking device to the control of that
coordination shall comply with the fol- switch, when:
lowing requirements: (i) The control operator has secured
(a) Working limits established by the remotely controlled switch by ap-
train coordination shall be within the plying a locking or blocking device to
segments of track or tracks upon the control of the switch, and
which only one train holds exclusive (ii) The control operator has notified
authority to move. the roadway worker who has estab-
(b) The roadway worker who established the working limits that the re-
lishes working limits by train coordi- quested protection has been provided,
nation shall communicate with a mem- and
ber of the crew of the train holding the (iii) The control operator is not per-
exclusive authority to move, and shall mitted to remove the locking or block-
determine that: ing device from the control of the
(1) The train is visible to the roadway switch until receiving permission to do
worker who is establishing the working so from the roadway worker who estab-
limits, lished the working limits.
172
(b) Trains and roadway maintenance the warned employee regardless of

machines within working limits estab- noise or distraction of work.
lished by means of inaccessible track (f) Every roadway worker who is as-
shall move only under the direction of signed the duties of a watchman/look-
the roadway worker in charge of the out shall first be trained, qualified and
working limits, and shall move at redesignated in writing by the employer
stricted speed. to do so in accordance with the provi-
(c) No operable locomotives or other sions of § 214.349.
items of on-track equipment, except (g) Every watchman/lookout shall be
those present or moving under the di- provided by the employer with the
rection of the roadway worker in equipment necessary for compliance
charge of the working limits, shall be with the on-track safety duties which
located within working limits estab- the watchman/lookout will perform.
lished by means of inaccessible track.
§ 214.331 Definite train location.
§ 214.329 Train approach warning pro- A roadway worker may establish on-
vided by watchmen/lookouts. track safety by using definite train lo-
Roadway workers in a roadway work cation only where permitted by and in
group who foul any track outside of accordance with the following provi-
working limits shall be given warning sions:
of approaching trains by one or more (a) A Class I railroad or a commuter
watchmen/lookouts in accordance with railroad may only use definite train lo-
the following provisions: cation to establish on-track safety at
(a) Train approach warning shall be points where such procedures were in
given in sufficient time to enable each use on January 15, 1997.
roadway worker to move to and occupy (b) Each Class I or commuter railroad
a previously arranged place of safety shall include in its on-track safety pro-
not less than 15 seconds before a train gram for approval by FRA in accord-
moving at the maximum speed author- ance with § 214.307 of this part a sched-
ized on that track can pass the loca- ule for phase-out of the use of definite
tion of the roadway worker. train location to establish on-track
(b) Watchmen/lookouts assigned to safety.
provide train approach warning shall (c) A railroad other than a Class I or
devote full attention to detecting the commuter railroad may use definite
approach of trains and communicating train location to establish on-track
a warning thereof, and shall not be as- safety on subdivisions only where:
signed any other duties while func- (1) Such procedures were in use on
tioning as watchmen/lookouts. January 15, 1997, or
(c) The means used by a watchman/ (2) The number of trains operated on
lookout to communicate a train ap- the subdivision does not exceed:
proach warning shall be distinctive and (i) Three during any nine-hour period
shall clearly signify to all recipients of in which roadway workers are on duty,
the warning that a train or other on- and
track equipment is approaching. (ii) Four during any twelve-hour pe-
(d) Every roadway worker who de- riod in which roadway workers are on
pends upon train approach warning for duty.
on-track safety shall maintain a posi- (d) Definite train location shall only
tion that will enable him or her to re- be used to establish on-track safety ac-
ceive a train approach warning commu- cording to the following provisions:
nicated by a watchman/lookout at any (1) Definite train location informa-
time while on-track safety is provided tion shall be issued only by the one
by train approach warning. train dispatcher who is designated to
(e) Watchmen/lookouts shall commu- authorize train movements over the
nicate train approach warnings by a track for which the information is pro-
means that does not require a warned vided.
employee to be looking in any par- (2) A definite train location list shall
ticular direction at the time of the indicate all trains to be operated on
warning, and that can be detected by the track for which the list is provided,
173
§ 214.333 49 CFR Ch. II (10–1–07 Edition)
during the time for which the list is ef- for discontinuance of the procedure by
fective. a definite date.
(3) Trains not shown on the definite
train location list shall not be operated § 214.335 On-track safety procedures
on the track for which the list is pro- for roadway work groups.
vided, during the time for which the (a) No employer subject to the provi-
list is effective, until each roadway sions of this part shall require or per-
worker to whom the list has been mit a roadway worker who is a member
issued has been notified of the train of a roadway work group to foul a
movement, has acknowledged the noti- track unless on-track safety is pro-
fication to the train dispatcher, and vided by either working limits, train
has canceled the list. A list thus can- approach warning, or definite train lo-
celed shall then be invalid for on-track cation in accordance with the applica-
safety. ble provisions of §§ 214.319, 214.321,
(4) Definite train location shall not 213.323, 214.325, 214.327, 214.329 and
be used to establish on-track safety 214.331 of this part.
within the limits of a manual inter- (b) No roadway worker who is a mem-
locking, or on track over which train ber of a roadway work group shall foul
movements are governed by a Traffic a track without having been informed
Control System or by a Manual Block by the roadway worker responsible for
System. the on-track safety of the roadway
(5) Roadway workers using definite work group that on-track safety is pro-
train location for on-track safety shall vided.
not foul a track within ten minutes be- (c) Roadway work groups engaged in
fore the earliest time that a train is large-scale maintenance or construc-
due to depart the last station at which tion shall be provided with train ap-
time is shown in approach to the road- proach warning in accordance with
way worker’s location nor until that § 214.327 for movements on adjacent
train has passed the location of the tracks that are not included within
roadway worker. working limits.
(6) A railroad shall not permit a train
to depart a location designated in a § 214.337 On-track safety procedures
definite train location list before the for lone workers.
time shown therein. (a) A lone worker who fouls a track
(7) Each roadway worker who uses while performing routine inspection or
definite train location to establish on- minor correction may use individual
track safety must be qualified on the train detection to establish on-track
relevant physical characteristics of the safety only where permitted by this
territory for which the train location section and the on-track safety pro-
information is provided. gram of the railroad.
(b) A lone worker retains an absolute
§ 214.333 Informational line-ups of right to use on-track safety procedures
trains. other than individual train detection if
(a) A railroad is permitted to include he or she deems it necessary, and to oc-
informational line-ups of trains in its cupy a place of safety until such other
on-track safety program for use only form of on-track safety can be estab-
on subdivisions of that railroad upon lished.
which such procedure was in effect on (c) Individual train detection may be
March 14, 1996. used to establish on-track safety only:
(b) Each procedure for the use of in- (1) By a lone worker who has been
formational line-ups of trains found in trained, qualified, and designated to do
an on-track safety program shall in- so by the employer in accordance with
clude all provisions necessary to pro- § 214.347 of this subpart;
tect roadway workers using the proce- (2) While performing routine inspec-
dure against being struck by trains or tion and minor correction work;
other on-track equipment. (3) On track outside the limits of a
(c) Each on-track safety program manual interlocking, a controlled
that provides for the use of informa- point, or a remotely controlled hump
tional line-ups shall include a schedule yard facility;
174
(4) Where the lone worker is able to shall not substitute for on-track safety
visually detect the approach of a train procedures prescribed in this part.
moving at the maximum speed author-
ized on that track, and move to a pre- § 214.341 Roadway maintenance ma-
viously determined place of safety, not chines.
less than 15 seconds before the train (a) Each employer shall include in its
would arrive at the location of the lone on-track safety program specific provi-
worker; sions for the safety of roadway workers
(5) Where no power-operated tools or who operate or work near roadway
roadway maintenance machines are in maintenance machines. Those provi-
use within the hearing of the lone sions shall address:
worker; and (1) Training and qualification of op-
(6) Where the ability of the lone erators of roadway maintenance ma-
worker to hear and see approaching chines.
trains and other on-track equipment is (2) Establishment and issuance of
not impaired by background noise, safety procedures both for general ap-
lights, precipitation, fog, passing plication and for specific types of ma-
trains, or any other physical condi- chines.
tions. (3) Communication between machine
operators and roadway workers as-
(d) The place of safety to be occupied
signed to work near or on roadway
by a lone worker upon the approach of
maintenance machines.
a train may not be on a track, unless
(4) Spacing between machines to pre-
working limits are established on that
vent collisions.
track.
(5) Space between machines and road-
(e) A lone worker using individual way workers to prevent personal in-
train detection for on-track safety jury.
while fouling a track may not occupy a (6) Maximum working and travel
position or engage in any activity that speeds for machines dependent upon
would interfere with that worker’s weather, visibility, and stopping capa-
ability to maintain a vigilant lookout bilities.
for, and detect the approach of, a train (b) Instructions for the safe operation
moving in either direction as pre- of each roadway machine shall be pro-
scribed in this section. vided and maintained with each ma-
(f) A lone worker who uses individual chine large enough to carry the in-
train detection to establish on-track struction document.
safety shall first complete a written (1) No roadway worker shall operate
Statement of On-track Safety. The a roadway maintenance machine with-
Statement shall designate the limits of out having been trained in accordance
the track for which it is prepared and with § 214.355.
the date and time for which it is valid. (2) No roadway worker shall operate
The statement shall show the max- a roadway maintenance machine with-
imum authorized speed of trains within out having complete knowledge of the
the limits for which it is prepared, and safety instructions applicable to that
the sight distance that provides the re- machine.
quired warning of approaching trains. (3) No employer shall assign roadway
The lone worker using individual train workers to work near roadway ma-
detection to establish on-track safety chines unless the roadway worker has
shall produce the Statement of On- been informed of the safety procedures
track Safety when requested by a rep- applicable to persons working near the
resentative of the Federal Railroad Ad- roadway machines and has acknowl-
ministrator. edged full understanding.
(c) Components of roadway mainte-
§ 214.339 Audible warning from trains. nance machines shall be kept clear of
Each railroad shall require that the trains passing on adjacent tracks.
locomotive whistle be sounded, and the Where operating conditions permit
locomotive bell be rung, by trains ap- roadway maintenance machines to be
proaching roadway workers on or less than four feet from the rail of an
about the track. Such audible warning adjacent track, the on-track safety
175
§ 214.343 49 CFR Ch. II (10–1–07 Edition)
program of the railroad shall include (b) The functions and responsibilities
the procedural instructions necessary of various persons involved with on-
to provide adequate clearance between track safety procedures.
the machine and passing trains. (c) Proper compliance with on-track
safety instructions given by persons
§ 214.343 Training and qualification, performing or responsible for on-track
general. safety functions.
(a) No employer shall assign an em- (d) Signals given by watchmen/look-
ployee to perform the duties of a road- outs, and the proper procedures upon
way worker, and no employee shall ac- receiving a train approach warning
cept such assignment, unless that em- from a lookout.
ployee has received training in the on- (e) The hazards associated with work-
track safety procedures associated ing on or near railroad tracks, includ-
with the assignment to be performed, ing review of on-track safety rules and
and that employee has demonstrated procedures.
the ability to fulfill the responsibilities
for on-track safety that are required of § 214.347 Training and qualification
an individual roadway worker per- for lone workers.
forming that assignment. Each lone worker shall be trained
(b) Each employer shall provide to all and qualified by the employer to estab-
roadway workers in its employ initial lish on-track safety in accordance with
or recurrent training once every cal- the requirements of this section, and
endar year on the on-track safety rules must be authorized to do so by the rail-
and procedures that they are required road that conducts train operations on
to follow. those tracks.
(c) Railroad employees other than (a) The training and qualification for
roadway workers, who are associated lone workers shall include, as a min-
with on-track safety procedures, and imum, consideration of the following
whose primary duties are concerned factors:
with the movement and protection of (1) Detection of approaching trains
trains, shall be trained to perform and prompt movement to a place of
their functions related to on-track safety upon their approach.
safety through the training and quali- (2) Determination of the distance
fication procedures prescribed by the along the track at which trains must
operating railroad for the primary po- be visible in order to provide the pre-
sition of the employee, including main- scribed warning time.
tenance of records and frequency of (3) Rules and procedures prescribed
training. by the railroad for individual train de-
(d) Each employer of roadway work- tection, establishment of working lim-
ers shall maintain written or elec- its, and definite train location.
tronic records of each roadway worker (4) On-track safety procedures to be
qualification in effect. Each record used in the territory on which the em-
shall include the name of the employee is to be qualified and permitted
ployee, the type of qualification made, to work alone.
and the most recent date of qualifica- (b) Initial and periodic qualification
tion. These records shall be kept avail- of a lone worker shall be evidenced by
able for inspection and photocopying demonstrated proficiency.
by the Federal Railroad Administrator
during regular business hours. § 214.349 Training and qualification of
watchmen/lookouts.
§ 214.345 Training for all roadway (a) The training and qualification for
workers. roadway workers assigned the duties of
The training of all roadway workers watchmen/lookouts shall include, as a
shall include, as a minimum, the fol- minimum, consideration of the fol-
lowing: lowing factors:
(a) Recognition of railroad tracks (1) Detection and recognition of ap-
and understanding of the space around proaching trains.
them within which on-track safety is (2) Effective warning of roadway
required. workers of the approach of trains.
176
(3) Determination of the distance § 214.355 Training and qualification in

along the track at which trains must on-track safety for operators of
be visible in order to provide the pre- roadway maintenance machines.
scribed warning time. (a) The training and qualification of
(4) Rules and procedures of the rail- roadway workers who operate roadway
road to be used for train approach maintenance machines shall include,
warning. as a minimum:
(b) Initial and periodic qualification (1) Procedures to prevent a person
of a watchman/lookout shall be evi- from being struck by the machine
denced by demonstrated proficiency. when the machine is in motion or oper-
ation.
§ 214.351 Training and qualification of
(2) Procedures to prevent any part of
flagmen.
the machine from being struck by a
(a) The training and qualification for train or other equipment on another
roadway workers assigned the duties of track.
flagmen shall include, as a minimum, (3) Procedures to provide for stopping
the content and application of the op- the machine short of other machines or
erating rules of the railroad pertaining obstructions on the track.
to giving proper stop signals to trains (4) Methods to determine safe oper-
and holding trains clear of working ating procedures for each machine that
limits. the operator is expected to operate.
(b) Initial and periodic qualification (b) Initial and periodic qualification
of a flagman shall be evidenced by of a roadway worker to operate road-
demonstrated proficiency. way maintenance machines shall be
evidenced by demonstrated proficiency.
§ 214.353 Training and qualification of
roadway workers who provide on-
track safety for roadway work Subpart D—On-Track Roadway
groups. Maintenance Machines and
(a) The training and qualification of Hi-Rail Vehicles
roadway workers who provide for the
on-track safety of groups of roadway SOURCE: 68 FR 44407, July 28, 2003, unless
workers through establishment of otherwise noted.
working limits or the assignment and
supervision of watchmen/lookouts or § 214.501 Purpose and scope.
flagmen shall include, as a minimum: (a) The purpose of this subpart is to
(1) All the on-track safety training prevent accidents and casualties
and qualification required of the road- caused by the lawful operation of on-
way workers to be supervised and pro- track roadway maintenance machines
tected. and hi-rail vehicles.
(2) The content and application of the (b) This subpart prescribes minimum
operating rules of the railroad per- safety standards for on-track roadway
taining to the establishment of work- maintenance machines and hi-rail ve-
ing limits. hicles. An employer may prescribe ad-
(3) The content and application of the ditional or more stringent standards
rules of the railroad pertaining to the that are consistent with this subpart.
establishment or train approach warn- (c) Any working condition that in-
ing. volves the protection of employees en-
(4) The relevant physical characteris- gaged in roadway maintenance duties
tics of the territory of the railroad covered by this subpart but is not with-
upon which the roadway worker is in the subject matter addressed by this
qualified. subpart, including employee exposure
(b) Initial and periodic qualification to noise, shall be governed by the regu-
of a roadway worker to provide on lations of the U.S. Department of
track safety for groups shall be evi- Labor, Occupational Safety and Health
denced by a recorded examination. Administration.
177
§ 214.503 49 CFR Ch. II (10–1–07 Edition)
§ 214.503 Good-faith challenges; proce- (6) Functional equivalents of any of

dures for notification and resolu- the machines identified in paragraphs
tion. (a)(1) through (a)(5) of this section.
(a) An employee operating an on- (b) New on-track roadway mainte-
track roadway maintenance machine nance machines, and existing on-track
or hi-rail vehicle shall inform the em- roadway maintenance machines spe-
ployer whenever the employee makes a cifically designated by the employer, of
good-faith determination that the ma- the types identified in paragraphs (a)(1)
chine or vehicle does not comply with through (a)(5) of this section, or func-
FRA regulations or has a condition tionally equivalent thereto, shall be
that inhibits its safe operation. capable of protecting employees in the
(b) Any employee charged with oper- cabs of the machines from exposure to
ating an on-track roadway mainte- air contaminants, in accordance with
nance machine or hi-rail vehicle cov- 29 CFR 1910.1000.
ered by this subpart may refuse to op- (c) An employer shall maintain a list
erate the machine or vehicle if the em- of new and designated existing on-
ployee makes a good-faith determina- track roadway maintenance machines
tion that it does not comply with the of the types identified in paragraphs
requirements of this subpart or has a (a)(1) through (a)(5) of this section, or
condition that inhibits its safe oper- functionally equivalent thereto. The
ation. The employer shall not require list shall be kept current and made
the employee to operate the machine available to the Federal Railroad Ad-
or vehicle until the challenge resulting ministration and other Federal and
from the good-faith determination is State agencies upon request.
resolved. (d) An existing roadway maintenance
(c) Each employer shall have in place machine of the type identified in para-
and follow written procedures to assure graphs (a)(1) through (a)(5) of this sec-
prompt and equitable resolution of tion, or functionally equivalent there-
challenges resulting from good-faith to, becomes ‘‘designated’’ when the em-
determinations made in accordance ployer adds the machine to the list re-
with this section. The procedures shall quired in paragraph (c) of this section.
include specific steps to be taken by The designation is irrevocable, and the
the employer to investigate each good- designated existing roadway mainte-
faith challenge, as well as procedures nance machine remains subject to
to follow once the employer finds a paragraph (b) of this section until it is
challenged machine or vehicle does not retired or sold.
comply with this subpart or is other- (e) If the ventilation system on a new
wise unsafe to operate. The procedures on-track roadway maintenance ma-
shall also include the title and location chine or a designated existing on-track
of the employer’s designated official. roadway maintenance machine of the
type identified in paragraphs (a)(1)
§ 214.505 Required environmental con- through (a)(5) of this section, or func-
trol and protection systems for new tionally equivalent thereto, becomes
on-track roadway maintenance ma-
chines with enclosed cabs. incapable of protecting an employee in
the cab of the machine from exposure
(a) The following new on-track road- to air contaminants in accordance with
way maintenance machines shall be 29 CFR 1910.1000, personal respiratory
equipped with enclosed cabs with oper- protective equipment shall be provided
ative heating systems, operative air for each such employee until the ma-
conditioning systems, and operative chine is repaired in accordance with
positive pressurized ventilation sys- § 214.531.
tems: (f) Personal respiratory protective
(1) Ballast regulators; equipment provided under paragraph
(2) Tampers; (e) of this section shall comply with 29
(3) Mechanical brooms; CFR 1910.134.
(4) Rotary scarifiers; (g) New on-track roadway mainte-
(5) Undercutters; and
nance machines with enclosed cabs,
178
other than the types identified in para- ily accessible to the operator from the
graphs (a)(1) through (a)(5) of this sec- operator’s work station.
tion or functionally equivalent thereto, (b) Each new on-track roadway main-
shall be equipped with operative heat- tenance machine designed to be oper-
ing and ventilation systems. ated and transported by the operator in
(h) When new on-track roadway a standing position shall be equipped
maintenance machines require oper- with handholds and handrails to pro-
ation from non-enclosed stations out- vide the operator with a safe and se-
side of the main cab, the non-enclosed cure position.
stations shall be equipped, where fea- (c) Each new on-track roadway main-
sible from an engineering standpoint, tenance machine that weighs more
with a permanent or temporary roof, than 32,500 pounds light weight and is
canopy, or umbrella designed to pro- operated in excess of 20 mph shall be
vide cover from normal rainfall and equipped with a speed indicator that is
midday sun. accurate within ±5 mph of the actual
speed at speeds of 10 mph and above.
§ 214.507 Required safety equipment (d) Each new on-track roadway main-
for new on-track roadway mainte- tenance machine shall have its as-built
nance machines. light weight displayed in a conspicuous
(a) Each new on-track roadway main- location on the machine.
tenance machine shall be equipped
with: FR 8839, Feb. 26, 2004]
(1) A seat for each operator, except as
provided in paragraph (b) of this sec- § 214.509 Required visual illumination
tion; and reflective devices for new on-
(2) A safe and secure position with track roadway maintenance ma-
handholds, handrails, or a secure seat chines.
for each roadway worker transported Each new on-track roadway mainte-
on the machine. Each position shall be nance machine shall be equipped with
protected from moving parts of the ma- the following visual illumination and
chine; reflective devices:
(3) A positive method of securement (a) An illumination device, such as a
for turntables, on machines equipped headlight, capable of illuminating ob-
with a turntable, through engagement structions on the track ahead in the di-
of pins and hooks that block the de- rection of travel for a distance of 300
scent of turntable devices below the feet under normal weather and atmos-
rail head when not in use; pheric conditions;
(4) A windshield with safety glass, or (b) Work lights, if the machine is op-
other material with similar properties, erated during the period between one-
if the machine is designed with a wind- half hour after sunset and one-half
shield. Each new on-track roadway hour before sunrise or in dark areas
maintenance machine designed with a such as tunnels, unless equivalent
windshield shall also have power wind- lighting is otherwise provided;
shield wipers or suitable alternatives (c) An operative 360-degree intermit-
that provide the machine operator an tent warning light or beacon mounted
equivalent level of vision if windshield on the roof of the machine. New road-
wipers are incompatible with the wind- way maintenance machines that are
shield material; not equipped with fixed roofs and have
(5) A machine braking system capa- a light weight less than 17,500 pounds
ble of effectively controlling the move- are exempt from this requirement;
ment of the machine under normal op- (d) A brake light activated by the ap-
erating conditions; plication of the machine braking sys-
(6) A first-aid kit that is readily ac- tem, and designed to be visible for a
cessible and complies with 29 CFR distance of 300 feet under normal
1926.50(d)(2); and weather and atmospheric conditions;
(7) An operative and properly charged and
fire extinguisher of 5 BC rating or high- (e) Rearward viewing devices, such as
er which is securely mounted and read- rearview mirrors.
179
§ 214.511 49 CFR Ch. II (10–1–07 Edition)
§ 214.511 Required audible warning hand-held. The illumination device or

devices for new on-track roadway portable light shall be capable of illu-
maintenance machines. minating obstructions on the track
Each new on-track roadway mainte- ahead for a distance of 300 feet under
nance machine shall be equipped with: normal weather and atmospheric con-
(a) A horn or other audible warning ditions when the machine is operated
device that produces a sound loud during the period between one-half
enough to be heard by roadway work- hour after sunset and one-half hour be-
ers and other machine operators within fore sunrise or in dark areas such as
the immediate work area. The trig- tunnels.
gering mechanism for the device shall [68 FR 44407, July 28, 2003, as amended at 69
be clearly identifiable and within easy FR 8839, Feb. 26, 2004]
reach of the machine operator; and
(b) An automatic change-of-direction § 214.515 Overhead covers for existing
alarm which provides an audible signal on-track roadway maintenance ma-
that is at least three seconds long and chines.
is distinguishable from the surrounding (a) For those existing on-track road-
noise. Change of direction alarms may way maintenance machines either cur-
be interrupted by the machine operator rently or previously equipped with
when operating the machine in the overhead covers for the operator’s posi-
work mode if the function of the mation, defective covers shall be repaired,
chine would result in a constant, or al- and missing covers shall be reinstalled,
most constant, sounding of the device. by March 28, 2005 and thereafter main-
In any action brought by FRA to en- tained in accordance with the provi-
force the change-of-direction alarm re- sions of § 214.531.
quirement, the employer shall have the (b) For those existing on-track road-
burden of proving that use of the way maintenance machines that are
change-of-direction alarm in a par- not already equipped with overhead
ticular work function would cause a covers for the operator’s position, the
constant, or almost constant, sounding employer shall evaluate the feasibility
of the device. of providing an overhead cover on such
a machine if requested in writing by
§ 214.513 Retrofitting of existing on- the operator assigned to operate the
track roadway maintenance ma- machine or by the operator’s des-
chines; general.
ignated representative. The employer
(a) Each existing on-track roadway shall provide the operator a written re-
maintenance machine shall have a safe sponse to each request within 60 days.
and secure position with handholds, When the employer finds the addition
handrails, or a secure seat or bench po- of an overhead cover is not feasible, the
sition for each roadway worker trans- response shall include an explanation
ported on the machine. Each position of the reasoning used by the employer
shall be protected from moving parts of to reach that conclusion.
the machine. (c) For purposes of this section, over-
(b) By March 28, 2005, each existing head covers shall provide the opera-
on-track roadway maintenance ma- tor’s position with cover from normal
chine shall be equipped with a perma- rainfall and midday sun.
nent or portable horn or other audible
warning device that produces a sound § 214.517 Retrofitting of existing on-
loud enough to be heard by roadway track roadway maintenance ma-
workers and other machine operators chines manufactured on or after
within the immediate work area. The January 1, 1991.
triggering mechanism for the device In addition to meeting the require-
shall be clearly identifiable and within ments of § 214.513, after March 28, 2005
easy reach of the machine operator. each existing on-track roadway main-
(c) By March 28, 2005, each existing tenance machine manufactured on or
on-track roadway maintenance ma- after January 1, 1991, shall have the
chine shall be equipped with a perma- following:
nent illumination device or a portable (a) A change-of-direction alarm or
light that is securely placed and not rearview mirror or other rearward
180
viewing device, if either device is fea- creates a slipping, falling, or fire haz-
sible, given the machine’s design, and ard.
if either device adds operational safety
value, given the machine’s function. In § 214.521 Flagging equipment for on-
any action brought by FRA to enforce track roadway maintenance ma-
this requirement, the employer shall chines and hi-rail vehicles.
have the burden of proving that neither Each on-track roadway maintenance
device is feasible or adds operational machine and hi-rail vehicle shall have
safety value, or both, given the ma- on board a flagging kit that complies
chine’s design or work function. with the operating rules of the railroad
(b) An operative heater, when the if:
machine is operated at an ambient (a) The equipment is operated over
temperature less than 50 degrees Fahr- trackage subject to a railroad oper-
enheit and is equipped with, or has ating rule requiring flagging; and
been equipped with, a heater installed
(b)(1) The equipment is not part of a
by the manufacturer or the railroad.
(c) The light weight of the machine roadway work group; or
stenciled or otherwise clearly dis- (2) The equipment is the lead or trail-
played on the machine, if the light ing piece of equipment in a roadway
weight is known. work group operating under the same
(d) Reflective material, or a reflec- occupancy authority.
tive device, or operable brake lights. [69 FR 8839, Feb. 26, 2004]
(e) Safety glass when its glass is nor-
mally replaced, except that replace- § 214.523 Hi-rail vehicles.
ment glass that is specifically intended
for on-track roadway maintenance ma- (a) The hi-rail gear of all hi-rail vehi-
chines and is in the employer’s inven- cles shall be inspected for safety at
tory as of September 26, 2003 may be least annually and with no more than
utilized until exhausted. 14 months between inspections. Tram,
(f) A turntable restraint device, on wheel wear, and gage shall be measured
machines equipped with a turntable, to and, if necessary, adjusted to allow the
prevent undesired lowering, or a warn- vehicle to be safely operated.
ing light indicating that the turntable (b) Each employer shall keep records
is not in the normal travel position. pertaining to compliance with para-
graph (a) of this section. Records may
FR 8839, Feb. 26, 2004]
be kept on forms provided by the em-
ployer or by electronic means. The em-
§ 214.518 Safe and secure positions for ployer shall retain the record of each
riders. inspection until the next required in-
On or after March 1, 2004, a roadway spection is performed. The records
worker, other than the machine oper- shall be made available for inspection
ator, is prohibited from riding on any and copying during normal business
on-track roadway maintenance ma- hours by representatives of FRA and
chine unless a safe and secure position States participating under part 212 of
for each roadway worker on the ma- this chapter. The records may be kept
chine is clearly identified by sten- on the hi-rail vehicle or at a location
ciling, marking, or other written no- designated by the employer.
tice. (c) A new hi-rail vehicle shall be
equipped with:
[69 FR 8839, Feb. 26, 2004]
(1) An automatic change-of-direction
§ 214.519 Floors, decks, stairs, and lad- alarm or backup alarm that provides
ders of on-track roadway mainte- an audible signal at least three seconds
nance machines. long and distinguishable from the sur-
Floors, decks, stairs, and ladders of rounding noise; and
on-track roadway maintenance ma- (2) An operable 360-degree intermit-
chines shall be of appropriate design tent warning light or beacon mounted
and maintained to provide secure ac- on the outside of the vehicle.
cess and footing, and shall be free of (d)(1) The operator of a hi-rail vehicle
oil, grease, or any obstruction which shall check the vehicle for compliance
181
§ 214.525 49 CFR Ch. II (10–1–07 Edition)
with this subpart, prior to using the ve- erated for a period not exceeding 7 cal-
hicle at the start of the operator’s endar days and only during the period
work shift. between one-half hour before sunrise
(2) A non-complying condition that and one-half hour after sunset;
cannot be repaired immediately shall (2) A portable horn may be sub-
be tagged and dated in a manner pre- stituted for a non-complying or miss-
scribed by the employer and reported ing horn for a period not exceeding
to the designated official. seven calendar days;
(3) Non-complying automatic change- (3) A fire extinguisher readily avail-
of-direction alarms, backup alarms, able for use may temporarily replace a
and 360-degree intermittent warning missing, defective or discharged fire
lights or beacons shall be repaired or extinguisher on a new on-track road-
replaced as soon as practicable within way maintenance machine for a period
seven calendar days. not exceeding 7 calendar days, pending
the permanent replacement or repair of
§ 214.525 Towing with on-track road- the missing, defective or used fire ex-
way maintenance machines or hi-
rail vehicles. tinguisher;
(4) Non-complying automatic change-
(a) When used to tow pushcars or of-direction alarms, backup alarms,
other maintenance-of-way equipment, and 360-degree intermittent warning
each on-track roadway maintenance lights or beacons shall be repaired or
machine or hi-rail vehicle shall be replaced as soon as practicable within 7
equipped with a towing bar or other calendar days; and
coupling device that provides a safe (5) A structurally defective or miss-
and secure attachment. ing operator’s seat shall be replaced or
(b) An on-track roadway mainte- repaired within 24 hours or by the start
nance machine or hi-rail vehicle shall of the machine’s next tour of duty,
not be used to tow pushcars or other whichever is later. The machine may
maintenance-of-way equipment if the be operated for the remainder of the
towing would cause the machine or hi- operator’s tour of duty if the defective
rail vehicle to exceed the capabilities or missing operator’s seat does not pre-
of its braking system. In determining vent its safe operation.
the limit of the braking system, the
employer must consider the track § 214.529 In-service failure of primary
grade (slope), as well as the number braking system.
and weight of pushcars or other equip-
(a) In the event of a total in-service
ment to be towed.
failure of its primary braking system,
§ 214.527 On-track roadway mainte- an on-track roadway maintenance ma-
nance machines; inspection for chine may be operated for the remain-
compliance and schedule for re- der of its tour of duty with the use of
pairs. a secondary braking system or by cou-
(a) The operator of an on-track road- pling to another machine, if such oper-
way maintenance machine shall check ations may be done safely.
the machine components for compli- (b) If the total in-service failure of an
ance with this subpart, prior to using on-track roadway maintenance ma-
the machine at the start of the opera- chine’s primary braking system occurs
tor’s work shift. where other equipment is not available
(b) Any non-complying condition for coupling, the machine may, if it is
that cannot be repaired immediately safe to do so, travel to a clearance or
shall be tagged and dated in a manner repair point where it shall be placed
prescribed by the employer and re- out of service until repaired.
ported to the designated official.
(c) The operation of an on-track § 214.531 Schedule of repairs; general.
roadway maintenance machine with a Except as provided in §§ 214.527(c)(5),
non-complying condition shall be gov- 214.529, and 214.533, an on-track road-
erned by the following requirements: way maintenance machine or hi-rail
(1) An on-track roadway maintenance vehicle that does not meet all the re-
machine with headlights or work lights quirements of this subpart shall be
that are not in compliance may be op- brought into compliance as soon as
182
practicable within seven calendar days. port of the defect, the employer shall
If repairs are not made within seven remove the on-track roadway mainte-
calendar days, the on-track roadway nance machine or hi-rail vehicle from
maintenance machine or hi-rail vehicle on-track service until it is brought
shall be placed out of on-track service. into compliance with this subpart.
(c) If the employer fails to order a
§ 214.533 Schedule of repairs subject
to availability of parts. part necessary to repair the reported
non-complying condition, or if it fails
(a) The employer shall order a part to install an available part within the
necessary to repair a non-complying required seven calendar days, the on-
condition on an on-track roadway track roadway maintenance machine
maintenance machine or a hi-rail vehi- or hi-rail vehicle shall be removed from
cle by the end of the next business day
on-track service until brought into
following the report of the defect.
compliance with this subpart.
(b) When the employer cannot repair
a non-complying condition as required (d) Each employer shall maintain
by § 214.531 because of the temporary records pertaining to compliance with
unavailability of a necessary part, the this section. Records may be kept on
employer shall repair the on-track forms provided by the employer or by
roadway maintenance machine or hi- electronic means. The employer shall
rail vehicle within seven calendar days retain each record for at least one
after receiving the necessary part. The year, and the records shall be made
employer may continue to use the on- available for inspection and copying
track roadway maintenance machine during normal business hours by rep-
or hi-rail vehicle with a non-complying resentatives of FRA and States partici-
condition until receiving the necessary pating under part 212 of this chapter.
part(s) for repair, subject to the re- The records may be kept on the on-
quirements of § 214.503. However, if a track roadway maintenance machine
non-complying condition is not re- or hi-rail vehicle or at a location des-
paired within 30 days following the re- ignated by the employer.
APPENDIX A TO PART 214—SCHEDULE OF CIVIL PENALTIES 1

Section Violation Willful
Subpart B—Bridge Worker Safety Standards

214.103 Fall protection:
(i) Failure to provide fall protection ................................................................................................ $5,000 $10,000
(ii) Failure to use fall protection ..................................................................................................... .................... 2,500
214.105 Standards and practices:
(a) General:
(1) Fall protection used for other purposes ............................................................................ 2,500 5,000
(2) Failure to remove from service ......................................................................................... 2,500 5,000
(3) Failure to protect from deterioration .................................................................................. 2,500 5,000
(4) Failure to inspect and remove .......................................................................................... 5,000 10,000
(5) Failure to train ................................................................................................................... 5,000 10,000
(6) Failure to provide for prompt rescue ................................................................................. 5,000 10,000
(7) Failure to prevent damage ................................................................................................ 2,500 5,000
(8) Failure to use proper connectors ...................................................................................... 2,500 5,000
(9) Failure to use proper anchorages ..................................................................................... 2,500 5,000
(b) Fall arrest system:
(1)–(17) Failure to provide conforming equipment ................................................................. 2,500 5,000
(c) Safety net systems:
(1) Failure to install close to workplace .................................................................................. 2,500 5,000
(2) Failure to provide fall arrest if over 30 feet ....................................................................... 5,000 10,000
(3) Failure to provide for unobstructed fall ............................................................................. 5,000 10,000
(4) Failure to test .................................................................................................................... 2,500 5,000
(5) Failure to use proper equipment ....................................................................................... 2,500 5,000
(6) Failure to prevent contact with surface below .................................................................. 5,000 10,000
(7) Failure to properly install ................................................................................................... 5,000 10,000
(8) Failure to remove defective nets ....................................................................................... 5,000 10,000
(9) Failure to inspect ............................................................................................................... 5,000 10,000
(10) Failure to remove objects ................................................................................................ 1,000 2,500
(11)–(13) Failure to use conforming equipment ..................................................................... 2,500 10,000
214.107 Working over water:
(a)(i) Failure to provide life vest ..................................................................................................... 5,000 10,000
183
(ii) Failure to use life vest ....................................................................................................... .................... 1,500

(c) Failure to inspect ...................................................................................................................... 2,500 5,000
(e)(i) Failure to provide ring bouys ................................................................................................ 5,000 10,000
(ii) Failure to use ring bouys ................................................................................................... .................... 1,500
(f)(i) Failure to provide skiff ............................................................................................................ 1,000 2,500
(ii) Failure to use skiff ............................................................................................................. .................... 1,500
214.109 Scaffolding:
(a)–(f) Failure to provide conforming equipment ........................................................................... 2,500 5,000
214.113 Head protection:
(a)(i) Failure to provide .................................................................................................................. 2,500 5,000
(ii) Failure to use ..................................................................................................................... .................... 1,500
(b) or (c) Failure to provide conforming equipment ....................................................................... 2,500 5,000
214.115 Foot protection:
(a)(i) Failure to require use of ........................................................................................................ 2,500 5,000
(ii) Failure to use ..................................................................................................................... .................... 1,500
214.117 Eye and face protection:
(a)(i) Failure to provide .................................................................................................................. 2,500 5,000
(ii) Failure to use ..................................................................................................................... .................... 1,500
(b) Failure to use conforming equipment ....................................................................................... 2,500 5,000
(c) Use of defective equipment ...................................................................................................... 2,500 5,000
(d) Failure to provide for corrective lenses .................................................................................... 2,500 5,000
Subpart C—Roadway Worker Protection Rule
214.303 Railroad on-track safety programs, generally:
(a) Failure of a railroad to implement an On-track Safety Program .............................................. 10,000 20,000
(b) On-track Safety Program of a railroad includes no internal monitoring procedure ................. 5,000 10,000
214.305 Compliance Dates:
Failure of a railroad to comply by the specified dates .................................................................. 5,000 10,000
214.307 Review and approval of individual on-track safety programs by FRA:
(a)(i) Failure to notify FRA of adoption of On-track Safety Program ............................................ 1,000 5,000
(ii) Failure to designate primary person to contact for program review ................................. 1,000 2,000
214.309 On-track safety program documents:
(1) On-track Safety Manual not provided to prescribed employees .............................................. 2,000 5,000
(2) On-track Safety Program documents issued in fragments ...................................................... 2,000 5,000
214.311 Responsibility of employers:
(b) Roadway worker required by employer to foul a track during an unresolved challenge ........ 5,000 10,000
(c) Roadway workers not provided with written procedure to resolve challenges of on-track
safety procedures ....................................................................................................................... 5,000 10,000
214.313 Responsibility of individual roadway workers:
(b) Roadway worker fouling a track when not necessary in the performance of duty ................. .................... 1,000
(c) Roadway worker fouling a track without ascertaining that provision is made for on-track
safety .......................................................................................................................................... .................... 1,500
(d) Roadway worker failing to notify employer of determination of improper on-track safety pro-
visions ......................................................................................................................................... .................... 3,000
214.315 Supervision and communication:
(a) Failure of employer to provide job briefing .............................................................................. 2,000 10,000
(b) Incomplete job briefing ............................................................................................................. 2,000 5,000
(c)(i) Failure to designate roadway worker in charge of roadway work group .............................. 2,000 5,000
(ii) Designation of more than one roadway worker in charge of one roadway work group ... 1,000 2,000
(iii) Designation of non-qualified roadway worker in charge of roadway work group ............ 3,000 6,000
(d)(i) Failure to notify roadway workers of on-track safety procedures in effect ........................... 3,000 6,000
(ii) Incorrect information provided to roadway workers regarding on-track safety proce-
dures in effect ...................................................................................................................... 3,000 6,000
(iii) Failure to notify roadway workers of change in on-track safety procedures ................... 3,000 6,000
(e)(i) Failure of lone worker to communicate with designated employee for daily job briefing .... .................... 1,500
(ii) Failure of employer to provide means for lone worker to receive daily job briefing ......... 3,000 6,000
214.317 On-track safety procedures, generally:
On-track safety rules conflict with this part ............................................................................ 5,000 10,000
214.319 Working limits, generally:
(a) Non-qualified roadway worker in charge of working limits ...................................................... 5,000 10,000
(b) More than one roadway worker in charge of working limits on the same track segment ....... 2,000 5,000
(c)(1) Working limits released without notifying all affected roadway workers ............................. 5,000 10,000
(2) Working limits released before all affected roadway workers are otherwise protected ... 5,000 10,000
214.321 Exclusive track occupancy:
(b) Improper transmission of authority for exclusive track occupancy .......................................... 2,000 5,000
(b)(1) Failure to repeat authority for exclusive track occupancy to issuing employee .................. .................... 1,500
(2) Failure to retain possession of written authority for exclusive track occupancy .............. .................... 1,000
(3) Failure to record authority for exclusive track occupancy when issued ........................... .................... 2,000
(c) Limits of exclusive track occupancy not identified by proper physical features ...................... 2,000 4,000
(d)(1) Movement authorized into limits of exclusive track occupancy without authority of road-
way worker in charge ................................................................................................................. 5,000 10,000
(2) Movement authorized within limits of exclusive track occupancy without authority of
roadway worker in charge ................................................................................................... 5,000 10,000
(3) Movement within limits of exclusive track occupancy exceeding restricted speed with-
out authority of roadway worker in charge ......................................................................... 5,000 10,000
184
214.323 Foul time:

(a) Foul time authority overlapping movement authority of train or equipment ............................ 5,000 10,000
(b) Failure to repeat foul time authority to issuing employee ........................................................ .................... 1,500
214.325 Train coordination:
(a) Train coordination limits established where more than one train is authorized to operate ..... 1,500 4,000
(b)(1) Train coordination established with train not visible to roadway worker at the time .......... .................... 1,500
(2) Train coordination established with moving train .............................................................. .................... 1,500
(3) Coordinated train moving without authority of roadway worker in charge ....................... 2,000 5,000
(4) Coordinated train releasing movement authority while working limits are in effect ......... 3,000 6,000
214.327 Inaccessible track:
(a) Improper control of entry to inaccessible track ........................................................................ 3,000 6,000
(5) Remotely controlled switch not properly secured by control operator ............................. 3,000 6,000
(b) Train or equipment moving within inaccessible track limits without permission of roadway
worker in charge ......................................................................................................................... 3,000 6,000
(c) Unauthorized train or equipment located within inaccessible track limits ................................ 2,000 5,000
214.329 Train approach warning provided by watchmen/lookouts:
(a) Failure to give timely warning of approaching train ................................................................. .................... 5,000
(b)(1) Failure of watchman/lookout to give full attention to detecting approach of train ............... .................... 3,000
(2) Assignment of other duties to watchman/lookout ............................................................. 3,000 5,000
(c) Failure to provide proper warning signal devices .................................................................... 2,000 5,000
(d) Failure to maintain position to receive train approach warning signal .................................... .................... 2,000
(e) Failure to communicate proper warning signal ........................................................................ 1,500 3,000
(f)(1) Assignment of non-qualified person as watchman/lookout .................................................. 3,000 5,000
(2) Non-qualified person accepting assignment as watchman/lookout .................................. .................... 1,500
(g) Failure to properly equip a watchman/lookout ......................................................................... 2,000 4,000
214.331 Definite train location:
(a) Definite train location established where prohibited ................................................................ 3,000 5,000
(b) Failure to phase out definite train location by required date ................................................... 3,000 5,000
(d)(1) Train location information issued by unauthorized person .................................................. 2,000 5,000
(2) Failure to include all trains operated on train location list ................................................ 3,000 5,000
(5) Failure to clear a by ten minutes at the last station at which time is shown ................... .................... 2,000
(6) Train passing station before time shown in train location list ........................................... 3,000 5,000
(7) Non-qualified person using definite train location to establish on- track safety ............... 2,000 3,000
214.333 Informational line-ups of trains:
(a) Informational line-ups of trains used for on-track safety where prohibited .............................. 3,000 5,000
(b) Informational line-up procedures inadequate to protect roadway workers .............................. 5,000 10,000
(c) Failure to discontinue informational line-ups by required date ................................................ 5,000 10,000
214.335 On-track safety procedures for roadway work groups :
(a) Failure to provide on-track safety for a member of a roadway work group ............................ 3,000 5,000
(b) Member of roadway work group fouling a track without authority of employee in charge ...... .................... 2,000
(c) Failure to provide train approach warning or working limits on adjacent track where re-
quired .......................................................................................................................................... 3,000 5,000
214.337 On-track safety procedures for lone workers:
(b) Failure by employer to permit individual discretion in use of individual train detection .......... 5,000 10,000
(c)(1) Individual train detection used by non-qualified employee .................................................. 2,000 4,000
(2) Use of individual train detection while engaged in heavy or distracting work .................. .................... 2,000
(3) Use of individual train detection in controlled point or manual interlocking ..................... .................... 2,000
(4) Use of individual train detection with insufficient visibility ................................................ .................... 2,000
(5) Use of individual train detection with interfering noise ..................................................... .................... 2,000
(6) Use of individual train detection while a train is passing .................................................. .................... 3,000
(d) Failure to maintain access to place of safety clear of live tracks ............................................ .................... 2,000
(e) Lone worker unable to maintain vigilant lookout ...................................................................... .................... 2,000
(f)(1) Failure to prepare written statement of on-track safety ........................................................ .................... 1,500
(2) Incomplete written statement of on-track safety ............................................................... .................... 1,000
(3) Failure to produce written statement of on-track safety to FRA ....................................... .................... 1,500
214.339 Audible warning from trains:
(a) Failure to require audible warning from trains ......................................................................... 2,000 4,000
(b) Failure of train to give audible warning where required .......................................................... 1,000 3,000
214.341 Roadway maintenance machines:
(a) Failure of on-track safety program to include provisions for safety near roadway mainte-
nance machines ......................................................................................................................... 3,000 5,000
(b) Failure to provide operating instructions .................................................................................. 2,000 4,000
(1) Assignment of non-qualified employee to operate machine ............................................. 2,000 5,000
(2) Operator unfamiliar with safety instructions for machine .................................................. 2,000 5,000
(3) Roadway worker working with unfamiliar machine ........................................................... 2,000 5,000
(c) Roadway maintenance machine not clear of passing trains ................................................... 3,000 6,000
214.343 Training and qualification, general:
(a)(1) Failure of railroad program to include training provisions ................................................... 5,000 10,000
(2) Failure to provide initial training ........................................................................................ 3,000 6,000
(b) Failure to provide annual training ............................................................................................. 2,500 5,000
(c) Assignment of non-qualified railroad employees to provide on-track safety ........................... 4,000 8,000
(d)(1) Failure to maintain records of qualifications ........................................................................ 2,000 4,000
(2) Incomplete records of qualifications .................................................................................. 1,000 3,000
(3) Failure to provide records of qualifications to FRA .......................................................... 2,000 4,000
185
214.345 Training for all roadway workers

214.347 Training and qualification for lone workers
214.349 Training and qualification of watchmen/lookouts
214.351 Training and qualification of flagmen
214.353 Training and qualification of roadway workers who provide on-track safety for roadway
work groups
214.355 Training and qualification in on-track safety for operators of roadway maintenance ma-
chines
Subpart D—On-Track Roadway Maintenance Machines and Hi-Rail Vehicles
214.503 Good-faith challenges; procedures for notification and resolution:
(a) Failure of employee to notify employer that the machine or vehicle does not comply
with this subpart or has a condition inhibiting safe operation ............................................ .................... 4,000
(b) Roadway worker required to operate machine or vehicle when good-faith challenge not
resolved ............................................................................................................................... 5,000 10,000
(c) Failure of employer to have or follow written procedures to resolve good-faith chal-
lenges .................................................................................................................................. 5,000 10,000
214.505 Required environmental control and protection systems for new on-track roadway main-
tenance machines with enclosed cabs:
(a) Failure to equip new machines with required systems ..................................................... 5,000 10,000
(b) Failure of new or existing machines to protect employees from exposure to air con-
taminants ............................................................................................................................. 5,000 10,000
(c) Failure of employer to maintain required list of machines or make list available ............ 2,000 4,000
(d) Removal of ‘‘designated machine’’ from list before retired or sold .................................. 2,000 4,000
(e) Personal respiratory protective equipment not provided when ventilation system fails ... 5,000 10,000
(f) Personal respiratory protective equipment fails to meet required standards .................... 5,000 10,000
(g) Other new machines with enclosed cabs not equipped with operable heating and ven-
tilation systems .................................................................................................................... 5,000 10,000
(h) Non-enclosed station not equipped with covering, where feasible .................................. 5,000 10,000
214.507 Required safety equipment for new on-track roadway maintenance machines:
(a)(1)–(5) Failure to equip new machine or provide protection as specified in these para-
graphs .................................................................................................................................. 5,000 10,000
(a)(6)–(7) Failure to equip new machine with first-aid kit or operative and charged fire ex-
tinguisher ............................................................................................................................. 2,500 5,000
(b) Position for operator to stand not properly equipped to provide safe and secure posi-
tion ....................................................................................................................................... 5,000 10,000
(c) New machine not equipped with accurate speed indicator, as required. ......................... 2,500 5,000
(d) As-built light weight not conspicuously displayed on new machine ................................. 2,500 5,000
214.509 Required visual illumination and reflective devices for new on-track roadway mainte-
nance machines ................................................................................................................................. 2,500 5,000
214.511 Required audible warning devices for new on-track roadway maintenance machines ....... 5,000 10,000
214.513 Retrofitting of existing on-track roadway maintenance machines; general:
(a) Failure to provide safe and secure position and protection from moving parts 2,000
4,000 inside cab for each roadway worker transported on machine ................................. 5,000 10,000
(b) Horn or other audible warning device is missing, inoperable, or has non-compliant trig-
gering mechanism ............................................................................................................... 2,500 5,000
(c) Illumination device or portable light missing, inoperable, improperly secured, or incapa-
ble of illuminating track as required .................................................................................... 2,500 5,000
214.515 Overhead covers for existing on-track roadway maintenance machines:
(a) Failure to repair, reinstall, or maintain overhead cover as required ................................. 5,000 10,000
(b) Failure to provide written response to operator’s request within 60 days ........................ 2,000 4,000
214.517 Retrofitting of existing on-track roadway maintenance machines manufactured on or after
January 1, 1991:
(a) Failure to equip machine with change-of-direction alarm or rearward viewing device. ... 5,000 10,000
(b) Failure to equip machine with operative heater ................................................................ 5,000 10,000
(c) Failure to display light weight of machine as required ..................................................... 2,500 5,000
(d) Failure to equip machine with reflective material, reflective device, or operable brake
lights .................................................................................................................................... 5,000 10,000
(e) Failure to install or replace safety glass as required ........................................................ 5,000 10,000
(f) Failure to equip machine with turntable restraint device or warning light as required ...... 5,000 10,000
214.518 Safe and secure position for riders ...................................................................................... 5,000 10,000
214.519 Floors, decks, stairs, and ladders for on-track roadway maintenance machines ................ 5,000 10,000
214.521 Flagging equipment for on-track roadway maintenance machines and hi-rail vehicles ...... 2,500 5,000
214.523 Hi-rail vehicles:
(a) Failure to inspect hi-rail gear annually .............................................................................. 5,000 10,000
(b) Failure to maintain inspection record or make record available to FRA .......................... 2,000 4,000
(c) Failure to equip new hi-rail vehicle with alarm and light or beacon as required .............. 2,500 5,000
(d)(2) Failure of operator to tag, date or report non-complying condition .............................. 2,000 4,000
(d)(3) Failure to repair or replace non-complying alarms, lights or beacons as required ..... 2,500 5,000
214.525 Towing with on-track roadway maintenance machines or hi-rail vehicles ........................... 5,000 10,000
214.527 On-track roadway maintenance machines; inspection for compliance and schedule for
repairs:
(a) Failure of operator to check on-track roadway maintenance machine for compliance .... 2,000 4,000
(b) Failure of oeprator to tag, date, or report noncomplying condition .................................. 2,000 4,000
186
(c)(1)–(4) Failure to meet requirements for operating on-track roadway maintenance ma-
chine with non-complying headlights, work lights, horn, fire extinguisher, alarm, warning
light, or beacon .................................................................................................................... 2,500 5,000
(c)(5) Failure to repair or replace defective or missing operator’s seat within required time
period ................................................................................................................................... 5,000 10,000
214.529 In-service failure of primary braking system ........................................................................ 5,000 10,000
214.531 Schedule of repairs; general ................................................................................................ 2,500 5,000
214.533 Schedule of repairs subject to availability of parts:
(a)–(c) Failure to order necessary part(s), make repair(s), or remove on-track roadway
maintenance machine or hi-rail vehicle from service as required ...................................... 2,500 5,000
(d) Failure to maintain record or make record available to FRA ........................................... 2,000 4,000
penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
[57 FR 28127, June 24, 1992, as amended at 61 FR 65981, Dec. 16, 1996; 63 FR 11620, Mar. 10, 1998;
68 FR 44412, July 28, 2003; 69 FR 8839, Feb. 26, 2004; 69 FR 30593, May 28, 2004]
PART 215—RAILROAD FREIGHT CAR Subpart D—Stenciling

SAFETY STANDARDS 215.301 General.
215.303 Stenciling of restricted cars.
Subpart A—General 215.305 Stenciling of maintenance-of-way
equipment.
Sec. APPENDIX A TO PART 215—RAILROAD FREIGHT
215.1 Scope of part. CAR COMPONENTS
215.3 Application. APPENDIX B TO PART 215—SCHEDULE OF CIVIL
215.5 Definitions. PENALTIES
215.7 Prohibited acts. APPENDIX C TO PART 215—FRA FREIGHT CAR
215.9 Movement of defective cars for repair. STANDARDS DEFECT CODE
215.11 Designated inspectors. APPENDIX D TO PART 215—PRE-DEPARTURE IN-
SPECTION PROCEDURE
215.13 Pre-departure inspection.
215.15 Periodic inspection. AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C.
2461, note; and 49 CFR 1.49.
Subpart B—Freight Car Components SOURCE: 44 FR 77340, Dec. 31, 1979, unless
215.101 Scope. otherwise noted.
SUSPENSION SYSTEM Subpart A—General

215.103 Defective wheel.
215.105 Defective axle.
§ 215.1 Scope of part.
215.107 Defective plain bearing box: General. This part prescribes minimum Fed-
215.109 Defective plain bearing box: Journal eral safety standards for railroad
lubrication system. freight cars.
215.111 Defective plain bearing.
215.113 Defective plain bearing wedge. § 215.3 Application.
215.115 Defective roller bearing. (a) Except as provided in paragraphs
215.117 Defective roller bearing adapter. (b) and (c) of this section, this part ap-
215.119 Defective freight car truck. plies to each railroad freight car in
CAR BODIES service on:
(1) Standard gage track of a railroad;
215.121 Defective car body. or
DRAFT SYSTEM (2) Any other standard gage track
while the car is being operated by, or is
215.123 Defective couplers. otherwise under the control of, a rail-
215.125 Defective uncoupling device. road.
215.127 Defective draft arrangement.
(b) Sections 215.15 and 215.303 of this
215.129 Defective cushioning device.
part do not apply to any car:
Subpart C—Restricted Equipment (1) Owned by a Canadian or Mexican
Railroad; and
215.201 Scope. (2) Having a Canadian or Mexican re-
porting mark and car number.
215.203 Restricted cars.
187
§ 215.5 49 CFR Ch. II (10–1–07 Edition)
(c) This part does not apply to a rail- (ii) Over track of a railroad—
road freight car that is: (A) For more than 30 miles in one di-
(1) Operated solely on track inside an rection; or
industrial or other non-railroad instal- (B) On a round trip of more than 60
lation; or miles;
(2) Used exclusively in dedicated (3) The cars are not freely inter-
service as defined in § 215.5(d) of this changed among railroads;
part; or (4) The words ‘‘Dedicated Service’’
(3) Maintenance-of-way equipment are stenciled, or otherwise displayed,
(including self-propelled maintenance- in clearly legible letters on each side of
of-way equipment) if that equipment is the car body;
not used in revenue service and is sten- (5) The cars have been examined and
ciled in accordance with § 215.305 of this found safe to operate in dedicated serv-
part. ice; and
(4) Operated in a passenger train and (6) The railroad must—
that is inspected, tested, maintained, (i) Notify the FRA in writing that
and operated pursuant to the require- the cars are to be operated in dedicated
ments contained in part 238 of this service;
chapter. (ii) Identify in that notice—
[44 FR 77340, Dec. 31, 1979, as amended at 65 (A) The railroads affected;
FR 41305, July 3, 2000] (B) The number and type of cars in-
volved;
§ 215.5 Definitions. (C) The commodities being carried;
As used in this part: and
(a) Break means a fracture resulting (D) The territorial and speed limits
in complete separation into parts; within which the cars will be operated;
(b) Cracked means fractured without and
complete separation into parts, except (iii) File the notice required by this
that castings with shrinkage cracks or paragraph not less than 30 days before
hot tears that do not significantly di- the cars operate in dedicated service;
minish the strength of the member are (e) In service when used in connection
not considered to be ‘‘cracked’’; with a railroad freight car, means each
(c) Railroad freight car means a car railroad freight car subject to this part
designed to carry freight, or railroad unless the car:
personnel, by rail and includes a: (1) Has a ‘‘bad order’’ or ‘‘home shop
(1) Box car; for repairs’’ tag or card containing the
(2) Refrigerator car; prescribed information attached to
(3) Ventilator car; each side of the car and is being han-
(4) Stock car; dled in accordance with § 215.9 of this
(5) Gondola car; part;
(6) Hopper car; (2) Is in a repair shop or on a repair
(7) Flat car; track;
(8) Special car; (3) Is on a storage track and is
(9) Caboose car; empty; or
(10) Tank car; and (4) Has been delivered in interchange
(11) Yard car. but has not been accepted by the re-
(d) Dedicated service means the exclu- ceiving carrier.
sive assignment of cars to the trans- (f) Railroad means all forms of non-
portation of freight between specified highway ground transportation that
points under the following conditions: run on rails or electromagnetic guide-
(1) The cars are operated— ways, including (1) commuter or other
(i) Primarily on track that is inside short-haul rail passenger service in a
an industrial or other non-railroad in- metropolitan or suburban area, and (2)
stallation; and high speed ground transportation sys-
(ii) Only occasionally over track of a tems that connect metropolitan areas,
railroad; without regard to whether they use
(2) The cars are not operated— new technologies not associated with
(i) At speeds of more than 15 miles traditional railroads. Such term does
per hour; and not include rapid transit operations
188
within an urban area that are not con- (1) A person designated under § 215.11
nected to the general railroad system shall determine:
of transportation. (i) That it is safe to move the car;
(g) State inspector means an inspector and
who is participating in investigative (ii) The maximum speed and other re-
and surveillance activities under sec- strictions necessary for safely con-
tion 206 of the Federal Railroad Safety ducting the movement;
Act of 1970 (45 U.S.C. 435). (2)(i) The person in charge of the
train in which the car is to be moved
shall be notified in writing and inform
FR 26710, Apr. 21, 1980; 54 FR 33228, Aug. 14,
1989] all other crew members of the presence
of the defective car and the maximum
§ 215.7 Prohibited acts. speed and other restrictions deter-
mined under paragraph (a)(1)(ii) of this
Any person (an entity of any type section.
covered under 1 U.S.C. 1, including but (ii) A copy of the tag or card de-
not limited to the following: a railroad; scribed in paragraph (a)(3) of this sec-
a manager, supervisor, official, or tion may be used to provide the notifi-
other employee or agent of a railroad; cation required by paragraph (a)(2)(i) of
any owner, manufacturer, lessor, or this section.
lessee of railroad equipment, track, or (3) A tag or card bearing the words
facilities; any independent contractor ‘‘bad order’’ or ‘‘home shop for repairs’’
providing goods or services to a rail- and containing the following informa-
road; and any employee of such owner, tion, shall be securely attached to each
manufacturer, lessor, lessee, or inde- side of the car—
pendent contractor) who violates any (i) The reporting mark and car num-
requirement of this part or causes the ber;
violation of any such requirement is (ii) The name of the inspecting rail-
subject to a civil penalty of at least road;
$550 and not more than $11,000 per vio- (iii) The inspection location and
lation, except that: Penalties may be date;
assessed against individuals only for (iv) The nature of each defect;
willful violations, and, where a grossly (v) Movement restrictions;
negligent violation or a pattern of re- (vi) The destination for shopping or
peated violations has created an immi- repair; and
nent hazard of death or injury to per- (vii) The signature of a person des-
sons, or has caused death or injury, a ignated under § 215.11.
penalty not to exceed $27,000 per viola- (b)(1) The tag or card required by
tion may be assessed. Each day a viola- paragraph (a)(3) of this section may
tion continues shall constitute a sepa- only be removed from the car by a per-
rate offense. See appendix B to this son designated under § 215.11 of this
part for a statement of agency civil part.
penalty policy. (2) A record or copy of each tag or
[53 FR 28599, July 28, 1988, as amended at 53 card attached to or removed from a car
FR 52925, Dec. 29, 1988; 63 FR 11620, Mar. 10, shall be retained for 90 days and, upon
1998; 69 FR 30593, May 28, 2004] request, shall be made available within
EFFECTIVE DATE NOTE: At 72 FR 51196, 15 calendar days for inspection by FRA
Sept. 6, 2007, § 215.7 was amended by removing or State inspectors.
the numerical amount ‘‘$11,000’’ and adding (3) Each tag or card removed from a
in its place the numerical amount ‘‘$16,000’’, car shall contain a notification stating
effective October 9, 2007. the date, location, reason for its re-
moval, and the signature of the person
§ 215.9 Movement of defective cars for who removed it from the car. These
repair. recordkeeping requirements have been
(a) A railroad freight car which has approved by the Office of Management
any component described as defective and Budget in accordance with the
in this part may be moved to another Federal Reports Act of 1942.
location for repair only after the rail- (c) Movement of a freight car under
road has complied with the following: paragraph (a) of this section may be
189
§ 215.11 49 CFR Ch. II (10–1–07 Edition)
made only for the purpose of effecting that inspector to determine whether
repairs. If the car is empty, it may not the car is in compliance with this part.
be placed for loading. If the car is load- (c) At a location where a person des-
ed, it may not be placed for unloading ignated under § 215.11 is not on duty for
unless unloading is consistent with de- the purpose of inspecting freight cars,
terminations made and restrictions im- the inspection required by paragraph
posed under paragraph (a)(1) of this (a) shall, as a minimum, be made for
section and— those conditions set forth in appendix
(1) The car is consigned for a destina- D to this part.
tion on the line of haul between the (d) Performance of the inspection
point where the car was found defective prescribed by this section does not re-
and the point where repairs are made; lieve a railroad of its liability under
or § 215.7 for failure to comply with any
(2) Unloading is necessary for the other provision of this part.
safe repair of the car.
(d) Nothing in this section authorizes [45 FR 26710, Apr. 21, 1980]
the movement of a freight car subject
to a Special Notice for Repairs unless § 215.15 Periodic inspection.
the movement is made in accordance (a) After June 30, 1980, a railroad may
with the restrictions contained in the not place or continue in service a
Special Notice. freight car that has not received an ini-
[44 FR 77340, Dec. 31, 1979; 45 FR 26710, Apr. tial periodic inspection in accordance
21, 1980] with 49 CFR 215.25, as in effect on Octo-
ber 6, 1976 (41 FR 44044), unless—
§ 215.11 Designated inspectors. (1) The car is a high utilization car
(a) Each railroad that operates rail- built or reconditioned after December
road freight cars to which this part ap- 31, 1977; or
plies shall designate persons qualified (2) The car is a non-high utilization
to inspect railroad freight cars for car built or reconditioned after Decem-
compliance with this part and to make ber 31, 1971.
the determinations required by § 215.9 (b) A freight car that has received an
of this part. initial periodic inspection under para-
(b) Each person designated under this graph (a) of this section shall be sten-
section shall have demonstrated to the ciled to so indicate in accordance with
railroad a knowledge and ability to in- 49 CFR 215.11 and appendix C of this
spect railroad freight cars for compli- part, as in effect on October 6, 1976 (41
ance with the requirements of this part FR 44044). This stenciling need not be
and to make the determinations re- retained on the car after June 30, 1981.
quired by § 215.9 of this part.
(c) As used in this section, ‘‘high uti-
(c) With respect to designations
lization car’’ means a car—
under this section, each railroad shall
maintain written records of: (1) Specifically equipped to carry
(1) Each designation in effect; and trucks, automobiles, containers, trail-
(2) The basis for each designation. ers, or removable trailer bodies for the
transportation of freight; or
[45 FR 26710, Apr. 21, 1980] (2) Assigned to a train that operates
in a continuous round trip cycle be-
§ 215.13 Pre-departure inspection.
tween the same two points.
(a) At each location where a freight
car is placed in a train, the freight car
shall be inspected before the train de-
Subpart B—Freight Car
parts. This inspection may be made be- Components
fore or after the car is placed in the
§ 215.101 Scope.
train.
(b) At a location where an inspector This subpart contains safety require-
designated under § 215.11 is on duty for ments prohibiting a railroad from plac-
the purpose of inspecting freight cars, ing or continuing in service a freight
the inspection required by paragraph car that has certain defective compo-
(a) of this section shall be made by nents.
190
SUSPENSION SYSTEM pronounced blue black discoloration;

or
§ 215.103 Defective wheel. (e) The surface of the plain bearing
A railroad may not place or continue journal on the axle, or the fillet on the
in service a car, if— axle, has—
(a) A wheel flange on the car is worn (1) A ridge;
to a thickness of 7⁄8 of an inch, or less, (2) A depression;
at a point 3⁄8 of an inch above the tread (3) A circumferential score;
of the wheel; (4) Corrugation;
(b) The height of a wheel flange on (5) A scratch;
the car, from the tread to the top of (6) A continuous streak;
the flange, is 11⁄2 inches, or more; (7) Pitting;
(c) The thickness of a rim of a wheel (8) Rust; or
on the car is 11⁄16 of an inch, or less; (9) Etching.
(d) A wheel rim, flange, plate, or hub
area on the car has a crack or break; § 215.107 Defective plain bearing box:
(e) A wheel on the car has a chip or General.
gouge in the flange that is 11⁄2 inches in A railroad may not place or continue
length and 1⁄2 inch in width, or more; in service a car, if the car has—
(f) A wheel on the car has— (a) A plain bearing box that does not
(1) A slid flat or shelled spot that is contain visible free oil;
more than 21⁄2 inches in length; or (b) A plain bearing box lid that is
(2) Two adjoining flat or shelled spots missing, broken, or open except to re-
each of which is more than two inches ceive servicing; or
in length; (c) A plain bearing box containing
(g) A wheel on the car shows evidence foreign matter, such as dirt, sand, or
of being loose such as oil seepage on coal dust, that can reasonably be ex-
the back hub or back plate; pected to—
(h) A wheel on the car shows signs of (1) Damage the bearing; or
having been overheated as evidenced (2) Have a detrimental effect on the
by a reddish brown discoloration, to a lubrication of the journal and the bear-
substantially equal extent on both the ings.
front and the back face of the rim, that
extends on either face more than four § 215.109 Defective plain bearing box:
inches into the plate area measured Journal lubrication system.
from the inner edge of the front or A railroad may not place or continue
back face of the rim; or, in service a car, if the car has a plain
(i) A wheel on the car has been weld- bearing box with a lubricating pad
ed unless the car is being moved for re- that—
pair in accordance with § 215.9 of this (a) Has a tear extending half the
part. length or width of the pad, or more;
[44 FR 77340, Dec. 31, 1979, as amended at 50 (b) Shows evidence of having been
FR 13382, Apr. 4, 1985] scorched, burned, or glazed;
(c) Contains decaying or deteriorated
§ 215.105 Defective axle. fabric that impairs proper lubrication
A railroad may not place or continue of the pad;
in service a car, if— (d) Has—
(a) An axle on the car has a crack or (1) An exposed center core (except by
is broken; design); or
(b) An axle on the car has a gouge in (2) Metal parts contacting the jour-
the surface that is— nal; or
(1) Between the wheel seats; and (e) Is—
(2) More than one-eighth inch in (1) Missing; or
depth; (2) Not in contact with the journal.
(c) An axle on the car, used in con-
junction with a plain bearing, has an § 215.111 Defective plain bearing.
end collar that is broken or cracked; A railroad may not place or continue
(d) A journal on the car shows evi- in service a car, if the car has a plain
dence of overheating, as evidenced by a bearing—
191
§ 215.113 49 CFR Ch. II (10–1–07 Edition)
(a) That is missing, cracked, or bro- (2) The roller bearing shall be dis-
ken; assembled from the axle and inspected
(b) On which the bearing liner— internally if—
(1) Is loose; or (i) It shows any external sign of dam-
(2) Has a broken out piece; or age;
(c) That shows signs of having been (ii) It makes any unusual noise when
overheated, as evidenced by— its wheel set is spun freely or the bear-
(1) Melted babbitt; ing is manually rotated;
(2) Smoke from hot oil; or (iii) Its truck was involved in a de-
(3) Journal surface damage. railment at a speed of more than 10
miles per hour; or
§ 215.113 Defective plain bearing
wedge. (iv) Its truck was dragged on the
ground for more than 200 feet.
A railroad may not place or continue (3) Each defective roller bearing shall
in service a car, if a plain bearing be repaired or replaced before the car is
wedge on that car is— placed back in service.
(a) Missing;
(b) Cracked; [44 FR 77340, Dec. 31, 1979, as amended at 45
(c) Broken; or FR 26711, Apr. 21, 1980]
(d) Not located in its design position.
§ 215.117 Defective roller bearing
§ 215.115 Defective roller bearing. adapter.
(a) A railroad may not place or con- A railroad may not place or continue
tinue in service a car, if the car has— in service a car, if the car has a roller
(1) A roller bearing that shows signs bearing adapter that is—
of having been overheated as evidenced (a) Cracked or broken;
by— (b) Not in its design position; or
(i) Discoloration; or (c) Worn on the crown of the adapter
(ii) Other telltale signs of over- to the extent that the frame bears on
heating such as damage to the seal or the relief portion of the adapter, as
distortion of any bearing component; shown in the figure below (see figure 1).
(2) A roller bearing with a—
§ 215.119 Defective freight car truck.
(i) Loose or missing cap screw; or
(ii) Broken, missing, or improperly A railroad may not place or continue
applied cap screw lock; or in service a car, if the car has—
(3) A roller bearing with a seal that is (a) A side frame or bolster that—
loose or damaged, or permits leakage (1) Is broken; or
of lubricant in clearly formed droplets. (2) Has a crack of 1⁄4 of an inch or
(b)(1) A railroad may not continue in more in the transverse direction on a
service a car that has a roller bearing tension member;
whose truck was involved in a derail- (b) A truck equipped with a snubbing
ment unless the bearing has been in- device that is ineffective, as evidenced
spected and tested by: by—
(i) Visual examination to determine (1) A snubbing friction element that
whether it shows any sign of damage; is worn beyond a wear indicator;
and (2) A snubber wear plate that is loose,
(ii) Spinning freely its wheel set or missing (except by design), or worn
manually rotating the bearing to de- through;
termine whether the bearing makes (3) A broken or missing snubber acti-
any unusual noise. vating spring; or
192
(4) Snubber unit that is broken, or in (f) Brake beam shelf support worn so
the case of hydraulic units, is broken excessively that it does not support the
or leaking clearly formed droplets of brake beam.
oil or other fluid.
(c) A side bearing in any of the fol- CAR BODIES
lowing conditions:
§ 215.121 Defective car body.
(1) Part of the side bearing assembly
is missing or broken; A railroad may not place or continue
(2) The bearings at one end of the car, in service a car, if:
on both sides, are in contact with the (a) Any portion of the car body,
body bolster (except by design); truck, or their appurtenances (except
(3) The bearings at one end of the car wheels) has less than a 21⁄2 inch clear-
have a total clearance from the body ance from the top of rail;
bolster of more than 3⁄4 of an inch; or (b) The car center sill is:
(4) At diagonally opposite sides of the (1) Broken;
car, the bearings have a total clearance (2) Cracked more than 6 inches; or
from the body bolsters of more than 3⁄4 (3) Permanently bent or buckled
of an inch; more than 21⁄2 inches in any six foot
(d) Truck springs— length;
(1) That do not maintain travel or (c) The car has a coupler carrier that
load; is:
(2) That are compressed solid; or (1) Broken;
(3) More than one outer spring of (2) Missing;
which is broken, or missing, in any (3) Non-resilient and the coupler has
spring cluster; a type F head.
(e) Interference between the truck (d) After December 1, 1983, the car is
bolster and the center plate that pre- a box car and its side doors are not
vents proper truck rotations; or equipped with operative hangers, or the
193
EC01AP91.002</GPH>
§ 215.123 49 CFR Ch. II (10–1–07 Edition)
equivalent, to prevent the doors from (a) The car is equipped with a coupler
becoming disengaged. shank that is bent out of alignment to
(e) The car has a center plate: the extent that the coupler will not
(1) That is not properly secured; couple automatically with the adjacent
(2) Any portion of which is missing; car;
or (b) The car has a coupler that has a
(3) That is broken; or crack in the highly stressed junction
(4) That has two or more cracks
area of the shank and head as shown in
through its cross section (thickness) at
the edge of the plate that extend to the the figure below (see figure 2).
portion of the plate that is obstructed (c) The car has a coupler knuckle
from view while the truck is in place; that is broken or cracked on the inside
or pulling face of the knuckle.
(f) The car has a broken sidesill, (d) The car has a knuckle pin or
crossbearer, or body bolster. knuckle thrower that is:
(1) Missing; or
FR 53737, Dec. 29, 1982] (2) Inoperative; or
(e) The car has a coupler retainer pin
DRAFT SYSTEM lock that is—
§ 215.123 Defective couplers.
A railroad may not place or continue
in service a car, if—
194
(1) Missing; or vertical and lateral clearance to pre-

(2) Broken; or vent—
(f) The car has a coupler with any of (a) Fouling on curves; or
the following conditions: (b) Unintentional uncouplings.
(1) The locklift is inoperative;
§ 215.127 Defective draft arrangement.
(2) The coupler assembly does not
have anticreep protection to prevent A railroad may not place or continue
unintentional unlocking of the coupler in service a car, if—
lock; or (a) The car has a draft gear that is
(3) The coupler lock is— inoperative;
(i) Missing; (b) The car has a broken yoke;
(c) An end of car cushioning unit is—
(ii) Inoperative;
(1) Leaking clearly formed droplets;
(iii) Bent; or
(iv) Cracked; or (2) Inoperative;
(v) Broken. (d) A vertical coupler pin retainer
plate—
§ 215.125 Defective uncoupling device. (1) Is missing (except by design); or
A railroad may not place or continue (2) Has a missing fastener;
in service a car, if the car has an un- (e) The car has a draft key, or draft
coupling device without sufficient key retainer, that is—
195
EC01AP91.003</GPH>
§ 215.129 49 CFR Ch. II (10–1–07 Edition)
(1) Inoperative; or (iv) The design, type component, or

(2) Missing; or other item that causes the car to be re-
(f) The car has a missing or broken stricted.
follower plate. (v) The maximum load the cars would
carry.
§ 215.129 Defective cushioning device. (vi) The maximum speed at which the
A railroad may not place or continue cars would be operated.
in service a car if it has a cushioning (vii) That each car has been exam-
device that is— ined and found to be safe to operate
(a) Broken; under the conditions set forth in the
(b) Inoperative; or petition.
(c) Missing a part— (viii) The territorial limits within
which the cars are to be operated and
unless its sliding components have
the name of each railroad that will re-
been effectively immobilized.
ceive the cars in interchange.
Subpart C—Restricted Equipment Subpart D—Stenciling
§ 215.201 Scope. § 215.301 General.
This subpart contains requirements The railroad or private car owner re-
restricting the use of certain railroad porting mark, the car number, and
freight cars. built date shall be stenciled, or other-
§ 215.203 Restricted cars. wise displayed, in clearly legible let-
ters and numbers not less than seven
(a) This section restricts the oper- inches high, except those of the built
ation of any railroad freight car that date which shall not be less than one
is— inch high:
(1) More than 50 years old, measured (a) On each side of each railroad
from the date of original construction; freight car body; and
(2) Equipped with any design or type (b) In the case of a tank car, in any
component listed in appendix A to this location that is visible to a person
part; or walking at track level beside the car.
(3) Equipped with a Duryea
underframe constructed before April 1, § 215.303 Stenciling of restricted cars.
1950, except for a caboose which is oper- (a) Each restricted railroad freight
ated as the last car in a train. car that is described in § 215.205(a) of
(b) A railroad may not place or con- this part shall be stenciled, or
tinue in service a railroad freight car marked—
described in paragraph (a) of this sec- (1) In clearly legible letters; and
tion, except under conditions approved (2) In accordance with paragraphs (b)
by the Federal Railroad Administrator. and (c) of this section.
(c) A railroad may petition the Ad- (b) The letter ‘‘R’’ shall be—
ministrator to continue in service a car (1) Placed immediately below or to
described in paragraph (a) of this sec- the right of the car number;
tion. Each petition shall be (2) The same color as the reporting
(1) Be submitted not less than 90 days mark; and
before the car is to be operated; (3) The same size as the reporting
(2) Be submitted in triplicate; and mark.
(3) State or describe the following: (c) The following terms, to the extent
(i) The name and principal business needed to completely indicate the basis
address of the petitioning railroad. for the restricted operation of the car,
(ii) The name and address of the enti- shall be placed on the car following the
ty that controls the operation and symbol ‘‘R’’ in letters not less than one
maintenance of the car involved. inch high:
(iii) The number, type, capacity, re- (1) Age.
porting marks, and car numbers of the (2) Coupler.
cars, their condition, status, and age (3) Draft.
measured from the date of original (4) Bearings.
construction. (5) Truck.
196
(6) Underframe. Dresser Lenoir car

(7) Wheels. A.S.F. (Syming- Birdsboro works
ton)
(8) Yoke.
21648–C .................. BO 7076–
§ 215.305 Stenciling of maintenance-of- A
way equipment. 22056–E .................. BO 7115
(a) Maintenance-of-way equipment 2. Bolster cast before 1927.

(including self-propelled maintenance- 3. Bolster without an identification mark
of-way equipment) described in or pattern number.
§ 215.3(c)(3) shall be stenciled, or I. 1. Truck side frames:
marked— A side frame with one of the following pat-
(1) In clearly legible letters; and tern numbers listed according to manufac-
(2) In accordance with paragraph (b) turer:
of this section.
National
(b) The letters ‘‘MW’’ must be— A.S.F. castings Buckeye Dominion
(1) At least 2 inches high; and
(2) Placed on each side of the car. 7273 ......................... 33793–1B 3–1776 TF–5100
7323 ......................... .................. F–420
[44 FR 77340, Dec. 31, 1979, as amended at 45 21362 (cast prior to
FR 26711, Apr. 21, 1980] June 1941).
APPENDIX A TO PART 215—RAILROAD Canadian

FREIGHT CAR COMPONENTS Pittsburgh steel Scullin Bettendorf steel
foundry steel foundry
List of components whose use is restricted
by § 215.203 of this part. 31673 ....................... 42–CS– UT 456 26565
180
A. Air brakes: 4–1862.
The ‘‘K’’ type. 3–1674 ..................... 4665
B. Axles: 4–2045 ..................... 4770
1. Former AAR alternate standard tubular 12897 ....................... 4942
type. 12921 ....................... 5220
2. Axle with letters ‘‘RJ’’ stamped on the 21263 ....................... 5364
end of the journal. 5364–C
5364–E
C. Couplers:
5811–A
1. AAR type ‘‘D’’, top or bottom operated.
5869–B
2. AAR type ‘‘E’’ with 5″ by 7″ shank.
6577–A
D. Draft arrangement:
1. Miner FR–16 and FR–19–F draft gears. 2. Side frame cast before 1927.
2. Farlow draft attachment.
3. Side frame without an identification
E. Plain journal bearings: mark or pattern number.
Cartridge type. 4. Side frame with an ‘‘I’’, ‘‘T’’, or ‘‘L’’ sec-
F. Roller bearings: tion compression or tension member.
1. Nippon Sieko Kabushiki Kaish (NSK) J. Wheels:
size 61⁄2″ by 12″ (marked ‘‘AAR 11’’). 1. Cast iron wheel.
2. Hyatt cylindrical bearing, all sizes 2. Cast steel wheel marked ‘‘AAR X–2.’’
(marked ‘‘AAR 2’’). 3. Southern cast steel wheel manufactured
3. SKF ‘‘Piggybacker’’ spherical roller, size before May 7, 1958.
6″ by 11″ (marked ‘‘AAR 7’’).
4. Griffin, three-riser cast steel wheel, ball
G. Trucks: rim design, 70-ton capacity.
1. Arch bar type. 5. Griffin, three-riser cast steel wheel, two-
2. Truck with cast steel pedestal side wear, 70- and 50-ton capacity, 33 inch,
frame, short wheel base, and no bolster. (marked X–5 or CS–2).
H. Truck bolsters: 6. Wrought steel wheel manufactured be-
1. A bolster with one of the following pat- fore 1927, as indicated by marking on wheel.
tern numbers listed according to manufac- 7. Cast steel wheel marked AAR X–4.
turer: 8. Davis cast steel wheel.
Dresser
9. One-wear, 70-ton Southern (ABEX) U1
Lenoir car cast steel wheels dated May 7, 1958 through
A.S.F. (Syming- Birdsboro works
ton) December 31, 1969.
A. Wheels dated May 7, 1958, to January 1,
21183–B .................. BO 5234 1458 CS–184.
1468 1964, are marked with the symbol ‘‘70T’’ cast
21183–N .................. BO 5263 1471 CS–611. on the back of the wheel plate; they are not
marked ‘‘U–1.’’
BO 7076
197
B. Wheels dated January 1, 1964 through K. Yokes:
December 31, 1969, are marked with the sym- 1. Riveted type.
bols ‘‘CJ–33’’ and ‘‘U–1’’ or ‘‘70T’’ and ‘‘U–1’’ 2. Keyless type.
cast on the back of the wheel plate. 3. Vertical key type.
APPENDIX B TO PART 215—SCHEDULE OF CIVIL PENALTIES 1

Willful viola-
Section Violation tion
Subpart A—General:
215.9 Movement for repair:
(a), (c) ....................................................................................................................... (1) (1)
(b) ............................................................................................................................. $2,500 $5,000
215.11 Designation of qualified persons .............................................................................. 2,500 5,000
215.13 Pre-departure inspection .......................................................................................... 2,000 4,000
Subpart B—Freight Car Components:
215.103 Defective wheel:
(a) Flange thickness of:
(1) 7/8″ or less but more than 13⁄16″ .......................................................... 2,500 5,000
(2) 13⁄16″ or less .......................................................................................... 5,000 7,500
(b) Flange height of:
(1) 11⁄2″ or greater but less than 15⁄8″ ....................................................... 2,500 5,000
(2) 15⁄8″ or more ......................................................................................... 5,000 7,500
(c) Rim thickness of:
(1) 11⁄16″ or less but more than 5⁄8″ ........................................................... 2,500 5,000
(2) 5⁄8″ or less ............................................................................................. 5,000 7,500
(d) Wheel rim, flange plate hub width:
(1) Crack of less than 1″ ............................................................................ 2,500 5,000
(2) Crack of 1″ or more .............................................................................. 5,000 7,500
(3) Break .................................................................................................... 5,000 7,500
(e) Chip or gouge in flange of:
(1) 11⁄2″ or more but less than 15⁄8″ in length; and 1⁄2″ or more but less
than 5⁄8″ in width. .................................................................................... 2,500 5,000
(2) 15⁄8″ or more in length; or 5⁄8″ or more in width ................................... 5,000 7,500
(f) Slid flat or shelled spot(s):
(1)(i) One spot more than 21⁄2″, but less than 3″, in length ...................... 2,500 5,000
(ii) One spot 3″ or more in length .......................................................... 5,000 7,500
(2)(i) Two adjoining spots each of which is more than 2″ but less than
21⁄2″ in length .......................................................................................... 2,500 5,000
(ii) Two adjoining spots both of which are at least 2″ in length, if either
spot is 21⁄2″, or more in length ............................................................... 5,000 7,500
(g) Loose on axle 6,000 8,500
(h) Overheated; discoloration extending:
(1) more than 4″ but less than 41⁄2″ .......................................................... 2,500 5,000
(2) 41⁄2″ or more ......................................................................................... 5,000 7,500
(i) Welded 5,000 7,500
215.105 Defective axle:
(a)(1) Crack of 1″ or less. ......................................................................................... 2,500 5,000
(2) Crack of more than 1″ ..................................................................................... 5,000 7,500
(3) Break ............................................................................................................... 6,000 8,500
(b) Gouge in surface that is between the wheel seats and is more than 1⁄8″ in
depth ..................................................................................................................... 2,500 5,000
(c) End collar with crack or break ............................................................................ 2,500 5,000
(d) Journal overheated ............................................................................................. 5,000 7,500
(e) Journal surface has: a ridge; a depression; a circumferential score; corruga-
tion; a scratch; a continuous streak; pitting; rust; or etching ............................... 2,500 5,000
215.107 Defective plain bearing box: general:
(a)(1) No visible free oil ............................................................................................ 1,500 3,000
(2) Lubricating pad dry (no expression of oil observed when pad is com-
pressed) ................................................................................................................ 5,000 7,500
(b) Box lid is missing, broken, or open except to receive servicing ........................ 1,000 2,000
(c) Contains foreign matter that can be expected to damage the bearing or have
a detrimental effect on the lubrication of the journal and bearing ....................... 2,500 5,000
215.109 Defective plain bearing box: journal lubrication system:
(a) Lubricating pad has a tear .................................................................................. 1,000 2,000
(b) Lubricating pad scorched, burned, or glazed ..................................................... 2,500 5,000
(c) Lubricating pad contains decaying or deteriorating fabric .................................. 2,500 5,000
(d) Lubricating pad has an exposed center core or metal parts contacting the
journal ................................................................................................................... 2,500 5,000
(e) Lubricating pad is missing or not in contact with the journal ............................. 5,000 7,500
215.111 Defective plain bearing:
(a) Missing ................................................................................................................ 5,000 7,500
(b) Bearing liner is loose or has piece broken out ................................................... 2,500 5,000
198
Willful viola-
(c) Overheated .......................................................................................................... 5,000 7,500

215.113 Defective plain bearing wedge:
(a) Missing ................................................................................................................ 5,000 7,500
(b) Cracked ............................................................................................................... 2,500 5,000
(c) Broken ................................................................................................................. 5,000 7,500
(d) Not located in its design position ........................................................................ 5,000 7,500
215.115 Defective roller bearing:
(a)(1) Overheated ..................................................................................................... 5,000 7,500
(2) (i) Cap screw(s) loose ..................................................................................... 2,500 5,000
(ii) Cap screw lock broken, missing or improperly applied .................... 1,000 2,000
(3) Seal is loose or damaged, or permits leakage of lubricant ............................ 2,500 5,000
(b)(1) Not inspected and tested after derailment ..................................................... 2,500 5,000
(2) Not disassembled after derailment ................................................................. 2,500 5,000
(3) Not repaired or replaced after derailment ....................................................... 5,000 7,500
215.117 Defective roller bearing adapter:
(a) Cracked or broken .............................................................................................. 2,500 5,000
(b) Not in its design position .................................................................................... 5,000 7,500
(c) Worn on the crown .............................................................................................. 2,500 5,000
215.119 Defective freight car truck:
(a)(1) A side frame or bolster that is broken ............................................................ 5,000 7,500
(2)(i) Side frame or bolster with crack of: 1⁄4″ or more, but less than 1″ ............. 2,500 5,000
(ii) 1″ or more ......................................................................................... 5,000 7,500
(b) A snubbing device that is ineffective or missing ................................................ 2,500 5,000
(c) Side bearing(s):
(1) Assembly missing or broken ................................................................ 5,000 7,500
(2) In contact except by design ................................................................. 5,000 7,500
(3), (4) Total clearance at one end or at diagonally opposite sides of:.
(i) more than 3⁄4″ but not more than 1″ .................................................. 2,500 5,000
(ii) more than 1″ ...................................................................................... 5,000 7,500
(d) Truck spring(s):
(1) Do not maintain travel or load .............................................................. 2,500 5,000
(2) Compressed solid ................................................................................. 2,500 5,000
(3) Outer truck springs broken or missing:
(i) Two outer springs .............................................................................. 2,500 5,000
(ii) Three or more outer springs ............................................................. 5,000 7,500
(e) Truck bolster-center plate interference ............................................................... 5,000 7,500
(f) Brake beam shelf support worn ........................................................................... 2,500 5,000
215.121 Defective car body:
(a) Has less than 21⁄2″ clearance from the top of rail .............................................. 2,500 5,000
(b) Car center sill is:
(1) Broken .................................................................................................. 6,000 8,500
(2) Cracked more than 6″ .......................................................................... 2,500 5,000
(3) Bent or buckled more than 21⁄2″ in any 6′ length ................................ 2,500 5,000
(c) Coupler carrier that is broken or missing ........................................................... 2,500 5,000
(d) Car door not equipped with operative safety hangers ....................................... 5,000 7,500
(e)(1) Center plate not properly secured .................................................................. 5,000 7,500
(2) Portion missing ................................................................................................ 2,500 5,000
(3) Broken ............................................................................................................. 5,000 7,500
(4) Two or more cracks ........................................................................................ 2,500 5,000
(f) Broken sidesill, crossbearer, or body bolster ...................................................... 2,500 5,000
215.123 Defective couplers:
(a) Shank bent out of alignment ............................................................................... 1,000 2,000
(b) Crack in highly stressed junction area. .............................................................. 2,500 5,000
(c) Coupler knuckle broken or cracked .................................................................... 2,500 5,000
(d) Coupler knuckle pin or thrower that is missing or inoperative. .......................... 2,500 5,000
(e) Coupler retainer pin lock that is missing or broken ............................................ 1,000 2,000
(f) Coupler with following conditions: locklift inoperative; no anticreep protection;
or coupler lock is missing, inoperative, bent, cracked, or broken ........................ 2,500 5,000
215.125 Defective uncoupling device .................................................................................. 2,500 5,000
215.127 Defective draft arrangement:
(a) Draft gear that is inoperative .............................................................................. 2,500 5,000
(b) Yoke that is broken ............................................................................................. 2,500 5,000
(c) End of car cushioning unit is leaking or inoperative ........................................... 2,500 5,000
(d) Vertical coupler pin retainer plate missing or has missing fastner .................... 5,000 7,500
(e) Draft key or draft key retainer that is inoperative or missing ............................. 5,000 7,500
(f) Follower plate that is missing or broken .............................................................. 2,500 5,000
215.129 Defective cushioning device ................................................................................... 2,500 5,000
Subpart C—Restricted equipment:
215.203 Restricted cars ....................................................................................................... 2,500 5,000
Subpart D—Stencilling:
215.301 General ................................................................................................................... 1,000 2,000
215.303 Stencilling of restricted cars ................................................................................... 1,000 2,000
199
Willful viola-
215.305 Stencilling of maintenance-of-way ......................................................................... 1,000 2,000

1A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these
regulations are discovered with respect to a single freight car that is placed or continued in service by a railroad, the appropriate
penalties set forth above are aggregated up to a maximum of $10,000 per day. However, a failure to perform, with respect to a
particular freight car, the predeparture inspection required by § 215.13 of this part will be treated as a violation separate and dis-
tinct from, and in addition to, any substantive violative conditions found on the car. The Administrator reserves the right to assess
a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
Failure to observe any condition for movement set forth in paragraphs (a) and (c) of § 215.9 will deprive the railroad of the
benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the
particular regulatory section(s) concerning the substantive defect(s) present on the freight car at the time of movement.
Maintenance-of-way equipment not stenciled in accordance with § 215.305 is subject to all requirements of this part. See
§ 215.3(c)(3).
[53 FR 52925, Dec. 29, 1988, as amended at 63 FR 11620, Mar. 10, 1998; 69 FR 30593, May 28, 2004]
EFFECTIVE DATE NOTE: At 72 FR 51196, Car Bodies

Sept. 6, 2007, footnote 1 to appendix B to part
215.121 Defective Car Body.
215 was amended by removing the numerical
amount ‘‘$10,000’’ and adding in its place the Draft System
numerical amount ‘‘$16,000’’, effective Octo-
ber 9, 2007. 215.123 Defective Couplers.
215.125 Defective Uncoupling Device.
APPENDIX C TO PART 215—FRA FREIGHT 215.127 Defective Draft Arrangement.
CAR STANDARDS DEFECT CODE 215.129 Defective Cushioning Device.
Restricted Equipment
The following defect code has been estab-
lished for use by FRA and State inspectors 215.203 Restricted Cars.
to report defects observed during inspection
of freight cars. The purpose of the code is to Stenciling
establish a uniform language among FRA, 215.301 Improper Stenciling.
States, and the railroad industry that will 215.303 Improper Stenciling of Restricted
facilitate communication, recordkeeping, Cars.
and statistical analyses. The code may not 215.305 Improper Stenciling of Maintenance-
be substituted for the description of defects of-Way Equipment.
on bad order tags affixed to cars being moved
for repair under § 215.9. However, it may be Description of Defects
used to supplement that description.
215.009 Failure to meet conditions for move-
INDEX ment of defective cars for repairs.
215.011 Designation of Qualified Persons.
General (A)(1) Railroad fails to designate persons
qualified to inspect freight cars;
215.009 Improper Movement of Defective (2) Persons designated does not have
Cars. knowledge and ability to inspect freight
215.011 Designation of Qualified Persons. cars for compliance with the require-
215.013 Failure to Perform a Pre-departure ments of this part.
Inspection. (B) Railroad fails to maintain written
215.015 Failure to Complete Initial Periodic record of:
Inspection as Required. (1) Each designation in effect;
(2) The basis for this designation.
FREIGHT CAR COMPONENTS 215.013 Failure to perform pre-departure in-
spection.
Suspension System 215.015 Periodic Inspection.
215.103 Defective Wheel. (A) Railroad fails to perform the periodic
215.105 Defective Axle. inspection as required by June 30, 1980
215.107 Defective Plain Bearing Box: Gen- on:
eral. (1) High utilization car built prior to De-
cember 31, 1977;
215.109 Defective Plain Bearing Box: Jour-
(2) Non-high utilization car built prior to
nal Lubrication System.
December 31, 1971;
215.111 Defective Plain Bearing. (B) A freight car improperly stenciled for
215.113 Defective Plain Bearing Wedge. periodic inspection.
215.115 Defective Roller Bearing. 215.103 Defective Wheel.
215.117 Defective Roller Bearing Adapter. (A)(1) Flanges 7⁄8″ or less at 3⁄8″ above the
215.119 Defective Freight Car Truck. tread;
200
(2) Flanges 13⁄16″ or less at 3⁄8″ above the (2) Broken out piece.
tread; (C) Overheated as evidenced by:
(3) Flanges 3⁄4″ or less at 3⁄8″ above the (1) Melted babbit;
tread; (2) Smoke from hot oil;
(B)(1) Flange is 11⁄2″ or more from the tread (3) Journal surface damaged.
to top of flange; 215.113 Defective plain bearing wedge.
(2) Flange is 15⁄8″ or more from the tread to (A) Missing.
top of flange; (B) Cracked.
(3) Flange is 13⁄4″. (C) Broken.
(C)(1) Rim thickness is 11⁄16″ or less; (D) Not located in design position.
(2) Rim thickness is 5⁄8″ or less; 215.115 Defective roller bearing.
(3) Rim thickness is 9⁄16″ or less; (A)(1) Overheated;
(D) Wheel cracked or broken in: (1) rim, (2) (2) Loose or missing cap screw;
flange, (3) plate or (4) hub area. (3) Roller bearing seal loose or damaged
(E) Wheel chip or gouge in flange: permitting loss of lubricant;
(1) 11⁄2″ length and 1⁄2″ in width or more; (4) Two or more missing cap screws.
(2) 15⁄8″ length and 5⁄8″ in width or more; (B)(1) Failure to inspect if involved in de-
(3) 13⁄4″ in length and 3⁄4″ in width or more. railment;
(F) Wheel has slid flat spot or shelled spot: (2) Failure to disassemble if required under
(1) 21⁄2″ in length or more; this part;
(2) Has two adjoining flat spots each of (3) Failure to repair or replace defective
which is 2″ in length or greater; roller bearings.
(3) A single flat spot 3″ in length or more; 215.117 Defective roller bearing adapter.
(4) Has two adjoining flat spots one of (A) Cracked or broken.
which is at least 2″ in length and the (B) Not in design position.
other is 21⁄2″ or greater. (C) Worn excessively as shown on Figure 1
(G) Has a loose wheel. in relief portion.
(H) Overheated with discoloration extend- 215.119 Defective freight car trucks.
ing: (1) More than 4″; (2) 41⁄2″ or more. (A)(1) Side frame or bolster broken;
(I) A welded wheel on car that is not mov- (2) Cracked 1⁄4″ or more in transverse direc-
ing for repairs. tion on tension member;
215.105 Defective Axle. (3) Cracked 1″ or more in transverse direc-
(A) Cracked or broken: tion on tension member.
(1) Cracked 1′ or less; (B) Has ineffective snubbing devices.
(2) Cracked greater than 1″; (C)(1) Missing or broken side bearing;
(3) Broken or cracked with visible separa- (2) Side bearing in contact except by de-
tion of metal. sign;
(B) Gouge between wheel seats more than (3) Excessive side bearing clearance at one
1⁄8″ in depth: end of car;
(C) Broken or cracked end collar on plain (4) Excessive side bearing clearance on op-
bearing axle. posite sides at diagonal ends of car.
(D) Overheated journal. (D)(1) Has truck springs that will not
(E) Surface of plain bearing journal or fil- maintain travel or load;
let has (1) ridge, (2) depression, (3) cir- (2) Truck springs that are compressed
cumferential score, (4) corrugation, (5) solid;
scratch, (6) continuous streak, (7) pit- (3) Has two springs broken in a cluster;
ting, (8) rust, (9) etching. (4) Has three or more springs broken.
215.107 Defective plain bearing box. (E) Truck bolster and center plate inter-
(A) (1) Does not contain visible free oil; ference preventing rotation.
(2) A journal box with dry pad. (F) Has broken beam shelf supports worn
(B) Lid is missing, broken or open except so that shelf will not support beam.
to receive service. 215.121 Defective car body.
(C) Box has foreign matter that will dam- (A) Improper clearance—less than 21⁄2″ from
age bearing or prevent lubrication. top of rail.
215.109 Defective plain bearing box: journal (B) Center sill is:
lubrication system. (1) Broken;
(A) Pad torn half the length or width. (2) Cracked more than 6″;
(B) Scorched, burned or glazed. (3) Bent or buckled more than 21⁄2″ in any
(C) Contains decaying or deteriorated fab- 6-foot length.
ric. (C) Coupler carrier is:
(D) Has exposed core except by design of (1) Broken;
metal parts in contact with journal. (2) Missing;
(E)(1) Missing; (3) Non-resilient when used with coupler
(2) Not in contact with journal. with F head.
215.111 Defective plain bearing. (D) Car door not equipped with operative
(A) Missing, cracked or broken. safety hangers.
(B)(1) Bearing lining is loose; (E) If center plate:
201
Pt. 215, App. D 49 CFR Ch. II (10–1–07 Edition)
(1) Any portion missing; 1. Car body:
(2) Broken or cracked as defined in this (a) Leaning or listing to side.
part. (b) Sagging downward.
(F) Broken side sills, crossbars or body bol- (c) Positioned improperly on truck.
ster. (d) Object dragging below.
215.123 Defective couplers. (e) Object extending from side.
(A) Coupler shank bent. (f) Door insecurely attached.
(B) Coupler cracked in highly stressed area (g) Broken or missing safety appliance.
of head and shank. (h) Lading leaking from a placarded haz-
(C) Coupler knuckle broken. ardous material car.
(D) Coupler knuckle pin or knuckle throw: 2. Insecure coupling.
(1) Missing; 3. Overheated wheel or journal.
(2) Inoperative. 4. Broken or extensively cracked wheel.
(E) Coupler retainer pin lock: 5. Brake that fails to release.
(1) Missing; 6. Any other apparent safety hazard likely
(2) Broken. to cause an accident or casualty before the
(F)(1) Coupler locklift is inoperative; train arrives at its destination.
(2) No anti-creep protection;
[45 FR 26711, Apr. 21, 1980]
(3) Coupler lock is (i) missing, (ii) inoper-
ative, (iii) bent, (iv) cracked or (v) bro-
ken. PART 216—SPECIAL NOTICE AND
215.125 Defective uncoupling device. EMERGENCY ORDER PROCE-
(A) Fouling on curve.
(B) Unintentional uncoupling.
DURES: RAILROAD TRACK, LO-
215.127 Defective draft arrangement. COMOTIVE AND EQUIPMENT
(A) Draft gear inoperative.
(B) Broken yoke. Subpart A—General
(C) End of car cushioning unit:
(1) Leaking; Sec.
(2) Inoperative. 216.1 Application.
(D) Vertical coupler pin retainer plate: 216.3 Definitions.
(1) Missing; 216.5 Delegation and general provisions.
(2) Has missing fastener. 216.7 Penalties.
(E) Draft key or key retainer:
(1) Inoperative; Subpart B—Special Notice for Repairs
(2) Missing.
216.11 Special notice for repairs—railroad
(F) Follower plate missing or broken.
freight car.
215.129 Defective cushioning device unless 216.13 Special notice for repairs—loco-
effectively immobilized. motive.
(A) Broken. 216.14 Special notice for repairs—passenger
(B) Inoperative. equipment.
(C) Missing parts. 216.15 Special notice for repairs—track
215.203 Operating a restricted car, except class.
under conditions approved by FRA. 216.17 Appeals.
Stenciling
Subpart C—Emergency Order—Track
215.301 Failure to stencil car number and
built date on freight car as required. 216.21 Notice of track conditions.
215.303 Failure to stencil restricted car as 216.23 Consideration of recommendation.
required. 216.25 Issuance and review of emergency
215.305 Failure to stencil maintenance-of- order.
way equipment as required. 216.27 Reservation of authority and discre-
tion.
APPENDIX D TO PART 215—PRE- AUTHORITY: 49 U.S.C. 20102–20104, 20107,
DEPARTURE INSPECTION PROCEDURE 20111, 20133, 20701–20702, 21301–21302, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.49.
At each location where a freight car is
placed in a train and a person designated SOURCE: 41 FR 18657, May 6, 1976, unless
under § 215.11 is not on duty for the purpose otherwise noted.
of inspecting freight cars, the freight car
shall, as a minimum, be inspected for the im- Subpart A—General
minently hazardous conditions listed below
that are likely to cause an accident or cas- § 216.1 Application.
ualty before the train arrives at its destina-
tion. These conditions are readily discover- (a) This part applies, according to its
able by a train crew member in the course of terms, to each railroad that uses or op-
erates—
a customary inspection.
202
(1) A railroad freight car subject to road; and any employee of such owner,
part 215 of this chapter; manufacturer, lessor, lessee, or inde-
(2) A locomotive subject to 49 U.S.C. pendent contractor) who violates any
chapter 207 (49 U.S.C. 20701–03); or requirement of this part or causes the
(3) Railroad passenger equipment violation of any such requirement is
subject to part 238 of this chapter. subject to a civil penalty of at least
(b) This part applies, according to its $550 and not more than $11,000 per vio-
terms, to each railroad owning track lation, except that: Penalties may be
subject to part 213 of this chapter. assessed against individuals only for
willful violations, and, where a grossly
[41 FR 18657, May 6, 1976, as amended at 64
FR 25659, May 12, 1999]
negligent violation or a pattern of re-
peated violations has created an immi-
§ 216.3 Definitions. nent hazard of death or injury to per-
sons, or has caused death or injury, a
As used in this part—
(a) FRA means the Federal Railroad
tion may be assessed. Each day a viola-
Administration.
tion continues shall constitute a sepa-
(b) State means a State participating
rate offense. See 49 CFR part 209, ap-
in investigative and surveillance ac- pendix A.
tivities under 49 U.S.C. 20105.
(c) Inspector includes FRA Regional [53 FR 28599, July 28, 1988, as amended at 63
Supervisors of Inspectors. FR 11620, Mar. 10, 1998; 69 FR 30593, May 28,
2004]
FR 25659, May 12, 1999] EFFECTIVE DATE NOTE: At 72 FR 51196,
Sept. 6, 2007, § 216.7 was amended by removing
the numerical amount ‘‘$11,000’’ and adding
§ 216.5 Delegation and general provi-
in its place the numerical amount ‘‘$16,000’’,
sions.
effective October 9, 2007.
(a) The Administrator has delegated
to the appropriate FRA and State per- Subpart B—Special Notice for
sonnel the authority to implement this Repairs
part.
(b) Communications to the Adminis-
trator relating to the operation of this EDITORIAL NOTE: Nomenclature changes to
subpart B of part 216 appear at 64 FR 25659,
part should be submitted in triplicate May 12, 1999.
to the Docket Clerk, Office of Chief
Counsel, Federal Railroad Administra- § 216.11 Special notice for repairs—
tion, Washington, DC 20590. railroad freight car.
(c) The notices prescribed in §§ 216.11, (a) When an FRA Motive Power and
216.13, 216.14, 216.15, and 216.21 of this Equipment Inspector or a State Equip-
part are issued on standard FRA forms ment Inspector determines that a rail-
indicating the particular subject mat- road freight car is not in conformity
ter. An inspector issues a notice by de- with the requirements of the FRA
livering it to an appropriate officer or Freight Car Safety Standards set forth
agent immediately responsible for the in part 215 of this chapter and that it is
affected locomotive, car, or track. unsafe for further service, he notifies
[41 FR 18657, May 6, 1976, as amended at 41 the railroad in writing that the car is
FR 43153, Sept. 30, 1976; 64 FR 25659, May 12, not in serviceable condition. The Spe-
1999] cial Notice sets out and describes the
defects that cause the car to be in un-
§ 216.7 Penalties. serviceable condition. After receipt of
Any person (an entity of any type the Special Notice, the railroad shall
covered under 1 U.S.C. 1, including but remove the car from service until it is
not limited to the following: a railroad; restored to serviceable condition. The
a manager, supervisor, official, or car may not be deemed to be in service-
other employee or agent of a railroad; able condition until it complies with
any owner, manufacturer, lessor, or all applicable requirements of part 215
lessee of railroad equipment, track, or of this chapter.
facilities; any independent contractor (b) The railroad shall notify the FRA
providing goods or services to a rail- Regional Administrator in writing
203
§ 216.13 49 CFR Ch. II (10–1–07 Edition)
when the equipment is returned to conformity with one or more of the re-
service, specifying the repairs com- quirements of the FRA Passenger
pleted. Equipment Safety Standards set forth
(c) A railroad freight car subject to in part 238 of this chapter and that it is
the notice prescribed in paragraph (a) unsafe for further service, he or she
of this section may be moved from the will issue a written Special Notice to
place where it was found to be unsafe the railroad that the equipment is not
for further service to the nearest avail- in serviceable condition. The Special
able point where the car can be re- Notice describes the defect or defects
paired, if such movement is necessary that cause the equipment to be in un-
to make such repairs. However, the serviceable condition. After receipt of
movement is subject to the further re- the Special Notice, the railroad shall
strictions of § 215.9 of this chapter. remove the equipment from service
until it is restored to serviceable con-
FR 43153, Sept. 30, 1976] dition. The equipment may not be
deemed in serviceable condition until
§ 216.13 Special notice for repairs—lo- it complies with all applicable require-
comotive. ments of part 238 of this chapter.
(a) When an FRA Motive Power and (b) The railroad shall notify in writ-
Equipment Inspector or State Equip- ing the FRA Regional Administrator
ment Inspector determines a loco- for the FRA region in which the Spe-
motive is not safe to operate in the cial Notice was issued when the equip-
service to which it is put, whether by ment is returned to service, specifying
reason of nonconformity with the FRA the repairs completed.
Railroad Locomotive Safety Standards (c) Railroad passenger equipment
set forth in part 229 of this chapter or subject to a Special Notice may be
the FRA Railroad Locomotive Inspec- moved from the place where it was
tion Regulations set forth in part 230 of found to be unsafe for further service
this chapter or by reason of any other to the nearest available point where
condition rendering the locomotive un- the equipment can be repaired, if such
safe, he or she will notify the railroad movement is necessary to make the re-
in writing that the locomotive is not in pairs. However, the movement is sub-
serviceable condition. After receipt of ject to the further restrictions of
the Special Notice, the railroad shall §§ 238.15 and 238.17 of this chapter.
remove the locomotive from service [64 FR 25659, May 12, 1999]
until it is restored to serviceable con-
dition. The locomotive may not be § 216.15 Special notice for repairs—
deemed to be in serviceable condition track class.
until it complies with all applicable re- (a) When an FRA Track Inspector or
quirements of parts 229 and 230 of this State Track Inspector determines that
chapter and until all additional defi- track does not comply with the re-
ciencies identified in the Special No- quirements for the class at which the
tice have been corrected. track is being operated, as defined in
(b) The carrier shall notify the FRA the Track Safety Standards (49 CFR
Regional Administrator in writing part 213), he notifies the railroad in
when the locomotive is returned to writing that the track is being lowered
service, specifying the repairs com- in class and that operations over that
pleted. The carrier officer or employee track must comply with the speed limi-
directly responsible for the repairs tations prescribed in part 213 of this
shall subscribe this writing under oath. chapter. The notice describes the con-
[41 FR 18657, May 6, 1976, as amended at 64 ditions requiring the track to be low-
FR 25659, May 12, 1999] ered in class, specifies the exact loca-
tion of the affected track segment, and
§ 216.14 Special notice for repairs— states the highest class and cor-
passenger equipment. responding maximum speeds at which
(a) When an FRA Motive Power and trains may be operated over that
Equipment Inspector or a State Equip- track. After receipt of such notice, the
ment Inspector determines that rail- speeds at which trains operate over
road passenger equipment is not in that track shall not exceed the stated
204
maximum permissible speeds, until Subpart C—Emergency Order—

such time as the track conforms to ap- Track
plicable standards for a higher class.
(b) The railroad shall notify the FRA § 216.21 Notice of track conditions.
Regional Administrator in writing (a) When an FRA Track Inspector or
when the track is restored to a condi- State Track Inspector finds track con-
tion permitting operations at speeds ditions which may require the issuance
authorized for a higher class, speci- of an Emergency order removing the
fying the repairs completed. track from service under section 203,
[41 FR 43153, Sept. 30, 1976] Public Law No. 91–458, 84 Stat. 972 (45
U.S.C. 432), the Inspector may issue a
§ 216.17 Appeals. notice to the railroad owning the
track. The notice sets out and de-
(a) Upon receipt of a Special Notice
scribes the conditions found by the In-
prescribed in §§ 216.11, 216.13, 216.14, or
spector and specifies the location of de-
216.15, a railroad may appeal the deci-
fects on the affected track segment.
sion of the Inspector to the FRA Re-
The Inspector provides a copy to the
gional Administrator for the region in
FRA Regional Track Engineer and the
which the notice was given. The appeal
FRA Regional Administrator.
shall be made by letter or telegram.
(b) In the event the railroad imme-
The FRA Regional Administrator as- diately commences repairs on the af-
signs an inspector, other than the in- fected track and so advises the FRA
spector from whose decision the appeal Regional Track Engineer, the Regional
is being taken, to reinspect the rail- Track Engineer assigns an Inspector to
road freight car, locomotive, railroad reinspect the track immediately on the
passenger equipment, or track. The re- completion of repairs. If upon reinspec-
inspection will be made immediately. tion the Inspector determines that nec-
If upon reinspection, the railroad essary repairs have been completed, he
freight car, locomotive, or passenger withdraws the Notice of Track Condi-
equipment is found to be in serviceable tions.
condition, or the track is found to com-
ply with the requirements for the class § 216.23 Consideration of recommenda-
at which it was previously operated by tion.
the railroad, the FRA Regional Admin- Upon receipt of a Notice of Track
istrator or his or her agent will imme- Conditions issued under § 216.21, the
diately notify the railroad, whereupon FRA Regional Administrator prepares
the restrictions of the Special Notice a recommendation to the Adminis-
cease to be effective. If on reinspection trator concerning the issuance of an
the decision of the original inspector is Emergency order removing the affected
sustained, the FRA Regional Adminis- track from service. In preparing this
trator notifies the railroad that the ap- recommendation, the FRA Regional
peal has been denied. Administrator considers all written or
(b) A railroad whose appeal to the other material bearing on the condi-
FRA Regional Administrator has been tion of the track received from the
denied may, within thirty (30) days railroad within three (3) calendar days
from the denial, appeal to the Adminis- of the issuance of the Notice of Track
trator. After affording an opportunity Conditions and also considers the re-
for informal oral hearing, the Adminis- port of the FRA Regional Track Engi-
trator may affirm, set aside, or modify, neer.
in whole or in part, the action of the
FRA Regional Administrator. [67 FR 19989, Apr. 23, 2002]
(c) The requirements of a Special No- § 216.25 Issuance and review of emer-
tice issued under this subpart shall re- gency order.
main in effect and be observed by a
(a) Upon recommendation of the FRA
railroad pending appeal to the FRA Re-
Regional Administrator, the Adminis-
gional Administrator or to the Admin-
trator may issue an Emergency order
istrator.
removing from service track identified
in the notice issued under § 216.21.
[67 FR 19989, Apr. 23, 2002]
205
§ 216.27 49 CFR Ch. II (10–1–07 Edition)
(b) As specified in section 203, Public 217.13 Information collection.

Law No. 91–458, 84 Stat. 972 (45 U.S.C. APPENDIX A TO PART 217—SCHEDULE OF CIVIL
432), opportunity for review of the PENALTIES
Emergency order is provided in accord-
AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C.
ance with section 554 of title 5 of the 2461, note; and 49 CFR 1.49.
U.S.C. Petitions for such review must
be submitted in writing to the Office of SOURCE: 39 FR 41176, Nov. 25, 1974, unless
Chief Counsel, Federal Railroad Ad- otherwise noted.
ministration, Washington, DC 20590.
Upon receipt of a petition, FRA will Subpart A—General
immediately contact the petitioner
and make the necessary arrangements § 217.1 Purpose.
for a conference to be held at the ear- Through the requirements of this
liest date acceptable to the petitioner. part, the Federal Railroad Administra-
At this conference, the petitioner will tion learns the condition of operating
be afforded an opportunity to submit rules and practices with respect to
facts, arguments and proposals for
trains and other rolling equipment in
modification or withdrawal of the
the railroad industry, and each rail-
Emergency order. If the controversy is
road is required to instruct its employ-
not resolved at this conference and a
ees in operating practices.
hearing is desired, the petitioner must
submit a written request for a hearing § 217.3 Application.
within fifteen (15) days after the con-
ference. The hearing will commence (a) Except as provided in paragraph
within fourteen (14) calendar days of (b) of this section, this part applies to
receipt of the request and will be con- railroads that operate trains or other
ducted in accordance with sections 556 rolling equipment on standard gage
and 575, title 5, U.S.C. track which is part of the general rail-
(c) Unless stayed or modified by the road system of transportation.
Administrator, the requirements of (b) This part does not apply to—
each Emergency order issued under (1) A railroad that operates only on
this subpart shall remain in effect and track inside an installation which is
be observed pending decision on a peti- not part of the general railroad system
tion for review. of transportation; or
§ 216.27 Reservation of authority and (2) Rapid transit operations in an
discretion. urban area that are not connected with
the general railroad system of trans-
The FRA may issue Emergency or- portation.
ders concerning track without regard
to the procedures prescribed in this [40 FR 2690, Jan. 15, 1975, as amended at 54
subpart whenever the Administrator FR 33229, Aug. 14, 1989]
determines that immediate action is
required to assure the public safety. § 217.4 Definitions.
As used in this part—
PART 217—RAILROAD OPERATING Class I, Class II, and Class III have the
RULES meaning assigned by regulations of the
Interstate Commerce Commission (49
Subpart A—General CFR part 1201; General Instructions 1–
1), as those regulations may be revised
Sec.
217.1 Purpose.
and applied by order of the Commission
217.3 Application. (including modifications in class
217.4 Definitions. thresholds based revenue deflator ad-
217.5 Penalty. justments).
217.7 Operating rules; filing and record- Division headquarters means the loca-
keeping. tion designated by the railroad where a
217.9 Program of operational tests and in-
spections; recordkeeping. high-level operating manager (e.g., a
217.11 Program of instruction on operating superintendent, division manager, or
rules; recordkeeping; electronic record- equivalent), who has jurisdiction over a
portion of the railroad, has an office.
keeping.
206
System headquarters means the loca- and each railroad providing commuter
tion designated by the railroad as the service in a metropolitan or suburban
general office for the railroad system. area that commences operations after
[59 FR 43070, Aug. 22, 1994] November 21, 1994, shall file with the
Administrator one copy of its code of
§ 217.5 Penalty. operating rules, timetables, and time-
table special instructions before it
Any person (an entity of any type
covered under 1 U.S.C. 1, including but commences operations.
not limited to the following: a railroad; (b) After November 21, 1994, each
a manager, supervisor, official, or Class I railroad, each Class II railroad,
other employee or agent of a railroad; the National Railroad Passenger Cor-
any owner, manufacturer, lessor, or poration, and each railroad providing
lessee of railroad equipment, track, or commuter service in a metropolitan or
facilities; any independent contractor suburban area shall file each new
providing goods or services to a rail- amendment to its code of operating
road; and any employee of such owner, rules, each new timetable, and each
manufacturer, lessor, lessee, or inde- new timetable special instruction with
pendent contractor) who violates any the Federal Railroad Administrator
requirement of this part or causes the within 30 days after it is issued.
violation of any such requirement is (c) On or after November 21, 1994,
subject to a civil penalty of at least each Class III railroad and any other
$550 and not more than $11,000 per vio- railroad subject to this part but not
lation, except that: Penalties may be subject to paragraphs (a) and (b) of this
assessed against individuals only for section shall keep one copy of its cur-
willful violations, and, where a grossly rent code of operating rules, time-
negligent violation or a pattern of re- tables, and timetable special instruc-
peated violations has created an immi- tions and one copy of each subsequent
nent hazard of death or injury to per- amendment to its code of operating
sons, or has caused death or injury, a rules, each new timetable, and each
penalty not to exceed $27,000 per viola- new timetable special instruction, at
tion may be assessed. Each day a viola- its system headquarters, and shall
tion continues shall constitute a sepa- make such records available to rep-
rate offense. See appendix A to this resentatives of the Federal Railroad
part for a statement of agency civil Administration for inspection and
penalty policy. copying during normal business hours.
[53 FR 28599, July 28, 1988, as amended at 53 [59 FR 43070, Aug. 22, 1994]
FR 52927, Dec. 29, 1988; 63 FR 11620, Mar. 10,
1998; 69 FR 30593, May 28, 2004] § 217.9 Program of operational tests
EFFECTIVE DATE NOTE: At 72 FR 51196, and inspections; recordkeeping.
Sept. 6, 2007, § 217.5 was amended by removing (a) Requirement to conduct operational
in its place the numerical amount ‘‘$16,000’’, tests and inspections. Each railroad to
effective October 9, 2007. which this part applies shall periodi-
cally conduct operational tests and in-
§ 217.7 Operating rules; filing and rec- spections to determine the extent of
ordkeeping. compliance with its code of operating
(a) On or before December 21, 1994, rules, timetables, and timetable special
each Class I railroad, Class II railroad, instructions in accordance with a writ-
the National Railroad Passenger Cor- ten program retained at its system
poration, and each railroad providing headquarters and at the division head-
commuter service in a metropolitan or quarters for each division where the
suburban area that is in operation on tests are conducted.
November 21, 1994, shall file with the (b) Written program of operational tests
Federal Railroad Administrator, Wash- and inspections. On or after November
ington, DC 20590, one copy of its code of 21, 1994, or 30 days before commencing
operating rules, timetables, and time- operations, whichever is later, each
table special instructions which were railroad to which this part applies
in effect on November 21, 1994. Each shall retain one copy of its current pro-
Class I railroad, each Class II railroad, gram for periodic performance of the
207
§ 217.9 49 CFR Ch. II (10–1–07 Edition)
operational tests and inspections re- manhours, shall retain, at each of its
quired by paragraph (a) of this section division headquarters and at the sys-
and one copy of each subsequent tem headquarters of the railroad, one
amendment to such program. These copy of a written summary of the fol-
records shall be retained at the system lowing with respect to its previous
headquarters of the railroad and at the year’s activities: The number, type,
division headquarters for each division and result of each operational test and
where the tests are conducted, for inspection, stated according to oper-
three calendar years after the end of ating divisions where applicable, that
the calendar year to which they relate. was conducted as required by para-
These records shall be made available graphs (a) and (b) of this section. These
to representatives of the Federal Rail-
records shall be retained for three cal-
road Administration for inspection and
endar years after the end of the cal-
copying during normal business hours.
The program shall— endar year to which they relate and
(1) Provide for operational testing shall be made available to representa-
and inspection under the various oper- tives of the Federal Railroad Adminis-
ating conditions on the railroad; tration for inspection and copying dur-
(2) Describe each type of operational ing normal business hours.
test and inspection adopted, including (e) Electronic recordkeeping. Each rail-
the means and procedures used to carry road to which this part applies is au-
it out; thorized to retain by electronic record-
(3) State the purpose of each type of keeping the information prescribed in
operational test and inspection; paragraphs (b) through (d) of this sec-
(4) State, according to operating divi- tion, provided that all of the following
sions where applicable, the frequency conditions are met:
with which each type of operational (1) The railroad adequately limits
test and inspection is conducted; and controls accessibility to such in-
(5) Begin within 30 days after Novem- formation retained in its electronic
ber 21, 1994, or the date of commencing database system and identifies those
operations, whichever is later; and individuals who have such access;
(6) Include a schedule for making the
(2) The railroad has a terminal at the
program fully operative within 210 days
system headquarters and at each divi-
after it begins.
(c) Records of individual tests and in- sion headquarters;
spections. Each railroad to which this (3) Each such terminal has a desk-top
part applies shall keep a record of the computer (i.e., monitor, central proc-
date, time, place, and result of each essing unit, and keyboard) and either a
operational test and inspection that facsimile machine or a printer con-
was performed in accordance with its nected to the computer to retrieve and
program. Each record shall specify the produce information in a usable format
officer administering the test and infor immediate review by FRA rep-
spection and each employee tested. resentatives;
These records shall be retained at the (4) The railroad has a designated rep-
system headquarters of the railroad resentative who is authorized to au-
and at the division headquarters for thenticate retrieved information from
each division where the tests are con- the electronic system as true and accu-
ducted for one calendar year after the rate copies of the electronically kept
end of the calendar year to which they records; and
relate. These records shall be made (5) The railroad provides representa-
available to representatives of the Fed- tives of the Federal Railroad Adminis-
eral Railroad Administration for in- tration with immediate access to these
spection and copying during normal
records for inspection and copying dur-
business hours.
ing normal business hours and provides
(d) Annual summary on operational
tests and inspections. Before March 1 of printouts of such records upon request.
each calendar year, each railroad to [39 FR 41176, Nov. 25, 1974, as amended at 59
which this part applies, except for a FR 43070, Aug. 22, 1994]
railroad with less than 400,000 total
208
§ 217.11 Program of instruction on op- (2) State the frequency of instruction

erating rules; recordkeeping; elec- and the basis for determining that fre-
tronic recordkeeping. quency;
(a) To ensure that each railroad em- (3) Include a schedule for completing
ployee whose activities are governed by the initial instruction of employees
the railroad’s operating rules under- who are already employed when the
stands those rules, each railroad to program begins;
which this part applies shall periodi- (4) Begin within 30 days after Novem-
cally instruct each such employee on ber 21, 1994, or the date of commencing
the meaning and application of the operations, whichever is later; and
railroad’s operating rules in accord- (5) Provide for initial instruction of
ance with a written program retained each employee hired after the program
at its system headquarters and at the begins.
(c) Each railroad to which this part
division headquarters for each division
applies is authorized to retain by elec-
where the employee is instructed.
tronic recordkeeping its program for
(b) On or after November 21, 1994, or
periodic instruction of its employees
30 days before commencing operations, on operating rules provided that the re-
whichever is later, each railroad to quirements stated in § 217.9(e)(1)
which this part applies shall retain one through (5) of this part are satisfied.
copy of its current program for the
periodic instruction of its employees as [39 FR 41176, Nov. 25, 1974, as amended at 59
required by paragraph (a) of this sec- FR 43071, Aug. 22, 1994]
tion and one copy of each subsequent
§ 217.13 Information collection.
amendment to that program. The sys-
tem headquarters of the railroad shall (a) The information collection re-
retain one copy of all these records; the quirements in this part have been re-
division headquarters for each division viewed by the Office of Management
where the employees are instructed and Budget pursuant to the Paperwork
shall retain one copy of all portions of Reduction Act of 1980, Public Law 96–
these records that the division applies 511, and have been assigned OMB con-
and enforces. These records shall be trol number 2130–0035.
made available to representatives of (b) The information collection re-
the Federal Railroad Administration quirements are found in the following
for inspection and copying during nor- sections:
mal business hours. This program (1) Section 217.7.
shall— (2) Section 217.9.
(1) Describe the means and proce- (3) Section 217.11.
dures used for instruction of the var- [50 FR 7919, Feb. 27, 1985. Redesignated and
ious classes of affected employees; amended at 59 FR 43071, Aug. 22, 1994]

Willful viola-
217.7 Operating rules:

(a) ............................................................................................................................................ $2,500 $5,000
(b) ............................................................................................................................................ $2,000 $5,000
(c) ............................................................................................................................................ $2,500 $5,000
217.9 Operational tests and inspections:
(a) Program ............................................................................................................................. $5,000 $7,500
(b) Record of program ............................................................................................................ 2,500 $5,000
(c) Record of tests and inspections ........................................................................................ $5,000 $7,500
(d) Annual summary ............................................................................................................... $5,000 $7,500
217.11 Program of instruction on operating rules:
(a) ............................................................................................................................................ $5,000 $7,500
(b) ............................................................................................................................................ $2,500 $5,000
penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
[59 FR 43071, Aug. 22, 1994, as amended at 63 FR 11620, Mar. 10, 1998; 69 FR 30593, May 28, 2004]
209
PART 218—RAILROAD OPERATING AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C.

2461, note; and 49 CFR 1.49.
PRACTICES
SOURCE: 44 FR 2175, Jan. 10, 1979, unless
Subpart A—General otherwise noted.
Sec.
218.1 Purpose.
Subpart A—General
218.3 Application.
218.5 Definitions.
§ 218.1 Purpose.
218.7 Waivers. This part prescribes minimum re-
218.9 Civil penalty. quirements for railroad operating rules
218.11 Filing, testing, and instruction. and practices. Each railroad may pre-
scribe additional or more stringent re-
Subpart B—Blue Signal Protection of quirements in its operating rules, time-
Workers tables, timetable special instructions,
218.21 Scope. and other special instructions.
218.22 Utility employee.
218.23 Blue signal display. § 218.3 Application.
218.24 One-person crew.
(a) Except as provided in paragraph
218.25 Workers on a main track.
218.27 Workers on track other than main
(b) of this section, this part applies to
track. railroads that operate rolling equip-
218.29 Alternate methods of protection. ment on standard gage track which is
218.30 Remotely controlled switches. part of the general railroad system of
transportation.
Subpart C—Protection of Trains and (b) This part does not apply to—
Locomotives (1) A railroad that operates only on
218.31 Scope. track inside an installation which is
218.35 Yard limits. not part of the general railroad system
218.37 Flag protection. of transportation, or
218.39 Hump operations. (2) Rapid transit operations in an
218.41 Noncompliance with hump operations urban area that are not connected with
rule. the general railroad system of trans-
portation.
Subpart D—Prohibition Against Tampering
With Safety Devices [44 FR 2175, Jan. 10, 1979, as amended at 53
FR 28599, July 28, 1988]
218.51 Purpose.
218.53 Scope and definitions. § 218.5 Definitions.
218.55 Tampering prohibited.
218.57 Responsibilities of individuals. Absolute block means a block in which
218.59 Responsibilities of railroads. no train is permitted to enter while it
218.61 Authority to deactivate safety de- is occupied by another train.
vices. Blue signal means a clearly distin-
guishable blue flag or blue light by day
Subpart E—Protection of Occupied Camp and a blue light at night. When at-
Cars tached to the operating controls of a
218.71 Purpose and scope. locomotive, it need not be lighted if
218.73 Warning signal display. the inside of the cab area of the loco-
218.75 Methods of protection for camp cars. motive is sufficiently lighted so as to
218.77 Remotely controlled switches. make the blue signal clearly distin-
218.79 Alternative methods of protection. guishable.
218.80 Movement of occupied camp cars. Camp car means any on-track vehicle,
APPENDIX A TO PART 218—SCHEDULE OF CIVIL including outfit, camp, or bunk cars or
PENALTIES modular homes mounted on flat cars
APPENDIX B TO PART 218—STATEMENT OF used to house rail employees. It does
AGENCY ENFORCEMENT POLICY ON BLUE
not include wreck trains.
SIGNAL PROTECTION FOR UTILITY EMPLOY-
EES Car shop repair track area means one
APPENDIX C TO PART 218—STATEMENT OF or more tracks within an area in which
AGENCY ENFORCEMENT POLICY ON TAM- the testing, servicing, repair, inspec-
tion, or rebuilding of railroad rolling
PERING
210
equipment is under the exclusive con- trains are operated by timetable or

trol of mechanical department per- train order or both, or the use of which
sonnel. is governed by a signal system.
Controlling Locomotive means a loco- Rolling equipment includes loco-
motive arranged as having the only motives, railroad cars, and one or more
controls over all electrical, mechanical locomotives coupled to one or more
and pneumatic functions for one or cars.
more locomotives, including controls Switch providing access means a
transmitted by radio signals if so switch which if traversed by rolling
equipped. It does not include two or equipment could permit that rolling
more locomotives coupled in multiple equipment to couple to the equipment
which can be moved from more than being protected.
one set of locomotive controls. Train or yard crew means one or more
Designated crew member means an in- railroad employees assigned a control-
dividual designated under the rail- ling locomotive, under the charge and
road’s operating rules as the point of control of one crew member; called to
contact between a train or yard crew perform service covered by Section 2 of
and a utility employee working with the Hours of Service Act; involved with
that crew. the train or yard movement of railroad
Effective locking device when used in rolling equipment they are to work
relation to a manually operated switch
with as an operating crew; reporting
or a derail means one which is:
and working together as a unit that re-
(1) Vandal resistant;
mains in close contact if more than one
(2) Tamper resistant; and
employee; and subject to the railroad
(3) Capable of being locked and un-
operating rules and program of oper-
locked only by the class, craft or group
ational tests and inspections required
of employees for whom the protection
in §§ 217.9 and 217.11 of this chapter.
is being provided.
Flagman’s signals means a red flag by Utility employee means a railroad em-
day and a white light at night, and a ployee assigned to and functioning as a
specified number of torpedoes and temporary member of a train or yard
fusees as prescribed in the railroad’s crew whose primary function is to as-
operating rules. sist the train or yard crew in the as-
Group of workers means two or more sembly, disassembly or classification
workers of the same or different crafts of rail cars, or operation of trains (sub-
assigned to work together as a unit ject to the conditions set forth in
under a common authority and who are § 218.22 of this chapter).
in communication with each other Worker means any railroad employee
while the work is being done. assigned to inspect, test, repair, or
Interlocking limits means the tracks service railroad rolling equipment, or
between the opposing home signals of their components, including brake sys-
an interlocking. tems. Members of train and yard crews
Locomotive means a self-propelled are excluded except when assigned such
unit of equipment designed for moving work on railroad rolling equipment
other railroad rolling equipment in that is not part of the train or yard
revenue service including a self-pro- movement they have been called to op-
pelled unit designed to carry freight or erate (or been assigned to as ‘‘utility
passenger traffic, or both, and may employees’’). Utility employees as-
consist of one or more units operated signed to and functioning as temporary
from a single control. members of a specific train or yard
Locomotive servicing track area means crew (subject to the conditions set
one or more tracks, within an area in forth in § 218.22 of this chapter), are ex-
which the testing, servicing, repair, included only when so assigned and func-
spection, or rebuilding of locomotives tioning.
is under the exclusive control of me- NOTE: Servicing does not include supplying
chanical department personnel. cabooses, locomotives, or passenger cars
Main track means a track, other than with items such as ice, drinking water, tools,
an auxiliary track, extending through sanitary supplies, stationery, or flagging
yards or between stations, upon which
equipment.
211
§ 218.7 49 CFR Ch. II (10–1–07 Edition)
Testing does not include (i) visual ob- part for a statement of agency civil
servations made by an employee posi- penalty policy.
tioned on or alongside a caboose, loco- [53 FR 28599, July 28, 1988, as amended at 53
motive, or passenger car; or (ii) marker FR 52928, Dec. 29, 1988; 63 FR 11621, Mar. 10,
inspections made in accordance with 1998; 69 FR 30593, May 28, 2004]
the provisions of § 221.16(b) of this chap-
ter. Sept. 6, 2007, § 218.9 was amended by removing
[58 FR 43292, Aug. 16, 1993, as amended at 60 the numerical amount ‘‘$11,000’’ and adding
FR 11049, Mar. 1, 1995] in its place the numerical amount ‘‘$16,000’’,
§ 218.7 Waivers.
§ 218.11 Filing, testing, and instruc-
(a) A railroad may petition the Fed- tion.
eral Railroad Administration for a The operating rules prescribed in this
waiver of compliance with any require- part, and any additional or more strin-
ment prescribed in this part. gent requirements issued by a railroad
(b) Each petition for a waiver under in relation to the operating rules pre-
this section must be filed in the man- scribed in this part, shall be subject to
ner and contain the information re- the provisions of part 217 of this chap-
quired by part 211 of this chapter. ter, Railroad Operating Rules: Filing,
(c) If the Administrator finds that Testing, and Instruction.
waiver of compliance is in the public
interest and is consistent with railroad Subpart B—Blue Signal Protection
safety, he may grant the waiver sub- of Workers
ject to any conditions he deems nec-
essary. Notice of each waiver granted, § 218.21 Scope.
including a statement of the reasons,
This subpart prescribes minimum re-
therefore, is published in the FEDERAL
quirements for the protection of rail-
REGISTER. road employees engaged in the inspec-
§ 218.9 Civil penalty. tion, testing, repair, and servicing of
rolling equipment whose activities re-
Any person (an entity of any type quire them to work on, under, or be-
covered under 1 U.S.C. 1, including but tween such equipment and subjects
not limited to the following: a railroad; them to the danger of personal injury
a manager, supervisor, official, or posed by any movement of such equip-
other employee or agent of a railroad; ment.
any owner, manufacturer, lessor, or
lessee of railroad equipment, track, or § 218.22 Utility employee.
facilities; any independent contractor (a) A utility employee shall be sub-
providing goods or services to a rail- ject to the Hours of Service Act, and
road; and any employee of such owner, the requirements for training and test-
manufacturer, lessor, lessee, or inde- ing, control of alcohol and drug use,
pendent contractor) who violates any and hours of service record keeping
requirement of this part or causes the provided for in parts 217, 219, and 228 of
violation of any such requirement is this chapter.
subject to a civil penalty of at least (b) A utility employee shall perform
$550 and not more than $11,000 per vio- service as a member of only one train
lation, except that: Penalties may be or yard crew at any given time. Service
assessed against individuals only for with more than one crew may be se-
willful violations, and, where a grossly quential, but not concurrent.
negligent violation or a pattern of re- (c) A utility employee may be as-
peated violations has created an immi- signed to and serve as a member of a
nent hazard of death or injury to per- train or yard crew without the protec-
sons, or has caused death or injury, a tion otherwise required by subpart D of
penalty not to exceed $27,000 per viola- part 218 of this chapter only under the
tion may be assessed. Each day a viola- following conditions:
tion continues shall constitute a sepa- (1) The train or yard crew is assigned
rate offense. See appendix A to this a controlling locomotive that is under
212
the actual control of the assigned loco- Once each crew member has acknowl-
motive engineer of that crew; edged the notice, the designated crew
(2) The locomotive engineer is in the member shall then notify the utility
cab of the controlling locomotive, or, employee that he is released from the
while the locomotive is stationary be train or yard crew.
replaced in the cab by another member (e) Communications required by
of the same crew; § 218.22(c)(4) and (d) shall be conducted
(3) The utility employee established between the utility employee and the
communication with the crew by con- designated crew member. This commu-
tacting the designated crew member on nications shall be conducted either
arriving at the train (as defined for the through direct verbal contact, by radio
purpose of this section as one or more in compliance with part 220 of this
locomotives coupled, with or without chapter, or by oral telecommunication
cars) and before commencing any du- of equivalent integrity.
ties with the crew. (f) No more than three utility em-
(4) Before each utility employee com- ployees may be attached to one train
mences duties, the designated crew or yard crew at any given time.
member shall provide notice to each (g) Any railroad employee who is not
crew member of the presence and iden- assigned to a train or yard crew, or au-
tity of the utility employee. Once all
thorized to work with a crew under the
crew members have acknowledged this
conditions set forth by paragraph (b) of
notice, the designated crew member
this section, is a worker required to be
shall advise the utility employee that
provided blue signal protection in ac-
he or she is authorized to work as part
cordance with §§ 218.23 through 218.30 of
of the crew. Thereafter, communica-
this part.
tion shall be maintained in such a
manner that each member of the train (h) Nothing in this section shall af-
or yard crew understands the duties to fect the alternative form of protection
be performed and whether those duties specified in § 221.16 of this chapter with
will cause any crew member to go on, respect to inspection of rear end mark-
under, or between the rolling equip- ing devices.
ment; and [58 FR 43293, Aug. 16, 1993, as amended at 60
(5) The utility employee is per- FR 11050, Mar. 1, 1995]
forming one or more of the following
functions: set or release hand brakes; § 218.23 Blue signal display.
couple or uncouple air hoses and other (a) Blue signals displayed in accord-
electrical or mechanical connections; ance with § 218.25, 218.27, or 218.29 sig-
prepare rail cars for coupling; set wheel nify that workers are on, under, or be-
blocks or wheel chains; conduct air tween rolling equipment. When so dis-
brake tests to include cutting air brake played—
components in or out and position re-
(1) The equipment may not be cou-
taining valves; inspect, test, install, re-
pled to;
move or replace a rear end marking de-
vice or end of train device. Under all (2) The equipment may not be moved,
other circumstances a utility employee except as provided for in § 218.29;
working on, under, or between railroad (3) Other rolling equipment may not
rolling equipment must be provided be placed on the same track so as to re-
with blue signal protection in accord- duce or block the view of a blue signal,
ance with §§ 218.23 through 218.30 of this except as provided for in § 218.29 (a), (b)
part. and (c); and
(d) When the utility employee has (4) Rolling equipment may not pass a
ceased all work in connection with displayed blue signal.
that train and is no longer on, under, (b) Blue signals must be displayed in
or between the equipment, the utility accordance with § 218.25, 218.27, or 218.29
employee shall notify the designated by each craft or group of workers prior
crew member. The designated crew to their going on, under, or between
member shall then provide notice to rolling equipment and may only be re-
each crew member that the utility em- moved by the same craft or group that
ployee is being released from the crew. displayed them.
213
§ 218.24 49 CFR Ch. II (10–1–07 Edition)
§ 218.24 One-person crew. permit the train to move until author-

ized by the single engineer.
(a) An engineer working alone as a
one-person crew shall not perform du- [60 FR 11050, Mar. 1, 1995]
ties on, under, or between rolling EFFECTIVE DATE NOTE: Section 218.24 was
equipment, without blue signal protec- added at 60 FR 11050, Mar. 1, 1995, effective
tion that complies with § 218.27 or May 15, 1995. At 60 FR 30469, June 9, 1995,
§ 218.29, unless the duties to be per- § 218.24 was suspended, effective May 15, 1995.
formed are listed in § 218.22(c)(5) and
the following protections are provided: § 218.25 Workers on a main track.
(1) Each locomotive in the loco- When workers are on, under, or be-
motive engineer’s charge is either: tween rolling equipment on a main
(i) Coupled to the train or other rail- track:
road rolling equipment to be assisted; (a) A blue signal must be displayed at
or each end of the rolling equipment; and
(ii) Stopped a sufficient distance (b) If the rolling equipment to be pro-
from the train or rolling equipment to tected includes one or more loco-
ensure a separation of at least 50 feet; motives, a blue signal must be at-
and tached to the controlling locomotive at
(2) Before a controlling locomotive is a location where it is readily visible to
left unattended, the one-member crew the engineman or operator at the con-
shall secure the locomotive as follows: trols of that locomotive.
(i) The throttle is in the IDLE posi- (c) When emergency repair work is to
tion; be done on, under, or between a loco-
(ii) The generator field switch is in motive or one or more cars coupled to
the OFF position; a locomotive, and blue signals are not
(iii) The reverser handle is removed available, the engineman or operator
(if so equipped); must be notified and effective meas-
(iv) The isolation switch is in the ures must be taken to protect the
ISOLATE position; workers making the repairs.
(v) The locomotive independent (en- [44 FR 2175, Jan. 10, 1979, as amended at 48
gine) brake valve is fully applied; FR 6123, Feb. 10, 1983]
(vi) The hand brake on the control-
ling locomotive is fully applied (if so § 218.27 Workers on track other than
equipped); and main track.
(vii) A bright orange engineer’s tag (a When workers are on, under, or be-
tag that is a minimum of three by tween rolling equipment on track other
eight inches with the words ASSIGNED than main track—
LOCOMOTIVE—DO NOT OPERATE) is (a) A blue signal must be displayed at
displayed on the control stand of the or near each manually operated switch
controlling locomotive. providing access to that track;
(b) When assisting another train or (b) Each manually operated switch
yard crew with the equipment the providing access to the track on which
other crew was assigned to operate, a the equipment is located must be lined
single engineer must communicate di- against movement to that track and
rectly, either by radio in compliance locked with an effective locking device;
with part 220 of this chapter or by oral and
telecommunication of equivalent in- (c) The person in charge of the work-
tegrity, with the crew of the train to ers must have notified the operator of
be assisted. The crews of both trains any remotely controlled switch that
must notify each other in advance of work is to be performed and have been
all moves to be made by their respec- informed by the operator that each re-
tive equipment. Prior to attachment or motely controlled switch providing ac-
detachment of the assisting loco- cess to the track on which the equip-
motive(s), the crew of the train to be ment is located has been lined against
assisted must inform the single engi- movement to that track and locked as
neer that the train is secured against prescribed in § 218.30.
movement. The crew of the train to be (d) If rolling equipment requiring
assisted must not move the train or blue signal protection as provided for
214
in this section is on a track equipped short of coupling to another loco-

with one or more crossovers, both motive;
switches of each crossover must be (6) A locomotive may be moved off of
lined against movement through the a locomotive servicing area track after
crossover toward that rolling equip- the blue signal has been removed from
ment, and the switch of each crossover the controlling locomotive to be moved
that provides access to the rolling and from the area departure switch;
equipment must be protected in ac- (7) If operated by an authorized em-
cordance with the provisions of para- ployee under the direction of the per-
graphs (a) and (b), or (c) of this section. son in charge of the workers, a loco-
(e) If the rolling equipment to be pro- motive protected by blue signals may
tected includes one or more loco- be repositioned within this area after
motives, a blue signal must be at- the blue signal has been removed from
tached to the controlling locomotive at the locomotive to be repositioned and
a location where it is readily visible to the workers on the affected track have
the engineman or operator at the con- been notified of the movement; and
trols of that locomotive. (8) Blue signal protection removed
for the movement of locomotives as
§ 218.29 Alternate methods of protec- provided in paragraphs (a) (5) and (6) of
tion. this section must be restored imme-
Instead of providing blue signal pro- diately after the locomotive has
tection for workers in accordance with cleared the switch.
§ 218.27, the following methods for blue (b) When workers are on, under, or
signal protection may be used: between rolling equipment in a car
(a) When workers are on, under, or shop repair track area:
between rolling equipment in a loco- (1) A blue signal must be displayed at
motive servicing track area: or near each switch providing entrance
(1) A blue signal must be displayed at to or departure from the area; and
or near each switch providing entrance (2) Each switch providing entrance to
to or departure from the area; or departure from the area must be
(2) Each switch providing entrance to lined against movement to the area
or departure from the area must be and locked with an effective locking
lined against movement to the area device;
and locked with an effective locking (3) If the speed within this area is re-
device; and stricted to not more than 5 miles per
(3) A blue signal must be attached to hour, a derail capable of restricting ac-
each controlling locomotive at a loca- cess to that portion of a track within
tion where it is readily visible to the the area on which the rolling equip-
engineman or operator at the controls ment is located will fulfill the require-
of that locomotive; ments of a manually operated switch in
(4) If the speed within this area is compliance with paragraph (a)(2) of
resticted to not more than 5 miles per this section when positioned at least 50
hour a derail, capable of restricting ac- feet from the end of the equipment to
cess to that portion of a track within be protected by the blue signal, when
the area on which the rolling equip- locked in a derailing position with an
ment is located, will fulfill the require- effective locking device and when a
ments of a manually operated switch in blue signal is displayed at the derail;
compliance with paragraph (a)(2) of (4) If operated by an authorized em-
this section when positioned at least 50 ployee under the direction of the per-
feet from the end of the equipment to son in charge of the workemen, a car
be protected by the blue signal, when mover may be used to reposition roll-
locked in a derailing position with an ing equipment within this area after
effective locking device, and when a workers on the affected track have
blue signal is displayed at the derail; been notified of the movement.
(5) A locomotive may be moved onto (c) Except as provided in paragraphs
a locomotive servicing area track after (a) and (b) of this section, when work-
the blue signal has been removed from ers are on, under, or between rolling
the entrance switch to the area. How- equipment on any track, other than a
ever, the locomotive must be stopped main track:
215
§ 218.30 49 CFR Ch. II (10–1–07 Edition)
(1) A derail capable of restricting ac- the employee in charge who provided
cess to that portion of the track on this information.
which such equipment is located, will
[44 FR 2175, Jan. 10, 1979, as amended at 48
fulfill the requirements of a manually FR 6123, Feb. 10, 1983]
operated switch when positioned no
less than 150 feet from the end so such
equipment; and Subpart C—Protection of Trains
(2) Each derail must be locked in a and Locomotives
derailing position with an effective § 218.31 Scope.
locking device and a blue signal must
be displayed at each derail. This subpart prescribes minimum op-
(d) When emergency repair work is to erating rule requirements for the pro-
be done on, under, or between a loco- tection of railroad employees engaged
motive or one or more cars coupled to in the operation of trains, locomotives
a locomotive, and blue signals are not and other rolling equipment.
available, the engineman or operator [42 FR 5065, Jan. 27, 1977]
at the controls of that locomotive
must be notified and effective meas- § 218.35 Yard limits.
ures must be taken to protect the (a) After August 1, 1977, yard limits
workers making the repairs. must be designated by—
[44 FR 2175, Jan. 10, 1979, as amended at 48 (1) Yard limit signs, and
FR 6123, Feb. 10, 1983] (2) Timetable, train orders, or special
instructions.
§ 218.30 Remotely controlled switches. (b) After August 1, 1977, each railroad
(a) After the operator of the remotely must have in effect an operating rule
controlled switches has received the which complies with the requirements
notification required by § 218.27(c), he set forth below:
must line each remotely controlled (1) The main tracks within yard lim-
switch against movement to that track its may be used, clearing the time an
and apply an effective locking device approaching designated class train is
to the lever, button, or other device due to leave the nearest station where
controlling the switch before he may time is shown. In case of failure to
inform the employee in charge of the clear the time of designated class
workers that protection has been pro- trains, protection must be provided as
vided. § 218.37. In yard limits where main
(b) The operator may not remove the tracks are governed by block signal
locking device unless he has been in- system rules, protection as prescribed
formed by the person in charge of the by § 218.37 is not required.
workers that it is safe to do so. (2) Trains and engines, except des-
(c) The operator must maintain for 15 ignated class trains, within yard limits
days a written record of each notifica- must move prepared to stop within
tion which contains the following in- onehalf the range of vision but not ex-
formation: ceeding 20 m.p.h. unless the main track
(1) The name and craft of the emis known to be clear by block signal in-
ployee in charge who provided the noti- dications.
fication; (3) Within yard limits, movements
(2) The number or other designation against the current of traffic on the
of the track involved; main tracks must not be made unless
(3) The date and time the operator authorized and protected by train
notified the employee in charge that order, yardmaster, or other designated
protection had been provided in accord- official and only under the operating
ance with paragraph (a) of this section; restrictions prescribed in § 218.35(b)(2).
and (c) Each railroad shall designate in
(4) The date and time the operator the operating rule prescribed under
was informed that the work had been paragraph (b) of this section the class
completed, and the name and craft of
216
or classes of trains which shall have su- intervals that do not exceed the burn-
periority on the main track within ing time of the fusee.
yard limits. (iv) When required by the railroad’s
operating rules, a forward crew mem-
[42 FR 5065, Jan. 27, 1977]
ber with flagman’s signals must pro-
§ 218.37 Flag protection. tect the front of his train against op-
posing movements by immediately
(a) After August 1, 1977, each railroad going forward at least the distance pre-
must have in effect an operating rule scribed by timetable or other instruc-
which complies with the requirements tions for the territory placing at least
set forth below: two torpedoes on the rail at least 100
(1) Except as provided in paragraph feet apart, displaying one lighted fusee,
(a)(2) of this section, flag protection and remaining at that location until
shall be provided— recalled.
(i) When a train is moving on the (v) Whenever a crew member is pro-
main track at less than one-half the
viding flag protection, he must not per-
maximum authorized speed (including
mit other duties to interfere with the
slow order limits) in that territory,
protection of his train.
flag protection against following trains
(2) Flag protection against following
on the same track must be provided by
trains on the same track is not re-
a crew member by dropping off single
quired if—
lighted fusees at intervals that do not
(i) The rear of the train is protected
exceed the burning time of the fusee.
by at least two block signals;
(ii) When a train is moving on the
(ii) The rear of the train is protected
main track at more than one-half the
by an absolute block;
maximum authorized speed (including
(iii) The rear of the train is within
slow order limits) in that territory
interlocking limits; or
under circumstances in which it may
(iv) A train order specifies that flag
be overtaken, crew members respon-
protection is not required.
sible for providing protection will take
(v) A railroad operates only one train
into consideration the grade, curvature
at any given time.
of track, weather conditions, sight dis-
(b) Each railroad shall designate by
tance and relative speed of his train to
timetable or other instruction for each
following trains and will be governed
territory the specific distance which a
accordingly in the use of fusees.
crew member providing flag protection
(iii) When a train stops on main
track, flag protection against following must go out in order to provide ade-
trains on the same track must be pro- quate protection for his train.
vided as follows: A crew member with (c) Whenever the use of fusees is pro-
flagman’s signals must immediately go hibited by a Federal, State or local fire
back at least the distance prescribed regulation, each railroad operating
by timetable or other instructions for within that jurisdiction shall provide
the territory, place at least two tor- alternate operating procedures to as-
pedoes on the rail at least 100 feet sure full protection of trains in lieu of
apart and display one lighted fusee. He flag protection required by this sec-
may then return one-half of the dis- tion.
tance to his train where he must re- [42 FR 5065, Jan. 27, 1977, as amended at 42
main until he has stopped the ap- FR 38362, July 28, 1977]
proaching train or is recalled. When re-
called, he must leave one lighted fusee § 218.39 Hump operations.
and while returning to his train, he After June 30, 1984, each railroad that
must also place single lighted fusees at operates a remote control hump yard
intervals that do not exceed the burn- facility must have in effect an oper-
ing time of the fusee. When the train ating rule that adopts the following
departs, a crew member must leave one provisions in substance:
lighted fusee and until the train re- (a) When a train or engine service
sumes speed not less than one-half the employee is required to couple an air
maximum authorized speed (including hose or to adjust a coupling device and
slow order limits) in that territory, he that activity will require that the em-
must drop off single lighted fusees at ployee place himself between pieces of
217
§ 218.41 49 CFR Ch. II (10–1–07 Edition)
rolling equipment located on a bowl comotive is being operated under the

track, the operator of any remotely provision of § 229.9(b) a designated offi-
controlled switch that provides access cer has been notified of the defective
from the apex of the hump to the track alerter or deadman pedal at the first
on which the rolling equipment is lo- available point of communication.
cated shall be notified;
(b) Upon such notification, the oper- [54 FR 5492, Feb. 3, 1989, as amended at 58 FR
ator of such remotely controlled switch 36613, July 8, 1993]
shall line it against movement to the
affected bowl track and shall apply a § 218.53 Scope and definitions.
locking or blocking device to the con- (a) This subpart establishes stand-
trol for that switch; and ards of conduct for railroads and indi-
(c) The operator shall then notify the viduals who operate or permit to be op-
employee that the requested protection erated locomotives equipped with one
has been provided and shall remove the or more of the safety devices identified
locking or blocking device only after in paragraph (c) of this section.
being notified by the employee that (b) Disable means to unlawfully
protection is no longer required on
render a device incapable of proper and
that track.
effective action or to materially impair
(Sec. 202, 84 Stat. 971 (45 U.S.C. 431); sec. the functioning of that device.
1.49(m) of the regulations of the Secretary of (c) Safety device means any loco-
Transportation (49 CFR 1.49(m))
motive-mounted equipment that is
[49 FR 6497, Feb. 22, 1984] used either to assure that the loco-
motive operator is alert, not physically
§ 218.41 Noncompliance with hump op-
erations rule. incapacitated, aware of and complying
with the indications of a signal system
A person (including a railroad and or other operational control system or
any manager, supervisor, official, or
to record data concerning the oper-
other employee or agent of a railroad)
ation of that locomotive or the train it
who fails to comply with a railroad’s
is powering. See appendix B to this
operating rule issued pursuant to
§ 218.39 of this part is subject to a pen- part for a statement of agency policy
alty, as provided in appendix A of this on this subject.
part.
§ 218.55 Tampering prohibited.
[53 FR 52928, Dec. 29, 1988]
Any individual who willfully disables
a safety device is subject to a civil pen-
Subpart D—Prohibition Against alty as provided in appendix A of this
Tampering With Safety Devices part and to disqualification from per-
forming safety-sensitive functions on a
SOURCE: 54 FR 5492, Feb. 3, 1989, unless oth- railroad if found unfit for such duties
erwise noted. under the procedures provided for in 49
CFR part 209.
§ 218.51 Purpose.
(a) The purpose of this subpart is to § 218.57 Responsibilities of individuals.
prevent accidents and casualties that
Any individual who knowingly oper-
can result from the operation of trains
ates a train, or permits it to be oper-
when safety devices intended to im-
prove the safety of their movement ated, when the controlling locomotive
have been disabled. of that train is equipped with a dis-
(b) This subpart does not prohibit abled safety device, is subject to a civil
intervention with safety devices that is penalty as provided for in appendix A
permitted: of this part and to disqualification
(1) Under the provisions of § 236.566 or from performing safety-sensitive func-
§ 236.567 of this chapter; tions on a railroad if found to be unfit
(2) Under the provisions of § 218.61 of for such duties. See appendix B to this
this part; or part for a statement of agency enforce-
(3) Under the provisions of § 229.9 of ment policy concerning violations of
this chapter, provided that when a lo-
this section.
218
§ 218.59 Responsibilities of railroads. at night, displayed in accordance with

Any railroad that operates a train § 218.75, § 218.77, or § 218.79 signify that
when the controlling locomotive of a employees are in, around, or in the vi-
train is equipped with a disabled safety cinity of camp cars. Once the signals
device is subject to a civil penalty as have been displayed—
provided for in appendix A of this part. (1) The camp cars may not be moved
for coupling to other rolling equipment
§ 218.61 Authority to deactivate safety or moved to another location;
devices. (2) Rolling equipment may not be
(a) For the purpose of this chapter, it placed on the same track so as to re-
is lawful to temporarily render a safety duce or block the view of a warning
device incapable of proper or effective signal; and
action or to materially impair its func- (3) Rolling equipment may not pass a
tion if this action is taken as provided warning signal.
for in paragraph (b) or (c) of this sec- (b) Warning signals indicating the
tion. presence of occupied camp cars, dis-
(b) If a locomotive is equipped with a played in accordance with §§ 218.75 and
device to assure that the operator is 218.79, shall be displayed by a des-
alert or not physically incapacitated, ignated occupant of the camp cars or
that device may be deactivated when: that person’s immediate supervisor.
(1) The locomotive is not the control- The signal(s) shall be displayed as soon
ling locomotive; as such cars are placed on the track,
(2) The locomotive is performing and such signals may only be removed
switching operations and not hauling by those same individuals prior to the
cars in a manner that constitutes a time the cars are moved to another lo-
train movement under part 232 of this cation.
chapter:
(3) The locomotive is dead-in-tow; or § 218.75 Methods of protection for
(4) The locomotive is a mid-train camp cars.
slave unit being controlled by radio When camp cars requiring protection
from a remote location. are on either main track or track other
(c) If a locomotive is equipped with a than main track:
device to record data concerning the
(a) A warning signal shall be dis-
operation of that locomotive and/or of
played at or near each switch providing
the train it is powering, that device
access to that track;
may be deactivated only in accordance
with the provisions of § 229.135. (b) The person in charge of the camp
car occupants shall immediately notify
[54 FR 5492, Feb. 3, 1989, as amended at 58 FR the person responsible for directing
36613, July 8, 1993] train movements on that portion of the
railroad where the camp cars are being
Subpart E—Protection of parked;
Occupied Camp Cars (c) Once notified of the presence of
camp cars and their location on main
SOURCE: 54 FR 39545, Sept. 27, 1989, unless track or other than main track, the
otherwise noted. person responsible for directing train
movements on that portion of the rail-
§ 218.71 Purpose and scope. road where the camp cars are being
This subpart prescribes minimum re- parked shall take appropriate action to
quirements governing protection of alert affected personnel to the presence
camp cars that house railroad employ- of the cars;
ees. The rule does not apply to such (d) Each manually operating switch
cars while they are in a train. providing access to track on which the
camp cars are located shall be lined
§ 218.73 Warning signal display. against movement to that track and
(a) Warning signals, i.e., a white disk secured with an effective locking de-
with the words ‘‘Occupied Camp Car’’ vice and spiked; and
in black lettering during daylight (e) Each remotely controlled switch
hours and an illuminated white signal providing access to the track on which
219
§ 218.77 49 CFR Ch. II (10–1–07 Edition)
the camp cars are located shall be pro- § 218.79 Alternative methods of protec-
tected in accordance with § 218.77. tion.
Instead of providing protection for
§ 218.77 Remotely controlled switches. occupied camp cars in accordance with
(a) After the operator of the remotely § 218.75 or § 218.77, the following meth-
controlled switch is notified that a ods of protection may be used:
camp car is to be placed on a particular (a) When occupied camp cars are on
track, he shall line such switch against track other than main track:
movement to that track and apply an (1) A warning signal must be dis-
effective locking device applied to the played at or near each switch providing
lever, button, or other device control- access to or from the track;
ling the switch before informing the (2) Each switch providing entrance to
person in charge of the camp car occu- or departure from the area must be
pants that protection has been pro- lined against movement to the track
vided. and locked with an effective locking
device; and
(b) The operator may not remove the
(3) If the speed within this area is re-
locking device until informed by the stricted to not more than five miles per
person in charge of the camp car occu- hour, a derail, capable of restricting
pants that protection is no longer re- access to that portion of track on
quired. which the camp cars are located, will
(c) The operator shall maintain for 15 fulfill the requirements of a manually
days a written record of each notifica- operated switch in compliance with
tion that contains the following infor- paragraph (a)(2) of this section when
mation: positioned at least 50 feet from the end
(1) The name and craft of the em- of the camp cars to be protected by the
ployee in charge who provided the noti- warning signal, when locked in a de-
fication; railing position with an effective lock-
(2) The number or other designation ing device, and when a warning signal
of the track involved; is displayed at the derail.
(3) The date and time the operator (b) Except as provided in paragraph
notified the employee in charge that (a) of this section, when occupied camp
protection had been provided in accord- cars are on track other than main
ance with paragraph (a) of this section; track:
and (1) A derail, capable of restricting ac-
cess to that portion of the track on
(4) The date and time the operator
which such equipment is located, will
was informed that the work had been
fulfill the requirements of a manually
completed, and the name and craft of
operated switch when positioned no
the employee in charge who provided less than 150 feet from the end of such
this information. equipment; and
(d) When occupied camp cars are (2) Each derail must be locked in a
parked on main track, a derail, capable derailing position with an effective
of restricting access to that portion of locking device and a warning signal
the track on which such equipment is must be displayed at each derail.
located, shall be positioned no less
than 150 feet from the end of such § 218.80 Movement of occupied camp
equipment and locked in a derailing cars.
position with an effective locking de- Occupied cars may not be humped or
vice, and a warning signal must be dis- flat switched unless coupled to a loco-
played at the derail. motive.
220
Federal Railroad Administration, DOT Pt.218, App. B

Willful viola-
Subpart B—Blue signal protection of workmen:

218.22 Utility employees:
(a) Employee qualifications ...................................................................................... $5,000 $7,500
(b) Concurrent service .............................................................................................. 5,000 7,500
(c) Assignment conditions.
(1) No controlling locomotive .................................................................................... 5,000 7,500
(2) Empty cab ........................................................................................................... 5,000 7,500
(3)(4) Improper communication ................................................................................ 5,000 7,500
(5) Performing functions not listed ........................................................................... 2,000 4,000
(d) Improper release of utility employee .................................................................. 2,000 4,000
(f) More than three utility employees with one crew ................................................ 2,000 4,000
218.23 Blue signal display 5,000 7,500
218.24 One-person crew:
(a)(1) Equipment not coupled or insufficiently separated ........................................ 2,000 4,000
(a)(2) Unoccupied locomotive cab not secured ....................................................... 5,000 7,500
(b) Helper service ..................................................................................................... 2,000 4,000
218.25 Workmen on a main track 5,000 7,500
218.27 Workmen on track other than main track:
(a) Protection provided except that signal not displayed at switch ......................... 2,000 4,000
(b) through (e) .......................................................................................................... 5,000 7,500
218.29 Alternate methods of protection:
(a)(1) protection provided except that signal not displayed at switch ..................... 2,000 4,000
(a)(2) through (a)(8) .................................................................................................. 5,000 7,500
(b)(1) Protection provided except that signal not displayed at switch ..................... 2,000 4,000
(b)(2) through (b)(4) .................................................................................................. 5,000 7,500
(c) Use of derails ...................................................................................................... 5,000 7,500
(d) Emergency repairs .............................................................................................. 5,000 7,500
218.30 Remotely controlled switches:
(a) and (b) ................................................................................................................. 5,000 7,500
(c) .............................................................................................................................. 1,000 2,000
Subpart C—Protection of trains and locomotives:
218.35 Yard limits:
(a) and (b) ................................................................................................................. 5,000 7,500
(c) .............................................................................................................................. 1,000 2,000
218.37 Flag protection:
(a) ............................................................................................................................. 5,000 7,500
(b) and (c) ................................................................................................................. 5,000 7,500
218.39 Hump operations ...................................................................................................... 5,000 7,500
218.41 Noncompliance with hump operations rule .............................................................. 5,000 7,500
Subpart D—Prohibition against tampering with safety devices:
218.55 Tampering ................................................................................................................ .................... 7,500
218.57 (i) Knowingly operating or permitting operation of disabled equipment .................. 2,500 ....................
(ii) Willfully operating or permitting operation of disabled equipment .................. .................... 5,000
218.59 Operation of disabled equipment ............................................................................. 2,500 5,000
[53 FR 52928, Dec. 29, 1988, as amended at 54 FR 5492, Feb. 3, 1989; 58 FR 43293, Aug. 16, 1993;
60 FR 11050, Mar. 1, 1995; 63 FR 11621, Mar. 10, 1998]
EFFECTIVE DATE NOTE: At 72 FR 51196, APPENDIX B TO PART 218—STATEMENT

Sept. 6, 2007, footnote 1 of appendix A to part OF AGENCY ENFORCEMENT POLICY ON
219 was amended by removing the numerical BLUE SIGNAL PROTECTION FOR UTIL-
amount ‘‘$22,000’’ and adding in its place the ITY EMPLOYEES
numerical amount ‘‘$27,000’’, effective Octo-
ber 9, 2007. The following examples of the application
of the train or yard crew exclusion from re-
quired blue signal protection for utility em-
ployees are provided to clarify FRA’s en-
forcement policy. In the first four examples,
the utility employee is properly attached to
and functioning as member of a train or yard
1 Except as provided for in § 218.57, a pen- of up to $22,000 for any violation where the
alty may be assessed against an individual circumstances warrant. See 49 CFR part 209,
only for a willful violation. The Adminis- appendix A.
trator reserves the right to assess a penalty
221
crew and is excluded from blue signal protec- have remained with the train and are cou-
tion, provided all the conditions specified in pling air hoses between rail cars in the train.
§ 218.22 are met:
[58 FR 43293, Aug. 16, 1993]
Example 1: A utility employee assists a
train crew by adding or reducing railroad APPENDIX C TO PART 218—STATEMENT
cars to or from the train. The utility em-
OF AGENCY ENFORCEMENT POLICY ON
ployee may perform any duties which would
normally be conducted by members of the TAMPERING
train crew, i.e., setting or releasing
The Rail Safety Improvement Act of 1988
handbrakes, coupling air hoses and other
(Pub. L. 100–342, enacted June 22, 1988)
connections, prepare rail cars for coupling,
(‘‘RSIA’’) raised the maximum civil pen-
and perform air brake tests.
alties available under the railroad safety
Example 2: A utility employee is assigned laws and made individuals liable for willful
to assist a yard crew for the purpose of violations of those laws. Section 21 of the
classifying and assembling railroad cars. The RSIA requires that FRA adopt regulations
yard crew onboard their locomotive arrives addressing three related but distinct aspects
at the location in the yard where the work is of problems that can occur when safety de-
to be performed. At that time, the utility vices are tampered with or disabled. It re-
employee may attach himself to the yard quires that FRA make it unlawful for (i) any
crew and commence duties as a member of individual to willfully tamper with or dis-
that yard crew. able a device; (ii) any individual to know-
Example 3: A utility employee is assigned ingly operate or permit to be operated a
to inspect, test, remove and replace if nec- train with a tampered or disabled device; and
essary, a combination rear end marking de- (iii) any railroad to operate such a train.
vice/end of train device on a through freight Because the introduction of civil penalties
train. The utility employee attaches himself against individuals brings FRA’s enforce-
to the train crew after the arrival of the ment of the rail safety laws into a new era
train and its crew at the location where this and because the changes being introduced by
work is to be conducted. He may then per- this regulation are so significant, FRA be-
form duties as a member of that crew. lieves that it is advisable to set forth the
Example 4: A railroad manager who prop- manner in which it will exercise its enforce-
erly attaches himself as a utility employee ment authority under this regulation.
to a train or yard crew, in accordance with
§ 218.22, may then function as a member of SAFETY DEVICES COVERED BY THIS RULE
the train or yard crew under the exclusion
provided for train and yard crews. FRA has employed a functional description
of what constitutes a safety device under
NOTE: In the last four examples, any rail- this rule. FRA’s wording effectively identi-
road employee, including regularly assigned fies existing equipment and is sufficiently
crew members, would need blue signal pro- expansive to cover equipment that may ap-
tection to perform the described function. pear in the future, particularly devices asso-
Example 5: Prior to the arrival of a through ciated with advanced train control systems
freight train, a utility employee installs an currently undergoing research testing.
end-of-train device on one end of a block of FRA has been advised by portions of the
railroad cars that are scheduled to be picked regulated community that its functional def-
up by the freight train. inition has some potential for confusing peo-
Example 6: A railroad employee attaches ple who read the rule without the benefit of
himself to a train or yard crew while the the preamble discussions concerning the
crew is in the ready room preparing to take meaning of this definition. Since this rule is
charge of their train. Prior to the train crew specifically intended to preclude misconduct
leaving the ready room and taking charge of by individuals, FRA wants this rule to be
the equipment, the employee couples air easily comprehended by all who read it. To
hoses and other connections between the lo- achieve that clarity, FRA has decide to
comotives. specify which types of equipment it con-
Example 7: A railroad employee is attached siders to be within the scope of this rule and
to a train crew after the train crew has provide some examples of equipment that is
taken charge of the train. It is necessary for not covered. In addition, FRA is ready and
the employee to perform a repair on a rail willing to respond in writing to any inquiry
car, such as replacing a brake shoe, in addi- about any other devices that a party believes
tion to those duties normally performed by are treated ambiguously under this rule.
train or yard crew members. This regulation applies to a variety of de-
Example 8: A train or yard crew, supple- vices including equipment known as ‘‘event
mented by three utility employees, has an recorders,’’ ‘‘alerters,’’ ‘‘deadman controls,’’
assigned locomotive and train. The regular ‘‘automatic cab signals,’’ ‘‘cab signal whis-
crew, including the engineer, has left the tles,’’ ‘‘automatic train stop equipment,’’
train to eat lunch. The utility employees and ‘‘automatic train control equipment.’’
222
FRA does not consider the following equip- reasonable care, they failed to determine
ment to be covered by this rule: Radios; that the safety device was not functioning,
monitors for end-of-train devices; bells or or (2) having ascertained that the device was
whistles that are not connected to alerters, not functioning, still elected to operate the
deadman pedals, or signal system devices; train. Similarly, railroad supervisors who
fans for controlling interior temperature of permit or direct that a train with a disabled
locomotive cabs; and locomotive perform- device be operated after having learned that
ance monitoring devices, unless they record the safety device is not functioning or after
data such as train speed and air brake oper- having failed to use reasonable care in the
ations. Although FRA considers such devices performance of their duties could also be
beyond the scope of the regulation, this does subject to sanction.
not imply that FRA condones the disabling However, as a matter of enforcement pol-
of such devices. FRA will not hesitate to in- icy, application of a negligence standard in
clude such devices at a later date should in- this particular context presently appears un-
stances of tampering with these devices be warranted. We have seen no evidence of an
discovered. FRA does not currently perceive employee’s negligent failure to detect an-
a need to directly proscribe tampering with other employee’s tampering having caused a
such devices because there is no history of safety problem. FRA can effectively attack
these devices being subjected to tampering. the known dimensions of the tampering
problem by employing an enforcement policy
SUBSEQUENT OPERATORS OF TRAINS WITH that limits its enforcement actions to situa-
DISABLED DEVICES tions where individuals clearly had actual
knowledge of the disabled device and inten-
Section 218.57 addresses instances in which tionally operated the train notwithstanding
one individual has tampered with a safety that knowledge.
device and a second individual (a ‘‘subse- Therefore, FRA will not take enforcement
quent operator’’) knowingly operates a train action against an individual under § 218.57 ab-
or permits it to be operated, notwith- sent a showing of such actual knowledge of
standing the presence of the disabled or tam- the facts. Actual, subjective knowledge need
pered-with unit. The most common occur- not be demonstrated. It will suffice to show
rence addressed by this provision is the situ- objectively that the alleged violator must
ation in which a train crew encounters a lo- have known the facts based on reasonable in-
comotive with a safety device that has been ferences drawn from the circumstances. For
tampered with prior to the crew’s assuming example, it is reasonable to infer that a per-
responsibility for the locomotive. FRA has son knows about something plainly in sight
structured this provision and its attendant on the locomotive he is operating. Also, un-
enforcement policy to reflect the fact that like the case where willfulness must be
instances in which one individual encounters shown (see FRA’s statement of policy at 49
a locomotive that someone else has tam- CFR part 209, appendix A), knowledge of or
pered with are relatively infrequent occur- reckless disregard for the law need not be
rences. shown to make out a violation of § 218.57. The
FRA’s regulatory prohibition for subse- knowledge relevant here is knowledge of the
quent operator conduct reflects the legal facts constituting the violation, not knowl-
standard for individual culpability set forth edge of the law.
in the RSIA. Under the relevant statutory Should FRA receive evidence indicating
standard (‘‘knowingly operates or permits to that a stricter enforcement policy is nec-
be operated a train on which such devices essary to address the tampering problem, it
have been tampered with or disabled by an- will revise its enforcement policy to permit
other person’’)—now incorporated into enforcement actions based only on a showing
§ 218.57—individuals could be held to a simple of the subsequent operator’s negligent fail-
negligence standard of conduct, i.e., a stand- ure to detect the tampering, as the relevant
ard of reasonable care under the cir- provision of the RSIA permits it to do now.
cumstances. FRA’s conclusion about the Any such change in enforcement policy will
proper interpretation of the word ‘‘know- become effective only after publication of a
ingly’’ stems from both normal canons of revised version of this appendix.
statutory construction and analysis of [54 FR 5492, Feb. 3, 1989. Redesignated and
decisional law concerning the use of similar amended at 58 FR 43293, Aug. 16, 1993]
statutory constructs in the civil penalty
context. It is also consistent with other De-
partmental interpretations of the word as PART 219—CONTROL OF ALCOHOL
used in similar contexts. (See 49 CFR 107.299, AND DRUG USE
defining ‘‘knowingly’’ under the Hazardous
Materials Transportation Act, 49 App. U.S.C. Subpart A—General
1801 et seq.)
Under that statutory language, the respon- Sec.
sible members of the crew could be culpable 219.1 Purpose and scope.
if either (1) due to their failure to exercise 219.3 Application.
223
§ 219.1 49 CFR Ch. II (10–1–07 Edition)
219.4 Recognition of a foreign railroad’s 219.603 Participation in drug testing.
workplace testing program. 219.605 Positive drug test results; proce-
219.5 Definitions. dures.
219.7 Waivers. 219.607 Railroad random alcohol testing pro-
219.9 Responsibility for compliance. grams.
219.11 General conditions for chemical tests. 219.608 FRA Administrator’s determination
219.13 Preemptive effect. of random alcohol testing rate.
219.15 [Reserved] 219.609 Participation in alcohol testing.
219.17 Construction. 219.611 Test result indicating prohibited al-
219.19 [Reserved] cohol concentration; procedures.
219.21 Information collection.
219.23 Railroad policies. Subpart H—Drug and Alcohol Testing
Procedures
Subpart B—Prohibitions
219.701 Standards for drug and alcohol test-
219.101 Alcohol and drug use prohibited. ing.
219.102 Prohibition on abuse of controlled
substances. Subpart I—Annual Report
219.103 Prescribed and over-the-counter
drugs. 219.800 Annual reports.
219.104 Responsive action. 219.801–219.803 [Reserved]
219.105 Railroad’s duty to prevent viola-
tions. Subpart J—Recordkeeping Requirements
219.107 Consequences of unlawful refusal.
219.901 Retention of alcohol testing records.
Subpart C—Post-Accident Toxicological 219.903 Retention of drug testing records.
Testing 219.905 Access to facilities and records.
APPENDIX A TO PART 219—SCHEDULE OF CIVIL
219.201 Events for which testing is required.
PENALTIES
219.203 Responsibilities of railroads and em-
APPENDIX B TO PART 219—DESIGNATION OF
ployees.
LABORATORY FOR POST-ACCIDENT TOXI-
219.205 Specimen collection and handling.
COLOGICAL TESTING
219.206 FRA access to breath test results.
APPENDIX C TO PART 219—POST-ACCIDENT
219.207 Fatality.
TESTING SPECIMEN COLLECTION
219.209 Reports of tests and refusals.
219.211 Analysis and follow-up. AUTHORITY: 49 U.S.C. 20103, 20107, 20140,
219.213 Unlawful refusals; consequences. 21301, 21304, 21311; 28 U.S.C. 2461, note; and 49
CFR 1.49(m).
Subpart D—Testing for Cause
SOURCE: 66 FR 41973, Aug. 9, 2001, unless
219.300 Mandatory reasonable suspicion otherwise noted.
testing.
219.301 Testing for reasonable cause. Subpart A—General
219.302 Prompt specimen collection; time
limitation. § 219.1 Purpose and scope.
Subpart E—Identification of Troubled (a) The purpose of this part is to pre-
Employees vent accidents and casualties in rail-
road operations that result from im-
219.401 Requirement for policies.
pairment of employees by alcohol or
219.403 Voluntary referral policy.
219.405 Co-worker report policy. drugs.
219.407 Alternate policies. (b) This part prescribes minimum
Federal safety standards for control of
Subpart F—Pre-Employment Tests alcohol and drug use. This part does
not restrict a railroad from adopting
219.501 Pre-employment drug testing.
219.502 Pre-employment alcohol testing.
and enforcing additional or more strin-
219.503 Notification; records. gent requirements not inconsistent
219.505 Refusals. with this part.
Subpart G—Random Alcohol and Drug § 219.3 Application.

Testing Programs (a) General. Except as provided in
219.601 Railroad random drug testing pro- paragraphs (b) and (c) of this section,
grams. this part applies to—
219.602 FRA Administrator’s determination (1) Railroads that operate rolling
equipment on standard gage track
of random drug testing rate.
224
which is part of the general railroad A, B, C, D, H, I, and J of this part apply

system of transportation; and to signal service in the United States
(2) Railroads that provide commuter of a foreign railroad performed by an
or other short-haul rail passenger serv- employee of the foreign railroad if the
ice in a metropolitan or suburban area employee’s primary place of reporting
(as described by 49 U.S.C. 20102) in the is located outside the United States.
United States. Subparts E, F, and G of this part do not
(b) Exceptions available to both domes- apply to signal service in the United
tic and foreign railroads. (1) This part States of a foreign railroad performed
does not apply to a railroad that oper- by an employee of the foreign railroad
ates only on track inside an installa- if the employee’s primary place of re-
tion which is not part of the general porting is located outside the United
railroad system of transportation. States.
(2) Subparts D, E, F and G of this (3) Unless otherwise excepted under
part do not apply to a railroad that— paragraph (c)(1) of this section, on and
(i) Has a total of 15 or fewer employ- after June 11, 2004, a foreign railroad
ees who are covered by the hours of shall conduct a pre-employment drug
service laws at 49 U.S.C. 21103, 21104, or test on each of its final applicants for,
21105, or who would be subject to the and each of its employees seeking to
hours of service laws at 49 U.S.C. 21103, transfer for the first time to, duties in-
21104, or 21105 if their services were per- volving train or dispatching service in
formed in the United States; and the United States while having his or
(ii) Does not operate on the tracks in her primary reporting point outside of
the United States of another railroad the United States. The test shall be
(or otherwise engage in joint oper- conducted in accordance with this part
ations in the United States with an- prior to the applicant or employee’s
other railroad) except as necessary for performance of train or dispatching
purposes of interchange. service in the United States.
(3) Subpart I of this part does not
[69 FR 19286, Apr. 12, 2004]
apply to a railroad that has fewer than
400,000 total employee hours, including
§ 219.4 Recognition of a foreign rail-
hours worked by all employees of the road’s workplace testing program.
railroad, regardless of occupation, not
only while in the United States but (a) General. A foreign railroad may
also while outside the United States. petition the FRA Associate Adminis-
For purposes of this paragraph, the trator for Safety for recognition of a
term ‘‘employees of the railroad’’ in- workplace testing program promul-
cludes individuals who perform service gated under the laws of its home coun-
for the railroad, including not only in- try as a compatible alternative to the
dividuals who receive direct monetary return-to-service requirements in sub-
compensation from the railroad for part B of this part and the require-
performing a service for the railroad, ments of subparts E, F, and G of this
but also such individuals as employees part with respect to its employees
of a contractor to the railroad who per- whose primary reporting point is out-
form a service for the railroad. side the United States but who enter
(c) Exceptions available to foreign rail- the United States to perform train or
roads only. (1) Subparts E, F and G of dispatching service and with respect to
this part do not apply to train or dis- its final applicants for, or its employ-
patching service in the United States ees seeking to transfer for the first
performed by an employee of a foreign time to, duties involving such service.
railroad whose primary reporting point (1) To be so considered, the petition
is outside the United States, on that must document that the foreign rail-
portion of a rail line in the United road’s workplace testing program con-
States extending up to10 route miles tains equivalents to subparts B, E, F,
from the point that the line crosses and G of this part:
into the United States from Canada or (i) Pre-employment drug testing;
Mexico. (ii) A policy dealing with co-worker
(2) Unless otherwise provided by and self-reporting of alcohol and drug
paragraph (b) of this section, subparts abuse problems;
225
§ 219.4 49 CFR Ch. II (10–1–07 Edition)
(iii) Random drug and alcohol test- (2) The requirements of the foreign
ing; railroad workplace testing program to
(iv) Return-to-duty testing; and be considered for recognition;
(v) Testing procedures and safeguards (3) Appropriate data or records, or
reasonably comparable in effectiveness both, for FRA to consider in deter-
to all applicable provisions of the mining whether the foreign railroad
United States Department of Transpor- workplace testing program is equiva-
tation Procedures for Workplace Drug lent to the minimum standards con-
and Alcohol Testing Programs (part 40 tained in this part and provides at
of this title). least an equivalent level of safety.
(2) In approving a program under this (d) Federal Register notice. FRA will
section, the FRA Associate Adminis- publish a notice in the FEDERAL REG-
trator for Safety may impose condi- ISTER concerning each petition under
tions deemed necessary. paragraph (c) of this section that it re-
ceives.
(b) Alternative programs. (1) Upon
(e) Comment. Not later than 30 days
FRA’s recognition of a foreign rail-
from the date of publication of the no-
road’s workplace testing program as
tice in the FEDERAL REGISTER con-
compatible with the return-to-service
cerning a petition under paragraph (c)
requirements in subpart B and the re-
of this section, any person may com-
quirements of subparts E, F, and G of
ment on the petition.
this part, the foreign railroad must
(1) A comment shall set forth specifi-
comply with either the enumerated
cally the basis upon which it is made,
provisions of part 219 or with the stand-
and contain a concise statement of the
ards of the recognized program, and interest of the commenter in the pro-
any imposed conditions, with respect ceeding.
to its employees whose primary report- (2) Any comment on a petition should
ing point is outside the United States reference the FRA docket and notice
and who perform train or dispatching numbers. A commenter may submit a
service in the United States. The for- comment and related material by only
eign railroad must also, with respect to one of the following methods:
its final applicants for, or its employ- (i) Web site: http://dms.dot.gov. Follow
ees seeking to transfer for the first the instructions for submitting com-
time to, duties involving such train or ments on the DOT electronic docket
dispatching service in the United site.
States, comply with either subpart E of (ii) Fax: 1–202–493–2251.
this part or the standards of the recog- (iii) Mail: Docket Management Facil-
nized program. ity; U.S. Department of Transpor-
(2) The foreign railroad must comply tation, 400 Seventh Street, SW., Nassif
with subparts A, B (other than the re- Building, Room PL–401, Washington,
turn-to-service provisions in DC 20590–0001.
§ 219.104(d)), C, reasonable suspicion (iv) Hand Delivery: Room PL–401 on
testing in subpart D, and subparts I the plaza level of the Nassif Building,
and J. Drug or alcohol testing required 400 Seventh Street, SW., Washington,
by these subparts must be conducted in DC, between 9 a.m. and 5 p.m., Monday
compliance with all applicable provi- through Friday, except Federal Holi-
sions of the United States Department days.
of Transportation Procedures for (v) Federal eRulemaking Portal: Go to
Workplace Drug and Alcohol Testing http://www.regulations.gov. Follow the
Programs (part 40 of this title). online instructions for submitting
(c) Petitions for recognition of a foreign comments.
railroad’s workplace testing programs. (3) The commenter shall certify that
Each petition for recognition of a for- a copy of the comment was served on
eign workplace testing program shall the petitioner. Note that all petitions
contain: received will be posted without change
(1) The name, title, address, and tele- to http://dms.dot.gov including any per-
phone number of the primary person to sonal information provided.
be contacted with regard to review of (f) Disposition of petitions. (1) If FRA
the petition; finds that the petition complies with
226
the requirements of this section and unrestricted (or would have worked un-
that the foreign railroad’s workplace restricted had he or she been sched-
testing program is compatible with the uled) and takes no other days of re-
minimum standards of this part, the stricted work activity in connection
petition will be granted, normally with the injury or illness; or take over-
within 90 days of its receipt. If the peti- the-counter medication at a dosage
tion is neither granted nor denied with- equal to or greater than the minimum
in 90 days, the petition remains pend- prescription strength, whether or not
ing for decision. FRA may attach spe- the employee actually takes the medi-
cial conditions to the approval of any cation).
petition. Following the approval of a
Class I, Class II, and Class III have the
petition, FRA may reopen consider-
ation of the petition for cause. meaning assigned by regulations of the
(2) If FRA finds that the petition Surface Transportation Board (49 CFR
does not comply with the requirements part 1201; General Instructions 1–1).
of this section or that the foreign rail- Controlled substance has the meaning
road’s workplace testing program is assigned by 21 U.S.C. 802, and includes
not compatible with the minimum all substances listed on Schedules I
standards of this part, the petition will through V as they may be revised from
be denied, normally within 90 days of time to time (21 CFR Parts 1301–1316).
its receipt. Covered employee means a person who
(3) When FRA grants or denies a peti- has been assigned to perform service in
tion, or reopens consideration of the the United States subject to the hours
petition, written notice is sent to the of service laws (49 U.S.C. ch. 211) during
petitioner and other interested parties. a duty tour, whether or not the person
(g) Program recognition. If its program has performed or is currently per-
has been recognized, the foreign rail- forming such service, and any person
road shall maintain a letter on file in- who performs such service. (An em-
dicating that it has elected to extend ployee is not ‘‘covered’’ within the
specified elements of the recognized meaning of this part exclusively by
program to its operations in the United
reason of being an employee for pur-
States. Once granted, program recogni-
poses of 49 U.S.C. 21106.) For the pur-
tion remains valid so long as the pro-
poses of pre-employment testing only,
gram retains these elements and the
foreign railroad complies with the pro- the term ‘‘covered employee’’ includes
gram requirements. a person applying to perform covered
service in the United States.
[69 FR 19286, Apr. 12, 2004] Covered service means service in the
United States that is subject to the
hours of service laws at 49 U.S.C. 21103,
As used in this part— 21104, or 21105, but does not include any
Accident or incident reportable under period the employee is relieved of all
part 225 does not include a case that is responsibilities and is free to come and
classified as ‘‘covered data’’ under go without restriction.
§ 225.5 of this chapter (i.e., employee in-
Co-worker means another employee of
jury/illness cases reportable exclu-
the railroad, including a working su-
sively because a physician or other li-
pervisor directly associated with a
censed health care professional either
made a one-time topical application of yard or train crew, such as a conductor
a prescription-strength medication to or yard foreman, but not including any
the employee’s injury or made a writ- other railroad supervisor, special
ten recommendation that the em- agent, or officer.
ployee: Take one or more days away Cross-border operation means a rail
from work when the employee instead operation that crosses into the United
reports to work (or would have re- States from Canada or Mexico.
ported had he or she been scheduled) Domestic railroad means a railroad
and takes no days away from work in that is incorporated in the United
connection with the injury or illness; States.
work restricted duty for one or more DOT Agency means an agency (or
days when the employee instead works ‘‘operating administration’’) of the
227
§ 219.5 49 CFR Ch. II (10–1–07 Edition)
United States Department of Transpor- or employee of the railroad. The fact

tation administering regulations re- that the railroad pays for services ren-
quiring alcohol or controlled substance dered by a medical facility or labora-
testing (14 CFR parts 61, 63, 65, 121 and tory, selects that entity for performing
135; 49 CFR parts 199, 219, 382 and 655) in tests under this part, or has a standing
accordance with Part 40 of this title. contractual relationship with that en-
Drug means any substance (other tity to perform tests under this part or
than alcohol) that has known mind- or perform other medical examinations or
function-altering effects on a human tests of railroad employees does not, by
subject, specifically including any itself, remove the facility from this
psychoactive substance and including, definition.
but not limited to, controlled sub- Medical facility means a hospital,
stances. clinic, physician’s office, or laboratory
Foreign railroad means a railroad that where toxicological specimens can be
is incorporated outside the United collected according to recognized pro-
States. fessional standards.
FRA means the Federal Railroad Ad- Medical practitioner means a physi-
ministration, United States Depart- cian or dentist licensed or otherwise
ment of Transportation. authorized to practice by the state.
FRA representative means the Asso- NTSB means the National Transpor-
ciate Administrator for Safety of FRA, tation Safety Board.
the Associate Administrator’s delegate Passenger train means a train trans-
(including a qualified State inspector porting persons (other than employees,
acting under Part 212 of this chapter), contractors, or persons riding equip-
the Chief Counsel of FRA, or the Chief ment to observe or monitor railroad
Counsel’s delegate. operations) in intercity passenger serv-
General railroad system of transpor- ice, commuter or other short-haul serv-
tation means the general railroad sys- ice, or for excursion or recreational
tem of transportation in the United purposes.
States. Positive rate for random drug testing
Hazardous material means a com- means the number of verified positive
modity designated as a hazardous ma- results for random drug tests con-
terial by Part 172 of this title. ducted under this part plus the number
Impact accident means a train acci- of refusals of random drug tests re-
dent (i.e., a rail equipment accident in- quired by this part, divided by the
volving damage in excess of the current total number of random drug tests re-
reporting threshold (see § 225.19(e) of sults (i.e., positives, negatives, and re-
this chapter)) consisting of a head-on fusals) under this part.
collision, a rear-end collision, a side Possess means to have on one’s person
collision (including a collision at a or in one’s personal effects or under
railroad crossing at grade), a switching one’s control. However, the concept of
collision, or impact with a delib- possession as used in this part does not
erately-placed obstruction such as a include control by virtue of presence in
bumping post. The following are not the employee’s personal residence or
impact accidents: other similar location off of railroad
(1) An accident in which the derail- property.
ment of equipment causes an impact Railroad means any form of non-
with other rail equipment; highway ground transportation that
(2) Impact of rail equipment with ob- runs on rails or electromagnetic guide-
structions such as fallen trees, rock or ways, and any person providing such
snow slides, livestock, etc.; and transportation, including—
(3) Raking collisions caused by de- (1) Commuter or other short-haul
railment of rolling stock or operation railroad passenger service in a metro-
of equipment in violation of clearance politan or suburban area and com-
limitations. muter railroad service that was oper-
Independent with respect to a medical ated by the Consolidated Rail Corpora-
facility, means not under the owner- tion on January 1, 1979; and
ship or control of the railroad and not (2) High speed ground transportation
operated or staffed by a salaried officer systems that connect metropolitan
228
areas, without regard to whether those State means a State of the United
systems use new technologies not asso- States of America or the District of Co-
ciated with traditional railroads; but lumbia.
does not include rapid transit oper- Supervisory employee means an officer,
ations in an urban area that are not special agent, or other employee of the
connected to the general railroad sys- railroad who is not a co-worker and
tem of transportation. who is responsible for supervising or
Railroad property damage or damage to monitoring the conduct or performance
railroad property refers to damage to of one or more employees.
Train, except as context requires,
railroad property, including railroad
means a locomotive, or more than one
on-track equipment, signals, track,
locomotive coupled, with or without
track structures (including bridges and
cars. (A locomotive is a self-propelled
tunnels), or roadbed, including labor unit of equipment which can be used in
costs and all other costs for repair or train service.)
replacement in kind. Estimated cost Train accident means a passenger,
for replacement of railroad property freight, or work train accident de-
must be calculated as described in the scribed in § 225.19(c) of this chapter (a
FRA Guide for Preparing Accident/In- ‘‘rail equipment accident’’ involving
cident Reports. (See § 225.21 of this damage in excess of the current report-
chapter.) However, replacement of pas- ing threshold), including an accident
senger equipment is calculated based involving a switching movement.
on the cost of acquiring a new unit for Train incident means an event involv-
comparable service. ing the movement of railroad on-track
Reportable injury means an injury re- equipment that results in a casualty
portable under part 225 of this chapter but in which railroad property damage
except for an injury that is classified does not exceed the reporting thresh-
as ‘‘covered data’’ under § 225.5 of this old.
chapter (i.e., employee injury/illness United States means all of the States.
cases reportable exclusively because a Violation rate for random alcohol test-
physician or other licensed health care ing means the number of 0.04 and above
professional either made a one-time random alcohol confirmation test re-
topical application of a prescription- sults conducted under this part plus
strength medication to the employee’s the number of refusals of random alco-
injury or made a written recommenda- hol tests required by this part, divided
by the total number of random alcohol
tion that the employee: Take one or
screening tests (including refusals)
more days away from work when the
conducted under this part.
employee instead reports to work (or
would have reported had he or she been [66 FR 41973, Aug. 9, 2001, as amended at 68
scheduled) and takes no days away FR 10135, Mar. 3, 2003; 68 FR 75463, Dec. 31,
2003; 69 FR 19287, Apr. 12, 2004]
from work in connection with the in-
jury or illness; work restricted duty for § 219.7 Waivers.
one or more days when the employee
(a) A person subject to a requirement
instead works unrestricted (or would
of this part may petition the FRA for a
have worked unrestricted had he or she
waiver of compliance with such re-
been scheduled) and takes no other
quirement.
days of restricted work activity in con- (b) Each petition for waiver under
nection with the injury or illness; or this section must be filed in a manner
take over-the-counter medication at a and contain the information required
dosage equal to or greater than the by Part 211 of this chapter. A petition
minimum prescription strength, for waiver of the Part 40 prohibition
whether or not the employee actually against stand down of an employee be-
takes the medication. fore the Medical Review Officer has
Reporting threshold means the amount completed the verification must also
specified in § 225.19(e) of this chapter, as comply with § 40.21 of this title.
adjusted from time to time in accord- (c) If the FRA Administrator finds
ance with Appendix B to Part 225 of that waiver of compliance is in the
public interest and is consistent with
this chapter.
229
§ 219.9 49 CFR Ch. II (10–1–07 Edition)
railroad safety, the Administrator may violation of any such requirement is

grant the waiver subject to any nec- subject to a civil penalty of at least
essary conditions. $550 and not more than $11,000 per vio-
(d) Special dispensation for employees lation, except that: Penalties may be
performing train or dispatching service on assessed against individuals only for
existing cross-border operations. If a for- willful violations; where a grossly neg-
eign railroad requests a waiver not ligent violation or a pattern of re-
later than August 10, 2004, for an exist- peated violations has created an immi-
ing cross-border operation, subparts E, nent hazard of death or injury, or has
F, and G of this part shall not apply to caused death or injury, a penalty not
train or dispatching service on that op- to exceed $27,000 per violation may be
eration in the United States performed assessed; and the standard of liability
by an employee of a foreign railroad for a railroad will vary depending upon
whose primary reporting point is out- the requirement involved. See, e.g.,
side the United States, until the rail- § 219.105, which must be construed to
road’s waiver request is acted upon by qualify the responsibility of a railroad
FRA. for the unauthorized conduct of an em-
(e) Waiver requests for employees per- ployee that violates § 219.101 or § 219.102
forming train or dispatching service on (while imposing a duty of due diligence
new or expanded cross-border operations. to prevent such conduct). Each day a
A foreign railroad seeking a waiver violation continues constitutes a sepa-
from subparts E, F, and G of this part rate offense. See Appendix A to this
for its employees performing train or part for a statement of agency civil
dispatching service on a new cross-bor- penalty policy.
der operation that proceeds more than (b)(1) In the case of joint operations,
10 route miles into the United States, primary responsibility for compliance
or a formerly excepted cross-border op- with this part with respect to deter-
eration that expands beyond the 10 mination of events qualifying for
mile limited haul exception in para- breath or body fluid testing under Sub-
graph (d) of this section, must file a pe- parts C and D of this part rests with
tition not later than 90 days before the host railroad, and all affected em-
commencing the subject operation. ployees must be responsive to direction
FRA will attempt to decide on such pe- from the host railroad consistent with
titions within 90 days. If no action is this part. However, nothing in this
taken on the petition within 90 days, paragraph (b)(1) restricts the ability of
the petition remains pending for deci- the railroads to provide for an appro-
sion and the cross-border crew assign- priate assignment of responsibility for
ments on the operation covered by the compliance with this part as among
petition will be subject to subparts E, those railroads through a joint oper-
F, and G until FRA grants the petition ating agreement or other binding con-
should the petitioner commence the tract. FRA reserves the right to bring
proposed operation. an enforcement action for noncompli-
[66 FR 41973, Aug. 9, 2001, as amended at 69 ance with applicable portions of this
FR 19287, Apr. 12, 2004] part against the host railroad, the em-
ploying railroad, or both.
§ 219.9 Responsibility for compliance. (2) Where an employee of one railroad
(a) Any person (an entity of any type is required to participate in breath or
covered under 1 U.S.C. 1, including but body fluid testing under Subpart C or D
not limited to the following: A rail- of this part and is subsequently subject
road; a manager, supervisor, official, or to adverse action alleged to have arisen
other employee or agent of a railroad; out of the required test (or alleged re-
any owner, manufacturer, lessor, or fusal thereof), necessary witnesses and
lessee of railroad equipment, track, or documents available to the other rail-
facilities; any independent contractor road must be made available to the em-
providing goods or services to a rail- ployee on a reasonable basis.
road; and any employee of such owner, (c) Any independent contractor or
manufacturer, lessor, lessee, or inde- other entity that performs covered
pendent contractor) who violates any service for a railroad has the same re-
requirement of this part or causes the sponsibilities as a railroad under this
230
part, with respect to its employees who (1) The remaining portion of any
perform covered service. The entity’s body fluid specimen taken by the treat-
responsibility for compliance with this ing facility within 12 hours of the acci-
part may be fulfilled either directly by dent or incident that is not required
that entity or by the railroad’s treat- for medical purposes, together with
ing the entity’s employees who perform any normal medical facility record(s)
covered service as if they were its own pertaining to the taking of such speci-
employees for purposes of this part. men;
The responsibility for compliance must (2) The results of any laboratory
be clearly spelled out in the contract tests for alcohol or any drug conducted
between the railroad and the other en- by or for the treating facility on such
tity or in another document. In the ab- specimen;
sence of such a clear delineation of re- (3) The identity, dosage, and time of
sponsibility, FRA will hold the railroad administration of any drugs adminis-
and the other entity jointly and sever- tered by the treating facility prior to
ally liable for compliance. the time specimens were taken by the
treating facility or prior to the time
[66 FR 41973, Aug. 9, 2001, as amended at 69
specimens were taken in compliance
FR 30593, May 28, 2004]
with this part; and
EFFECTIVE DATE NOTE: At 72 FR 51196, (4) The results of any breath tests for
Sept. 6, 2007, § 219.9 was amended by removing alcohol conducted by or for the treat-
the numerical amount ‘‘$11,000’’ and adding ing facility.
(d) An employee required to partici-
pate in body fluid testing under sub-
§ 219.11 General conditions for chem- part C of this part (post-accident toxi-
ical tests. cological testing) or testing subject to
subpart H of this part shall, if re-
(a) Any employee who performs cov- quested by the representative of the
ered service for a railroad is deemed to railroad or the medical facility (includ-
have consented to testing as required ing, under subpart H of this part, a
in subparts B, C, D, and G of this part; non-medical contract collector), evi-
and consent is implied by performance dence consent to taking of specimens,
of such service. their release for toxicological analysis
(b)(1) Each such employee must par- under pertinent provisions of this part,
ticipate in such testing, as required and release of the test results to the
under the conditions set forth in this railroad’s Medical Review Officer by
part by a representative of the rail- promptly executing a consent form, if
road. required by the medical facility. The
(2) In any case where an employee employee is not required to execute
has sustained a personal injury and is any document or clause waiving rights
subject to alcohol or drug testing that the employee would otherwise
under this part, necessary medical have against the employer, and any
treatment must be accorded priority such waiver is void. The employee may
over provision of the breath or body not be required to waive liability with
fluid specimen(s). respect to negligence on the part of
(3) Failure to remain available fol- any person participating in the collec-
lowing an accident or casualty as re- tion, handling or analysis of the speci-
quired by company rules (i.e., being ab- men or to indemnify any person for the
sent without leave) is considered a re- negligence of others. Any consent pro-
fusal to participate in testing, without vided consistent with this section may
regard to any subsequent provision of be construed to extend only to those
specimens. actions specified in this section.
(c) A covered employee who is re- (e) Nothing in this part may be con-
quired to be tested under subpart C or strued to authorize the use of physical
D of this part and who is taken to a coercion or any other deprivation of
medical facility for observation or liberty in order to compel breath or
treatment after an accident or incident body fluid testing.
is deemed to have consented to the re- (f) Any railroad employee who per-
lease to FRA of the following: forms service for a railroad is deemed
231
§ 219.13 49 CFR Ch. II (10–1–07 Edition)
to have consented to removal of body matter, except a provision directed at a

fluid and/or tissue specimens necessary local hazard that is consistent with
for toxicological analysis from the re- this part and that does not impose an
mains of such employee, if such em- undue burden on interstate commerce.
ployee dies within 12 hours of an acci- (b) FRA does not intend by issuance
dent or incident described in subpart C of the regulations in this part to pre-
of this part as a result of such event. empt provisions of State criminal law
This consent is specifically required of that impose sanctions for reckless con-
employees not in covered service, as duct that leads to actual loss of life, in-
well as employees in covered service. jury or damage to property, whether
(g) Each supervisor responsible for such provisions apply specifically to
covered employees (except a working railroad employees or generally to the
supervisor within the definition of co- public at large.
worker under this part) must be
trained in the signs and symptoms of § 219.15 [Reserved]
alcohol and drug influence, intoxica-
tion and misuse consistent with a pro- § 219.17 Construction.
gram of instruction to be made avail- Nothing in this part—
able for inspection upon demand by (a) Restricts the power of FRA to
FRA. Such a program shall, at a min- conduct investigations under sections
imum, provide information concerning 20107, 20108, 20111, and 20112 of title 49,
the acute behavioral and apparent United States Code; or
physiological effects of alcohol and the (b) Creates a private right of action
major drug groups on the controlled on the part of any person for enforce-
substances list. The program must also ment of the provisions of this part or
provide training on the qualifying cri- for damages resulting from noncompli-
teria for post-accident testing con- ance with this part.
tained in subpart C of this part, and
the role of the supervisor in post-acci- § 219.19 [Reserved]
dent collections described in subpart C
and Appendix C of this part. The dura- § 219.21 Information collection.
tion of such training may not be less (a) The information collection re-
than 3 hours. quirements of this part have been re-
(h) Nothing in this subpart restricts viewed by the Office of Management
any discretion available to the railroad and Budget pursuant to the Paperwork
to request or require that an employee Reduction Act of 1980 (44 U.S.C. 3501 et
cooperate in additional body fluid test- seq.) and have been assigned OMB con-
ing. However, no such testing may be trol number 2130–0526.
performed on urine or blood specimens (b) The information collection re-
provided under this part. For purposes quirements are found in the following
of this paragraph (h), all urine from a sections: 219.7, 219.23, 219.104, 219.201,
void constitutes a single specimen. 219.203, 219.205, 219.207, 219.209, 219.211,
(i) A railroad required or authorized 219.213, 219.303, 219.401, 219.403, 219.405,
to conduct testing under this part may 219.407, 219.501, 219.502, 219.503, 219.601,
conduct all such testing in the United 219.605, 219.701, 219.801, 219.803, 219.901,
States. A foreign railroad required to and 219.903.
conduct testing under this part may
conduct such tests in its home country, § 219.23 Railroad policies.
provided that it otherwise complies (a) Whenever a breath or body fluid
with the requirements of this part. test is required of an employee under
[66 FR 41973, Aug. 9, 2001, as amended at 69 this part, the railroad must provide
FR 19288, Apr. 12, 2004] clear and unequivocal written notice to
the employee that the test is being re-
§ 219.13 Preemptive effect. quired under FRA regulations. Use of
(a) Under section 20106 of title 49, the mandated DOT form for drug or al-
United States Code, issuance of the cohol testing satisfies the require-
regulations in this part preempts any ments of this paragraph (a).
State law, rule, regulation, order or (b) Whenever a breath or body fluid
standard covering the same subject test is required of an employee under
232
this part, the railroad must provide (4) Specific information concerning
clear, unequivocal written notice of the employee conduct that is prohibited
basis or bases upon which the test is under subpart B of this part.
required (e.g., reasonable suspicion, (5) In the case of a railroad utilizing
violation of a specified operating/safety the accident/incident and rule viola-
rule enumerated in subpart D of this tion reasonable cause testing authority
part, random selection, follow-up, etc.). provided by this part, prior notice
Completion of the DOT alcohol or drug (which may be combined with the no-
testing form indicating the basis of the tice required by §§ 219.601(d)(1) and
test (prior to providing a copy to the 219.607(d)(1)), to covered employees of
employee) satisfies the requirement of the circumstances under which they
this paragraph (b). Use of the DOT will be subject to testing.
form for non-Federal tests is prohib- (6) The circumstances under which a
ited. covered employee will be tested under
this part.
(c) Use of approved forms for manda-
(7) The procedures that will be used
tory post-accident toxicological test-
to test for the presence of alcohol and
ing under subpart C of this part pro- controlled substances, protect the em-
vides the notifications required under ployee and the integrity of the testing
this section with respect to such tests. processes, safeguard the validity of the
Use of those forms for any other test is test results, and ensure that those re-
prohibited. sults are attributed to the correct em-
(d) Each railroad must provide edu- ployee.
cational materials that explain the re- (8) The requirement that a covered
quirements of this part, and the rail- employee submit to alcohol and drug
road’s policies and procedures with re- tests administered in accordance with
spect to meeting those requirements. this part.
(1) The railroad must ensure that a (9) An explanation of what con-
copy of these materials is distributed stitutes a refusal to submit to an alco-
to each covered employee prior to the hol or drug test and the attendant con-
start of alcohol testing under the rail- sequences.
road’s alcohol misuse prevention pro- (10) The consequences for covered
gram and to each person subsequently employees found to have violated Sub-
hired for or transferred to a covered po- part B of this part, including the re-
sition. quirement that the employee be re-
(2) Each railroad must provide writ- moved immediately from covered serv-
ten notice to representatives of em- ice, and the procedures under § 219.104.
ployee organizations of the availability (11) The consequences for covered
of this information. employees found to have an alcohol
(e) Required content. The materials to concentration of .02 or greater but less
be made available to employees must than .04.
(12) Information concerning the ef-
include detailed discussion of at least
fects of alcohol misuse on an individ-
the following:
ual’s health, work, and personal life;
(1) The identity of the person des- signs and symptoms of an alcohol prob-
ignated by the railroad to answer em- lem (the employee’s or a coworker’s);
ployee questions about the materials. and available methods of evaluating
(2) The classes or crafts of employees and resolving problems associated with
who are subject to the provisions of the misuse of alcohol, including utili-
this part. zation of the procedures set forth in
(3) Sufficient information about the subpart E of this part and the names,
safety-sensitive functions performed by addresses, and telephone numbers of
those employees to make clear that the substance abuse professionals and
period of the work day the covered em- counseling and treatment programs.
ployee is required to be in compliance (f) Optional provisions. The materials
with this part is that period when the supplied to employees may also include
employee is on duty and is required to information on additional railroad
perform or is available to perform cov- policies with respect to the use or pos-
ered service. session of alcohol and drugs, including
233
§ 219.101 49 CFR Ch. II (10–1–07 Edition)
any consequences for an employee if it has an independent basis for doing

found to have a specific alcohol con- so.
centration, that are based on the rail- (b) Controlled substance. ‘‘Controlled
road’s authority independent of this substance’’ is defined by § 219.5. Con-
part. Any such additional policies or trolled substances are grouped as fol-
consequences must be clearly and obvi- lows: marijuana, narcotics (such as
ously described as being based on inde- heroin and codeine), stimulants (such
pendent authority. as cocaine and amphetamines), depres-
sants (such as barbiturates and minor
Subpart B—Prohibitions tranquilizers), and hallucinogens (such
as the drugs known as PCP and LSD).
§ 219.101 Alcohol and drug use prohib-
ited. Controlled substances include illicit
drugs (Schedule I), drugs that are re-
(a) Prohibitions. Except as provided in quired to be distributed only by a med-
§ 219.103— ical practitioner’s prescription or other
(1) No employee may use or possess authorization (Schedules II through IV,
alcohol or any controlled substance
and some drugs on Schedule V), and
while assigned by a railroad to perform
certain preparations for which dis-
covered service.
tribution is through documented over
(2) No employee may report for cov-
ered service, or go or remain on duty in the counter sales (Schedule V only).
covered service while— (c) Railroad rules. Nothing in this sec-
(i) Under the influence of or impaired tion restricts a railroad from imposing
by alcohol; an absolute prohibition on the presence
(ii) Having .04 or more alcohol con- of alcohol or any drug in the body
centration in the breath or blood; or fluids of persons in its employ, whether
(iii) Under the influence of or im- in furtherance of the purpose of this
paired by any controlled substance. part or for other purposes.
(3) No employee may use alcohol for (d) Construction. This section may not
whichever is the lesser of the following be construed to prohibit the presence
periods: of an unopened container of an alco-
(i) Within four hours of reporting for holic beverage in a private motor vehi-
covered service; or cle that is not subject to use in the
(ii) After receiving notice to report business of the railroad; nor may it be
for covered service. construed to restrict a railroad from
(4) No employee tested under the pro- prohibiting such presence under its
visions of this part whose test result own rules.
indicates an alcohol concentration of
.02 or greater but less than .04 may per- § 219.102 Prohibition on abuse of con-
form or continue to perform covered trolled substances.
service functions for a railroad, nor No employee who performs covered
may a railroad permit the employee to
service may use a controlled substance
perform or continue to perform covered
at any time, whether on duty or off
service, until the start of the employ-
duty, except as permitted by § 219.103.
ee’s next regularly scheduled duty pe-
riod, but not less than eight hours fol- § 219.103 Prescribed and over-the-
lowing administration of the test. counter drugs.
(5) If an employee tested under the
provisions of this part has a test result (a) This subpart does not prohibit the
indicating an alcohol concentration use of a controlled substance (on
below 0.02, the test must be considered Schedules II through V of the con-
negative and is not evidence of alcohol trolled substance list) prescribed or au-
misuse. A railroad may not use a fed- thorized by a medical practitioner, or
eral test result below 0.02 either as evi- possession incident to such use, if—
dence in a company proceeding or as a (1) The treating medical practitioner
basis for subsequent testing under com- or a physician designated by the rail-
pany authority. A railroad may take road has made a good faith judgment,
further action to compel cooperation in with notice of the employee’s assigned
other breath or body fluid testing only duties and on the basis of the available
234
medical history, that use of the sub- (b) Notice. Prior to or upon with-
stance by the employee at the pre- drawing the employee from covered
scribed or authorized dosage level is service under this section, the railroad
consistent with the safe performance of must provide notice to the employee of
the employee’s duties; the reason for this action.
(2) The substance is used at the dos- (c) Hearing procedures. (1) If the em-
age prescribed or authorized; and ployee denies that the test result is
(3) In the event the employee is being valid evidence of alcohol or drug use
treated by more than one medical prac- prohibited by this subpart, the em-
titioner, at least one treating medical ployee may demand and must be pro-
practitioner has been informed of all vided an opportunity for a prompt
medications authorized or prescribed post-suspension hearing before a pre-
and has determined that use of the siding officer other than the charging
medications is consistent with the safe official. This hearing may be consoli-
performance of the employee’s duties dated with any disciplinary hearing
(and the employee has observed any re- arising from the same accident or inci-
strictions imposed with respect to use dent (or conduct directly related there-
of the medications in combination). to), but the presiding officer must
(b) This subpart does not restrict any make separate findings as to compli-
discretion available to the railroad to ance with §§ 219.101 and 219.102.
require that employees notify the rail- (2) The hearing must be convened
road of therapeutic drug use or obtain within the period specified in the appli-
prior approval for such use.
cable collective bargaining agreement.
§ 219.104 Responsive action. In the absence of an agreement provi-
sion, the employee may demand that
(a) Removal from covered service. (1) If the hearing be convened within 10 cal-
the railroad determines that an em- endar days of the suspension or, in the
ployee has violated § 219.101 or § 219.102, case of an employee who is unavailable
or the alcohol or controlled substances due to injury, illness, or other suffi-
misuse rule of another DOT agency, cient cause, within 10 days of the date
the railroad must immediately remove the employee becomes available for
the employee from covered service and
hearing.
the procedures described in paragraphs
(3) A post-suspension proceeding con-
(b) through (e) of this section apply.
(2) If an employee refuses to provide forming to the requirements of an ap-
breath or a body fluid specimen or plicable collective bargaining agree-
specimens when required to by the railment, together with the provisions for
road under a mandatory provision of adjustment of disputes under sec. 3 of
this part, the railroad must imme- the Railway Labor Act (49 U.S.C. 153),
diately remove the employee from cov- satisfies the procedural requirements
ered service, and the procedures de- of this paragraph (c).
scribed in paragraphs (b) through (e) of (4) Nothing in this part may be
this section apply. deemed to abridge any additional pro-
(3)(i) This section does not apply to cedural rights or remedies not incon-
actions based on breath or body fluid sistent with this part that are avail-
tests for alcohol or drugs that are con- able to the employee under a collective
ducted exclusively under authority bargaining agreement, the Railway
other than that provided in this part Labor Act, or (with respect to employ-
(e.g., testing under a company medical ment at will) at common law with re-
policy, for-cause testing policy wholly spect to the removal or other adverse
independent of subpart D of this part, action taken as a consequence of a
or testing under a labor agreement). positive test result in a test authorized
(ii) This section and the information or required by this part.
requirements listed in § 219.23 do not (5) Nothing in this part restricts the
apply to applicants who refuse to sub- discretion of the railroad to treat an
mit to a pre-employment test or who employee’s denial of prohibited alcohol
have a pre-employment test with a re- or drug use as a waiver of any privilege
sult indicating the misuse of alcohol or the employee would otherwise enjoy to
controlled substances. have such prohibited alcohol or drug
235
§ 219.105 49 CFR Ch. II (10–1–07 Edition)
use treated as a non-disciplinary mat- the same conditions specified in

ter or to have discipline held in abey- § 219.104(d), and the employee must be
ance. subject to follow-up tests, as provided
(d) The railroad must comply with by that section.
the return-to-service and follow-up
testing requirements, and the Sub- Subpart C—Post-Accident
stance Abuse Professional conflict-of- Toxicological Testing
interest prohibitions, contained in
§§ 40.305, 40.307, and 40.299 of this title, § 219.201 Events for which testing is
respectively. required.
§ 219.105 Railroad’s duty to prevent (a) List of events. Except as provided
violations. in paragraph (b) of this section, post-
accident toxicological tests must be
(a) A railroad may not, with actual
conducted after any event that in-
knowledge, permit an employee to go
volves one or more of the cir-
or remain on duty in covered service in
cumstances described in paragraphs
violation of the prohibitions of § 219.101
(a)(1) through (4) of this section:
or § 219.102. As used in this section, the
(1) Major train accident. Any train ac-
knowledge imputed to the railroad
cident (i.e., a rail equipment accident
must be limited to that of a railroad
involving damage in excess of the cur-
management employee (such as a su-
rent reporting threshold) that involves
pervisor deemed an ‘‘officer,’’ whether
one or more of the following:
or not such person is a corporate offi-
(i) A fatality;
cer) or a supervisory employee in the
offending employee’s chain of com- (ii) A release of hazardous material
mand. lading from railroad equipment accom-
(b) A railroad must exercise due dili- panied by—
gence to assure compliance with (A) An evacuation; or
§§ 219.101 and 219.102 by each covered (B) A reportable injury resulting
employee. from the hazardous material release
(e.g., from fire, explosion, inhalation,
§ 219.107 Consequences of unlawful re- or skin contact with the material); or
fusal. (iii) Damage to railroad property of
(a) An employee who refuses to pro- $1,000,000 or more.
vide breath or a body fluid specimen or (2) Impact accident. An impact acci-
specimens when required to by the rail- dent (i.e., a rail equipment accident de-
road under a mandatory provision of fined as an ‘‘impact accident’’ in § 219.5)
this part must be deemed disqualified that involves damage in excess of the
for a period of nine (9) months. current reporting threshold, resulting
(b) Prior to or upon withdrawing the in—
employee from covered service under (i) A reportable injury; or
this section, the railroad must provide (ii) Damage to railroad property of
notice of the reason for this action, and $150,000 or more.
the procedures described in § 219.104(c) (3) Fatal train incident. Any train in-
apply. cident that involves a fatality to any
(c) The disqualification required by on-duty railroad employee.
this section applies with respect to em- (4) Passenger train accident. Report-
ployment in covered service by any able injury to any person in a train ac-
railroad with notice of such disquali- cident (i.e., a rail equipment accident
fication. involving damage in excess of the cur-
(d) The requirement of disqualifica- rent reporting threshold) involving a
tion for nine (9) months does not limit passenger train.
any discretion on the part of the rail- (b) Exceptions. No test may be re-
road to impose additional sanctions for quired in the case of a collision be-
the same or related conduct. tween railroad rolling stock and a
(e) Upon the expiration of the 9- motor vehicle or other highway con-
month period described in this section, veyance at a rail/highway grade cross-
a railroad may permit the employee to ing. No test may be required in the
return to covered service only under case of an accident/incident the cause
236
and severity of which are wholly at- (iv) Any estimates of railroad prop-
tributable to a natural cause (e.g., erty damage made by persons not at
flood, tornado, or other natural dis- the scene must be based on descrip-
aster) or to vandalism or trespasser(s), tions of specific physical damage pro-
as determined on the basis of objective vided by the on-scene railroad rep-
and documented facts by the railroad resentative.
representative responding to the scene. (v) In the case of an accident involv-
(c) Good faith determinations. (1)(i) ing passenger equipment, a host rail-
The railroad representative responding road may rely upon the damage esti-
to the scene of the accident/incident mates provided by the passenger rail-
must determine whether the accident/ road (whether present on scene or not)
incident falls within the requirements in making the decision whether testing
of paragraph (a) of this section or is is required, subject to the same re-
within the exception described in para- quirement that visible physical dam-
graph (b) of this section. It is the duty age be specifically described.
of the railroad representative to make (2) A railroad must not require an
reasonable inquiry into the facts as employee to provide blood or urine
necessary to make such determina- specimens under the authority or pro-
tions. In making such inquiry, the rail- cedures of this subject unless the rail-
road representative must consider the road has made the determinations re-
quired by this section, based upon rea-
need to obtain specimens as soon as
sonable inquiry and good faith judg-
practical in order to determine the
ment. A railroad does not act in excess
presence or absence of impairing sub-
of its authority under this subpart if
stances reasonably contemporaneous
its representative has made such rea-
with the accident/incident. The rail-
sonable inquiry and exercised such
road representative satisfies the re-
good faith judgment, but it is later de-
quirement of this section if, after mak-
termined, after investigation, that one
ing reasonable inquiry, the representa-
or more of the conditions thought to
tive exercises good faith judgement in
have required testing were not, in fact,
making the required determinations.
present. However, this section does not
(ii) The railroad representative mak- excuse the railroad for any error aris-
ing the determinations required by this ing from a mistake of law (e.g., appli-
section may not be a person directly cation of testing criteria other than
involved in the accident/incident. This those contained in this part).
section does not prohibit consultation (3) A railroad is not in violation of
between the responding railroad rep- this subpart if its representative has
resentative and higher level railroad made such reasonable inquiry and exer-
officials; however, the responding rail- cised such good faith judgment but
road representative must make the fac- nevertheless errs in determining that
tual determinations required by this post-accident testing is not required.
section. (4) An accident/incident with respect
(iii) Upon specific request made to to which the railroad has made reason-
the railroad by the Associate Adminis- able inquiry and exercised good faith
trator for Safety, FRA (or the Asso- judgment in determining the facts nec-
ciate Administrator’s delegate), the essary to apply the criteria contained
railroad must provide a report describ- in paragraph (a) of this section is
ing any decision by a person other than deemed a qualifying event for purposes
the responding railroad representative of specimen analysis, reporting, and
with respect to whether an accident/in- other purposes.
cident qualifies for testing. This report (5) In the event specimens are col-
must be affirmed by the decision lected following an event determined
maker and must be provided to FRA by FRA not to be a qualifying event
within 72 hours of the request. The re- within the meaning of this section,
port must include the facts reported by FRA directs its designated laboratory
the responding railroad representative, to destroy any specimen material sub-
the basis upon which the testing deci- mitted and to refrain from disclosing
sion was made, and the person making to any person the results of any anal-
the decision. ysis conducted.
237
§ 219.203 49 CFR Ch. II (10–1–07 Edition)
§ 219.203 Responsibilities of railroads jured in train accidents and incidents

and employees. is required.
(a) Employees tested. (1)(i) Following (b) Timely specimen collection. (1) The
each accident and incident described in railroad must make every reasonable
§ 219.201, the railroad (or railroads) effort to assure that specimens are pro-
must take all practicable steps to as- vided as soon as possible after the acci-
sure that all covered employees of the dent or incident.
railroad directly involved in the acci- (2) This paragraph (b) must not be
dent or incident provide blood and construed to inhibit the employees re-
urine specimens for toxicological test- quired to be tested from performing, in
ing by FRA. Such employees must co- the immediate aftermath of the acci-
operate in the provision of specimens dent or incident, any duties that may
as described in this part and Appendix be necessary for the preservation of life
C to this part. or property. However, where practical,
(ii) If the conditions for mandatory the railroad must utilize other employ-
toxicological testing exist, the railroad ees to perform such duties.
may also require employees to provide (3) In the case of a passenger train
breath for testing in accordance with which is in proper condition to con-
the procedures set forth in part 40 of tinue to the next station or its destina-
this title and in this part, if such test- tion after an accident or incident, the
ing does not interfere with timely col- railroad must consider the safety and
lection of required specimens. convenience of passengers in deter-
(2) Such employees must specifically mining whether the crew is imme-
include each and every operating em- diately available for testing. A relief
ployee assigned as a crew member of crew must be called to relieve the train
any train involved in the accident or crew as soon as possible.
incident. In any case where an oper- (4) Covered employees who may be
ator, dispatcher, signal maintainer or subject to testing under this subpart
other covered employee is directly and must be retained in duty status for the
contemporaneously involved in the cir- period necessary to make the deter-
cumstances of the accident/incident, minations required by § 219.201 and this
those employees must also be required section and (as appropriate) to com-
to provide specimens. plete the specimen collection proce-
(3) An employee must be excluded dure. An employee may not be recalled
from testing under the following cir- for testing under this subpart if that
cumstances: In any case of an accident/ employee has been released from duty
incident for which testing is mandated under the normal procedures of the
only under § 219.201(a)(2) (an ‘‘impact railroad, except that an employee may
accident’’), § 219.201(a)(3) (‘‘fatal train be immediately recalled for testing if—
incident’’), or § 219.201(a)(4) (a ‘‘pas- (i) The employee could not be re-
senger train accident with injury’’) if tained in duty status because the em-
the railroad representative can imme- ployee went off duty under normal car-
diately determine, on the basis of spe- rier procedures prior to being con-
cific information, that the employee tacted by a railroad supervisor and in-
had no role in the cause(s) or severity structed to remain on duty pending
of the accident/incident. The railroad completion of the required determina-
representative must consider any such tions (e.g., in the case of a dispatcher
information immediately available at or signal maintainer remote from the
the time the qualifying event deter- scene of an accident who was unaware
mination is made under § 219.201. of the occurrence at the time the em-
(4) The following provisions govern ployee went off duty);
accidents/incidents involving non-cov- (ii) The railroad’s preliminary inves-
ered employees: tigation (contemporaneous with the de-
(i) Surviving non-covered employees termination required by § 219.201) indi-
are not subject to testing under this cates a clear probability that the em-
subpart. ployee played a major role in the cause
(ii) Testing of the remains of non- or severity of the accident/incident;
covered employees who are fatally in- and
238
(iii) The accident/incident actually priate measures to assist in obtaining

occurred during the employee’s duty the required specimen.
tour. An employee who has been trans- (e) Discretion of physician. Nothing in
ported to receive medical care is not this subpart may be construed to limit
released from duty for purposes of this the discretion of a physician to deter-
section. Nothing in this section pro- mine whether drawing a blood speci-
hibits the subsequent testing of an em- men is consistent with the health of an
ployee who has failed to remain avail- injured employee or an employee af-
able for testing as required (i.e., who is flicted by any other condition that
absent without leave); but subsequent may preclude drawing the specified
testing does not excuse such refusal by quantity of blood.
the employee timely to provide the re-
quired specimens. § 219.205 Specimen collection and han-
(c) Place of specimen collection. (1) Em- dling.
ployees must be transported to an inde- (a) General. Urine and blood speci-
pendent medical facility where the mens must be obtained, marked, pre-
specimens must be obtained. The rail- served, handled, and made available to
road must pre-designate for such test- FRA consistent with the requirements
ing one or more such facilities in rea- of this subpart, and the technical speci-
sonable proximity to any location fications set forth in Appendix C to
where the railroad conducts oper- this part.
ations. Designation must be made on (b) Information requirements. In order
the basis of the willingness of the facil- to process specimens, analyze the sig-
ity to conduct specimen collection and nificance of laboratory findings, and
the ability of the facility to complete notify the railroads and employees of
specimen collection promptly, profes- test results, it is necessary to obtain
sionally, and in accordance with perti- basic information concerning the acci-
nent requirements of this part. In all dent/incident and any treatment ad-
cases blood may be drawn only by a ministered after the accident/incident.
qualified medical professional or by a Accordingly, the railroad representa-
qualified technician subject to the su- tive must complete the information re-
pervision of a qualified medical profes- quired by Form FRA 6180.73 (revised)
sional. for shipping with the specimens. Each
(2) In the case of an injured em- employee subject to testing must co-
ployee, the railroad must request the operate in completion of the required
treating medical facility to obtain the information on Form FRA F 6180.74 (re-
specimens. vised) for inclusion in the shipping kit
(d) Obtaining cooperation of facility. (1) and processing of the specimens. The
In seeking the cooperation of a medical railroad representative must request
facility in obtaining a specimen under an appropriate representative of the
this subpart, the railroad shall, as nec- medical facility to complete the re-
essary, make specific reference to the maining portion of the information on
requirements of this subpart. each Form 6180.74. One Form 6180.73
(2) If an injured employee is uncon- must be forwarded in the shipping kit
scious or otherwise unable to evidence with each group of specimens. One
consent to the procedure and the treat- Form 6180.74 must be forwarded in the
ing medical facility declines to obtain shipping kit for each employee who
blood specimens after having been ac- provides specimens. Forms 6180.73 and
quainted with the requirements of this 6180.74 may be ordered from the labora-
subpart, the railroad must imme- tory specified in Appendix B to this
diately notify the duty officer at the part; the forms are also provided to
National Response Center (NRC) at railroads free of charge in the shipping
(800) 424–8801 or (800) 424–8802, stating kit. (See paragraph (c) of this section.)
the employee’s name, the medical fa- (c) Shipping kit. (1) FRA and the lab-
cility, its location, the name of the ap- oratory designated in Appendix B to
propriate decisional authority at the this part make available for purchase a
medical facility, and the telephone limited number of standard shipping
number at which that person can be kits for the purpose of routine handling
reached. FRA will then take appro- of toxicological specimens under this
239
§ 219.206 49 CFR Ch. II (10–1–07 Edition)
subpart. Whenever possible, specimens oner or medical examiner) of the fatal-

must be placed in the shipping kit pre- ity and the requirements of this sub-
pared for shipment according to the in- part, making available the shipping kit
structions provided in the kit and Ap- and requesting the local authority to
pendix C to this part. assist in obtaining the necessary body
(2) Kits may be ordered directly from fluid or tissue specimens. The railroad
the laboratory designated in Appendix must also seek the assistance of the
B to this part. custodian of the remains, if a person
(3) FRA maintains a limited number other than the local authority.
of kits at its field offices. A Class III (b) If the local authority or custodian
railroad may utilize kits in FRA’s pos- of the remains declines to cooperate in
session, rather than maintaining such obtaining the necessary specimens, the
kits on its property. railroad must immediately notify the
(d) Shipment. Specimens must be duty officer at the National Response
shipped as soon as possible by pre-paid Center (NRC) at (800) 424–8801 or (800)
air express or air freight (or other 424–8802 by providing the following in-
means adequate to ensure delivery formation:
within twenty-four (24) hours from (1) Date and location of the accident
time of shipment) to the laboratory or incident;
designated in Appendix B to this part. (2) Railroad;
Where express courier pickup is avail- (3) Name of the deceased;
able, the railroad must request the (4) Name and telephone number of
medical facility to transfer the sealed custodian of the remains; and
toxicology kit directly to the express (5) Name and telephone number of
courier for transportation. If courier local authority contacted.
pickup is not available at the medical (c) A coroner, medical examiner, pa-
facility where the specimens are col- thologist, Aviation Medical Examiner,
lected or for any other reason prompt or other qualified professional is au-
transfer by the medical facility cannot thorized to remove the required body
be assured, the railroad must promptly fluid and/or tissue specimens from the
transport the sealed shipping kit hold- remains on request of the railroad or
ing the specimens to the most expedi- FRA pursuant to this part; and, in so
tious point of shipment via air express, acting, such person is the delegate of
air freight or equivalent means. The the FRA Administrator under sections
railroad must maintain and document 20107 and 20108 of title 49, United States
secure chain of custody of the kit from Code (but not the agent of the Sec-
release by the medical facility to deliv- retary for purposes of the Federal Tort
ery for transportation, as described in Claims Act (chapter 171 of title 28,
Appendix C to this part. United States Code). Such qualified
professional may rely upon the rep-
§ 219.206 FRA access to breath test re- resentations of the railroad or FRA
sults. representative with respect to the oc-
Documentation of breath test results currence of the event requiring that
must be made available to FRA con- toxicological tests be conducted and
sistent with the requirements of this the coverage of the deceased employee
subpart, and the technical specifica- under this part.
tions set forth in Appendix C to this (d) Appendix C to this part specifies
part. body fluid and tissue specimens re-
quired for toxicological analysis in the
§ 219.207 Fatality. case of a fatality.
(a) In the case of an employee fatal-
ity in an accident or incident described § 219.209 Reports of tests and refusals.
in § 219.201, body fluid and/or tissue (a)(1) A railroad that has experienced
specimens must be obtained from the one or more events for which speci-
remains of the employee for toxi- mens were obtained must provide
cological testing. To ensure that speci- prompt telephonic notification summa-
mens are timely collected, the railroad rizing such events. Notification must
must immediately notify the appro- immediately be provided to the duty
priate local authority (such as a cor- officer at the National Response Center
240
(NRC) at (800) 424–8802 and to the Office test results and any information con-
of Safety, FRA, at (202) 493–6313. cerning medical use or administration
(2) Each telephonic report must con- of drugs provided under this subpart in
tain: the same confidential manner as if sub-
(i) Name of railroad; ject to subpart H of this part, except
(ii) Name, title and telephone num- where publicly disclosed by FRA or the
ber of person making the report; National Transportation Safety Board.
(iii) Time, date and location of the (c) With respect to a surviving em-
accident/incident; ployee, a test reported as positive for
(iv) Brief summary of the cir- alcohol or a controlled substance by
cumstances of the accident/incident,
the designated laboratory must be re-
including basis for testing; and
viewed by the railroad’s Medical Re-
(v) Number, names and occupations
view Officer with respect to any claim
of employees tested.
(b) If the railroad is unable, as a re- of use or administration of medications
sult of non-cooperation of an employee (consistent with § 219.103) that could ac-
or for any other reason, to obtain a count for the laboratory findings. The
specimen and cause it to be provided to Medical Review Officer must promptly
FRA as required by this subpart, the report the results of each review to the
railroad must make a concise narrative Associate Administrator for Safety,
report of the reason for such failure FRA, Washington, DC 20590. Such re-
and, if appropriate, any action taken in port must be in writing and must ref-
response to the cause of such failure. erence the employing railroad, acci-
This report must be appended to the re- dent/incident date, and location, and
port of the accident/incident required the envelope must be marked ‘‘AD-
to be submitted under Part 225 of this MINISTRATIVELY CONFIDENTIAL:
chapter. ATTENTION ALCOHOL/DRUG PRO-
(c) If a test required by this section is GRAM MANAGER.’’ The report must
not administered within four hours fol- state whether the MRO reported the
lowing the accident or incident, the test result to the employing railroad as
railroad must prepare and maintain on positive or negative and the basis of
file a record stating the reasons the any determination that analytes de-
test was not promptly administered. tected by the laboratory derived from
Records must be submitted to FRA authorized use (including a statement
upon request of the FRA Associate Ad- of the compound prescribed, dosage/fre-
ministrator for Safety. quency, and any restrictions imposed
§ 219.211 Analysis and follow-up. by the authorized medical practi-
tioner). Unless specifically requested
(a) The laboratory designated in Ap- by FRA in writing, the Medical Review
pendix B to this part undertakes Officer may not disclose to FRA the
prompt analysis of specimens provided underlying physical condition for
under this subpart, consistent with the which any medication was authorized
need to develop all relevant informa-
or administered. The FRA is not bound
tion and produce a complete report.
by the railroad Medical Review Offi-
Specimens are analyzed for alcohol and
cer’s determination, but that deter-
controlled substances specified by FRA
under protocols specified by FRA, sum- mination will be considered by FRA in
marized in Appendix C to this part, relation to the accident/incident inves-
which have been submitted to Health tigation and with respect to any en-
and Human Services for acceptance. forcement action under consideration.
Specimens may be analyzed for other (d) To the extent permitted by law,
impairing substances specified by FRA FRA treats test results indicating med-
as necessary to the particular accident ical use of controlled substances con-
investigation. sistent with § 219.103 (and other infor-
(b) Results of post-accident toxi- mation concerning medically author-
cological testing under this subpart are ized drug use or administration pro-
reported to the railroad’s Medical Re- vided incident to such testing) as ad-
view Officer and the employee. The ministratively confidential and with-
MRO and the railroad must treat the
holds public disclosure, except where it
241
§ 219.211 49 CFR Ch. II (10–1–07 Edition)
is necessary to consider this informa- employees with rule violations, or for

tion in an accident investigation in re- holding an investigation, may not be
lation to determination of probable deemed to run as to any offense involv-
cause. (However, as further provided in ing the accident or incident (i.e., such
this section, FRA may provide results periods must be tolled).
of testing under this subpart and sup- (2) This provision may not be con-
porting documentation to the National strued to excuse the railroad from any
Transportation Safety Board.) obligation to timely charge an em-
(e) An employee may respond in writ- ployee (or provide other actual notice)
ing to the results of the test prior to where the railroad obtains sufficient
the preparation of any final investiga- information relating to alcohol or drug
tion report concerning the accident or use, impairment or possession or other
incident. An employee wishing to re- rule violations prior to the receipt to
spond may do so by letter addressed to toxicological analysis.
the Alcohol/Drug Program Manager, (3) This provision does not authorize
Office of Safety, FRA, 400 Seventh holding any employee out of service
Street, S.W., Washington, DC 20590 pending receipt of toxicological anal-
within 45 days of receipt of the test re- ysis; nor does it restrict a railroad
sults. Any such submission must refer from taking such action in an appro-
to the accident date, railroad and loca- priate case.
tion, must state the position occupied
(h) Except as provided in § 219.201
by the employee on the date of the ac-
(with respect to non-qualifying events),
cident/incident, and must identify any
each specimen (including each split
information contained therein that the
specimen) provided under this subpart
employee requests be withheld from
is retained for not less than three
public disclosure on grounds of per-
sonal privacy (but the decision whether months following the date of the acci-
to honor such request will be made by dent or incident (two years from the
the FRA on the basis of controlling date of the accident or incident in the
law). case of a specimen testing positive for
(f)(1) The toxicology report may con- alcohol or a controlled substance).
tain a statement of pharmacological Post-mortem specimens may be made
significance to assist FRA and other available to the National Transpor-
parties in understanding the data re- tation Safety Board (on request).
ported. No such statement may be con- (i) An employee (donor) may, within
strued as a finding of probable cause in 60 days of the date of the toxicology re-
the accident or incident. port, request that his or her split speci-
(2) The toxicology report is a part of men be tested by the designated lab-
the report of the accident/incident and oratory or by another laboratory cer-
therefore subject to the limitation of 49 tified by Health and Human Services
U.S.C. 20903 (prohibiting use of the re- under that Department’s Guidelines for
port for any purpose in a civil action Federal Workplace Drug Testing Pro-
for damages resulting from a matter grams that has available an appro-
mentioned in the report). priate, validated assay for the fluid and
(g)(1) It is in the public interest to compound declared positive. Since
ensure that any railroad disciplinary some analytes may deteriorate during
actions that may result from accidents storage, detected levels of the com-
and incidents for which testing is re- pound shall, as technically appropriate,
quired under this subpart are disposed be reported and considered corrobora-
of on the basis of the most complete tive of the original test result. Any re-
and reliable information available so quest for a retest shall be in writing,
that responsive action will be appro- specify the railroad, accident date and
priate. Therefore, during the interval location, be signed by the employee/
between an accident or incident and donor, be addressed to the Associate
the date that the railroad receives no- Administrator for Safety, Federal Rail-
tification of the results of the toxi- road Administration, Washington, DC
cological analysis, any provision of col- 20590, and be designated ‘‘ADMINIS-
lective bargaining agreements estab- TRATIVELY CONFIDENTIAL: AT-
lishing maximum periods for charging TENTION ALCOHOL/DRUG PROGRAM
242
MANAGER.’’ The expense of any em- road’s determination that reasonable

ployee-requested split specimen test at suspicion exists to require the covered
a laboratory other than the laboratory employee to undergo an alcohol test
designated under this subpart shall be must be based on specific, contempora-
borne by the employee. neous, articulable observations con-
cerning the appearance, behavior,
§ 219.213 Unlawful refusals; con-
sequences. speech or body odors of the employee.
(2) A railroad must require a covered
(a) Disqualification. An employee who employee to submit to a drug test
refuses to cooperate in providing when the railroad has reasonable sus-
breath, blood or urine specimens fol-
picion to believe that the employee has
lowing an accident or incident speci-
violated the prohibitions of subpart B
fied in this subpart must be withdrawn
of this part concerning use of con-
from covered service and must be
deemed disqualified for covered service trolled substances. The railroad’s de-
for a period of nine (9) months in ac- termination that reasonable suspicion
cordance with the conditions specified exists to require the covered employee
in § 219.107. to undergo a drug test must be based
(b) Procedures. Prior to or upon with- on specific, contemporaneous,
drawing the employee from covered articulable observations concerning
service under this section, the railroad the appearance, behavior, speech or
must provide notice of the reason for body odors of the employee. Such ob-
this action and an opportunity for servations may include indications of
hearing before a presiding officer other the chronic and withdrawal effects of
than the charging official. The em- drugs.
ployee is entitled to the procedural (b)(1) With respect to an alcohol test,
protection set out in § 219.104(d). the required observations must be
(c) Subject of hearing. The hearing re- made by a supervisor trained in accord-
quired by this section must determine ance with § 219.11(g). The supervisor
whether the employee refused to sub- who makes the determination that rea-
mit to testing, having been requested sonable suspicion exists may not con-
to submit, under authority of this sub- duct testing on that employee.
part, by a representative of the rail- (2) With respect to a drug test, the
road. In determining whether a dis- required observations must be made by
qualification is required, the hearing two supervisors, at least one of whom
official shall, as appropriate, also con- is trained in accordance with § 219.11(g).
sider the following:
(c) Nothing in this section may be
(1) Whether the railroad made a good
faith determination, based on reason- construed to require the conduct of al-
able inquiry, that the accident or inci- cohol testing or drug testing when the
dent was within the mandatory testing employee is apparently in need of im-
requirements of this subpart; and mediate medical attention.
(2) In a case where a blood test was (d)(1) If a test required by this sec-
refused on the ground it would be in- tion is not administered within two
consistent with the employee’s health, hours following the determination
whether such refusal was made in good under this section, the railroad must
faith and based on medical advice. prepare and maintain on file a record
stating the reasons the test was not
Subpart D—Testing for Cause properly administered. If a test re-
quired by this section is not adminis-
§ 219.300 Mandatory reasonable sus- tered within eight hours of the deter-
picion testing. mination under this section, the rail-
(a) Requirements. (1) A railroad must road must cease attempts to admin-
require a covered employee to submit ister an alcohol test and must state in
to an alcohol test when the railroad the record the reasons for not admin-
has reasonable suspicion to believe istering the test. Records must be sub-
that the employee has violated any mitted to FRA upon request of the
prohibition of subpart B of this part FRA Administrator.
concerning use of alcohol. The rail-
(2) [Reserved]
243
§ 219.301 49 CFR Ch. II (10–1–07 Edition)
§ 219.301 Testing for reasonable cause. (C) Moving across a railroad crossing
(a) Authorization. A railroad may, at grade without authorization; or
under the conditions specified in this (D) Passing an absolute restrictive
subpart, require any covered employee, signal or passing a restrictive signal
as a condition of employment in cov- without stopping (if required);
ered service, to cooperate in breath or (ii) Failure to protect a train as re-
body fluid testing, or both, to deter- quired by a rule consistent with § 218.37
mine compliance with §§ 219.101 and of this chapter (including failure to
219.102 or a railroad rule implementing protect a train that is fouling an adja-
the requirements of §§ 219.101 and cent track, where required by the rail-
219.102. This authority is limited to road’s rules);
testing after observations or events (iii) Operation of a train at a speed
that occur during duty hours (includ- that exceeds the maximum authorized
ing any period of overtime or emer- speed by at least ten (10) miles per hour
gency service). The provisions of this or by fifty percent (50%) of such max-
subpart apply only when, and to the ex- imum authorized speed, whichever is
tent that, the test in question is con- less;
ducted in reliance upon the authority (iv) Alignment of a switch in viola-
conferred by this section. Section 219.23 tion of a railroad rule, failure to align
prescribes the notice to an employee a switch as required for movement, op-
that is required when an employee is eration of a switch under a train, or
required to provide a breath or body unauthorized running through a
fluid specimen under this part. A rail- switch;
road may not require an employee to (v) Failure to apply or stop short of
be tested under the authority of this derail as required;
subpart unless reasonable cause, as de- (vi) Failure to secure a hand brake or
fined in this section, exists with re- failure to secure sufficient hand
spect to that employee. brakes, as required;
(b) For cause breath testing. In addi-
(vii) Entering a crossover before both
tion to reasonable suspicion as de-
switches are lined for movement; or
scribed in § 219.300, the following cir-
cumstances constitute cause for the (viii) In the case of a person per-
administration of alcohol tests under forming a dispatching function or
this section: block operator function, issuance of a
(1) [Reserved] train order or establishment of a route
(2) Accident/incident. The employee that fails to provide proper protection
has been involved in an accident or infor a train.
cident reportable under Part 225 of this (c) For cause drug testing. In addition
chapter, and a supervisory employee of to reasonable suspicion as described in
the railroad has a reasonable belief, § 219.300, each of the conditions set
based on specific, articulable facts, forth in paragraphs (b)(2) (‘‘accident/in-
that the employee’s acts or omissions cident’’) and (b)(3) (‘‘rule violation’’) of
contributed to the occurrence or sever- this section as constituting cause for
ity of the accident or incident; or alcohol testing also constitutes cause
(3) Rule violation. The employee has with respect to drug testing.
been directly involved in one of the fol- (d) [Reserved]
lowing operating rule violations or er- (e) Limitation for subpart C events. The
rors: compulsory drug testing authority con-
(i) Noncompliance with a train order, ferred by this section does not apply
track warrant, timetable, signal indi- with respect to any event subject to
cation, special instruction or other di- post-accident toxicological testing as
rection with respect to movement of a required by § 219.201. However, use of
train that involves— compulsory breath test authority is
(A) Occupancy of a block or other authorized in any case where breath
segment of track to which entry was test results can be obtained in a timely
not authorized; manner at the scene of the accident
(B) Failure to clear a track to permit and conduct of such tests does not ma-
opposing or following movement to terially impede the collection of speci-
pass; mens under Subpart C of this part.
244
§ 219.302 Prompt specimen collection; (b) Each railroad must adopt, publish
time limitation. and implement—
(a) Testing under this subpart may (1) A policy designed to encourage
only be conducted promptly following and facilitate the identification of
the observations or events upon which those covered employees who abuse al-
the testing decision is based, con- cohol or drugs as a part of a treatable
sistent with the need to protect life condition and to ensure that such em-
and property. ployees are provided the opportunity to
(b) No employee may be required to obtain counseling or treatment before
participate in alcohol or drug testing those problems manifest themselves in
under this section after the expiration detected violations of this part (here-
of an eight-hour period from— after ‘‘voluntary referral policy’’); and
(1) The time of the observations or (2) A policy designed to foster em-
other events described in this section; ployee participation in preventing vio-
or lations of this subpart and encourage
(2) In the case of an accident/inci- co-worker participation in the direct
dent, the time a responsible railroad enforcement of this part (hereafter
supervisor receives notice of the event ‘‘co-worker report policy’’).
providing reasonable cause for conduct (c) A railroad may comply with this
of the test. subpart by adopting, publishing and
(c) An employee may not be tested implementing policies meeting the spe-
under this subpart if that employee has cific requirements of §§ 219.403 and
been released from duty under the nor- 219.405 or by complying with § 219.407.
mal procedures of the railroad. An em- (d) If a railroad complies with this
ployee who has been transported to re- part by adopting, publishing and imple-
ceive medical care is not released from menting policies consistent with
duty for purposes of this section. Noth- §§ 219.403 and 219.405, the railroad must
ing in this section prohibits the subse- make such policies, and publications
quent testing of an employee who has announcing such policies, available for
failed to remain available for testing
inspection and copying by FRA.
as required (i.e., who is absent without
(e) Nothing in this subpart may be
leave).
construed to—
(d) As used in this subpart, a ‘‘re-
sponsible railroad supervisor’’ means (1) Require payment of compensation
any responsible line supervisor (e.g., a for any period an employee is out of
trainmaster or road foreman of en- service under a voluntary referral or
gines) or superior official in authority co-worker report policy;
over the employee to be tested. (2) Require a railroad to adhere to a
(e) In the case of a drug test, the voluntary referral or co-worker report
eight-hour requirement is satisfied if policy in a case where the referral or
the employee has been delivered to the report is made for the purpose, or with
collection site (where the collector is the effect, of anticipating the immi-
present) and the request has been made nent and probable detection of a rule
to commence collection of the drug violation by a supervising employee; or
testing specimens within that period. (3) Limit the discretion of a railroad
(f) [Reserved] to dismiss or otherwise discipline an
(g) Section 219.23 prescribes the no- employee for specific rule violations or
tice to an employee that is required to criminal offenses, except as specifically
provide breath or a body fluid specimen provided by this subpart.
under this part.
§ 219.403 Voluntary referral policy.
Subpart E—Identification of (a) Scope. This section prescribes
Troubled Employees minimum standards for voluntary re-
ferral policies. Nothing in this section
§ 219.401 Requirement for policies. restricts a railroad from adopting, pub-
(a) The purpose of this subpart is to lishing and implementing a voluntary
prevent the use of alcohol and drugs in referral policy that affords more favor-
connection with covered service. able conditions to employees troubled
245
§ 219.405 49 CFR Ch. II (10–1–07 Edition)
by alcohol or drug abuse problems, con- (i) The employee at any time refuses
sistent with the railroad’s responsi- to cooperate in a recommended course
bility to prevent violations of §§ 219.101 of counseling or treatment; and/or
and 219.102. (ii) The employee is later deter-
(b) Required provisions. A voluntary mined, after investigation, to have
referral policy must include the fol- been involved in an alcohol or drug-re-
lowing provisions: lated disciplinary offense growing out
(1) A covered employee who is af- of subsequent conduct.
fected by an alcohol or drug use prob- (2) The policy may require successful
lem may maintain an employment re- completion of a return-to-service med-
lationship with the railroad if, before ical examination as a further condition
the employee is charged with conduct on reinstatement in covered service.
deemed by the railroad sufficient to (3) The policy may provide that it
warrant dismissal, the employee seeks does not apply to an employee who has
assistance through the railroad for the previously been assisted by the rail-
employee’s alcohol or drug use problem road under a policy or program sub-
or is referred for such assistance by an- stantially consistent with this section
other employee or by a representative or who has previously elected to waive
of the employee’s collective bargaining investigation under § 219.405 (co-worker
unit. The railroad must specify wheth- report policy).
er, and under what circumstances, its (4) The policy may provide that, in
policy provides for the acceptance of order to invoke its benefits, the em-
referrals from other sources, including ployee must report to the contact des-
(at the option of the railroad) super- ignated by the railroad either:
visory employees. (i) During non-duty hours (i.e., at a
(2) Except as may be provided under time when the employee is off duty); or
paragraph (c) of this section, the rail- (ii) While unimpaired and otherwise
road treats the referral and subsequent in compliance with the railroad’s alco-
handling, including counseling and hol and drug rules consistent with this
treatment, as confidential. subpart.
(3) The railroad will, to the extent
necessary for treatment and rehabilita- § 219.405 Co-worker report policy.
tion, grant the employee a leave of ab- (a) Scope. This section prescribes
sence from the railroad for the period minimum standards for co-worker re-
necessary to complete primary treat- port policies. Nothing in this section
ment and establish control over the restricts a railroad from adopting, pub-
employee’s alcohol or drug problem. lishing and implementing a policy that
The policy must allow a leave of ab- affords more favorable conditions to
sence of not less than 45 days, if nec- employees troubled by alcohol or drug
essary for the purpose of meeting ini- abuse problems, consistent with the
tial treatment needs. railroad’s responsibility to prevent vio-
(4) Except as may be provided under lations of §§ 219.101 and 219.102.
paragraph (c)(2) of this section, the em- (b) Employment relationship. A co-
ployee will be returned to service on worker report policy must provide that
the recommendation of the substance a covered employee may maintain an
abuse professional. Approval to return employment relationship with the rail-
to service may not be unreasonably road following an alleged first offense
withheld. under this part or the railroad’s alco-
(5) With respect to a certified loco- hol and drug rules, subject to the con-
motive engineer or a candidate for cer- ditions and procedures contained in
tification, the railroad must meet the this section.
requirements of § 240.119(e) of this chap- (c) General conditions and procedures.
ter. (1) The alleged violation must come to
(c) Optional provisions. A voluntary the attention of the railroad as a result
referral policy may include any of the of a report by a co-worker that the em-
following provisions, at the option of ployee was apparently unsafe to work
the railroad: with or was, or appeared to be, in viola-
(1) The policy may provide that the tion of this part or the railroad’s alco-
rule of confidentiality is waived if— hol and drug rules.
246
(2) If the railroad representative de- service may not be unreasonably with-
termines that the employee is in viola- held.
tion, the railroad may immediately re- (4) Following return to service, the
move the employee from service in ac- employee, as a further condition on
cordance with its existing policies and withholding of discipline, may, as nec-
procedures. essary, be required to participate in a
(3) The employee must elect to waive reasonable program of follow-up treat-
investigation on the rule charge and ment for a period not to exceed 60
must contact the substance abuse pro- months from the date the employee
fessional within a reasonable period was originally withdrawn from service.
specified by the policy. (e) When treatment is not required. If
(4) The substance abuse professional the substance abuse professional deter-
must schedule necessary interviews mines that the employee is not affected
with the employee and complete an by an identifiable and treatable mental
evaluation within 10 calendar days of or physical disorder—
the date on which the employee con- (1) The railroad must return the em-
tacts the professional with a request ployee to service within 5 days after
for evaluation under the policy, unless completion of the evaluation.
it becomes necessary to refer the em- (2) During or following the out-of-
ployee for further evaluation. In each service period, the railroad may re-
case, all necessary evaluations must be quire the employee to participate in a
completed within 20 days of the date on program of education and training con-
which the employee contacts the pro- cerning the effects of alcohol and drugs
fessional. on occupational or transportation safe-
(d) When treatment is required. If the ty.
substance abuse professional deter- (f) Follow-up tests. A railroad may
mines that the employee is affected by conduct return-to-service and/or fol-
psychological or chemical dependence low-up tests (as described in § 219.104) of
on alcohol or a drug or by another an employee who waives investigation
identifiable and treatable mental or and is determined to be ready to return
physical disorder involving the abuse to service under this section.
of alcohol or drugs as a primary mani-
festation, the following conditions and § 219.407 Alternate policies.
procedures apply: (a) In lieu of a policy under § 219.403
(1) The railroad must, to the extent (voluntary referral) or § 219.405 (co-
necessary for treatment and rehabilita- worker report), or both, a railroad may
tion, grant the employee a leave of ab- adopt, publish and implement, with re-
sence from the railroad for the period spect to a particular class or craft of
necessary to complete primary treat- covered employees, an alternate policy
ment and establish control over the or policies having as their purpose the
employee’s alcohol or drug problem. prevention of alcohol or drug use in
The policy must allow a leave of ab- railroad operations, if such policy or
sence of not less than 45 days, if nec- policies have the written concurrence
essary for the purpose of meeting ini- of the recognized representatives of
tial treatment needs. such employees.
(2) The employee must agree to un- (b) The concurrence of recognized
dertake and successfully complete a employee representatives in an alter-
course of treatment deemed acceptable nate policy may be evidenced by a col-
by the substance abuse professional. lective bargaining agreement or any
(3) The railroad must promptly re- other document describing the class or
turn the employee to service, on rec- craft of employees to which the alter-
ommendation of the substance abuse nate policy applies. The agreement or
professional, when the employee has other document must make express ref-
established control over the substance erence to this part and to the intention
abuse problem. Return to service may of the railroad and employee represent-
also be conditioned on successful com- atives that the alternate policy applies
pletion of a return-to-service medical in lieu of the policy required by
examination. Approval to return to § 219.403, § 219.405, or both.
247
§ 219.501 49 CFR Ch. II (10–1–07 Edition)
(c) The railroad must file the agree- transferred to a position involving the
ment or other document described in performance of safety-sensitive func-
paragraph (b) of this section with the tions).
Associate Administrator for Safety, (2) It must treat all safety-sensitive
FRA. If the alternate policy is amend- employees performing safety-sensitive
ed or revoked, the railroad must file a functions the same for the purpose of
notice of such amendment or revoca- pre-employment alcohol testing (i.e., it
tion at least 30 days prior to the effec- must not test some covered employees
tive date of such action. and not others).
(d) This section does not excuse a (3) It must conduct the pre-employ-
railroad from adopting, publishing and ment tests after making a contingent
implementing the policies required by offer of employment or transfer, sub-
§§ 219.403 and 219.405 with respect to any ject to the employee passing the pre-
group of covered employees not within employment alcohol test.
the coverage of an appropriate alter- (4) It must conduct all pre-employ-
nate policy. ment alcohol tests using the alcohol
testing procedures of part 40 of this
Subpart F—Pre-Employment Tests title.
(5) It must not allow a covered em-
§ 219.501 Pre-employment drug test-
ing. ployee to begin performing safety-sen-
sitive functions unless the result of the
(a) Prior to the first time a covered employee’s test indicates an alcohol
employee performs covered service for concentration of less than 0.04.
a railroad, the employee must undergo (b) As used in subpart H of this part,
testing for drugs. No railroad may with respect to a test authorized under
allow a covered employee to perform this subpart, the term covered em-
covered service, unless the employee ployee includes an applicant for pre-
has been administered a test for drugs employment testing only. In the case
with a result that did not indicate the of an applicant who declines to be test-
misuse of controlled substances. This ed and withdraws the application for
requirement applies to final applicants employment, no record may be main-
for employment and to employees tained of the declination.
seeking to transfer for the first time
from non-covered service to duties in- § 219.503 Notification; records.
volving covered service.
(b) As used in subpart H of this part The railroad must provide for med-
with respect to a test required under ical review of drug test results as pro-
this subpart, the term covered em- vided in subpart H of this part. The
ployee includes an applicant for pre- railroad must notify the applicant of
employment testing only. In the case the results of the drug and alcohol
of an applicant who declines to be test- tests in the same manner as provided
ed and withdraws the application for for employees in subpart H of this part.
employment, no record may be main- Records must be maintained confiden-
tained of the declination. tially and be retained in the same man-
ner as required under subpart J of this
§ 219.502 Pre-employment alcohol test- part for employee test records, except
ing. that such records need not reflect the
(a) A railroad may, but is not re- identity of an applicant whose applica-
quired to, conduct pre-employment al- tion for employment in covered service
cohol testing under this part. If a rail- was denied.
road chooses to conduct pre-employ-
ment alcohol testing, the railroad must § 219.505 Refusals.
comply with the following require- An applicant who has refused to sub-
ments: mit to pre-employment testing under
(1) It must conduct a pre-employ- this section may not be employed in
ment alcohol test before the first per- covered service based upon the applica-
formance of safety-sensitive functions tion and examination with respect to
by every covered employee (whether a which such refusal was made. This sec-
new employee or someone who has tion does not create any right on the
248
part of the applicant to have a subse- of discretion by the railroad. The selec-
quent application considered; nor does tion method must be capable of
it restrict the discretion of the railroad verification with respect to the ran-
to entertain a subsequent application domness of the selection process, and
for employment from the same person. any records necessary to document
random selection must be retained for
Subpart G—Random Alcohol and not less than 24 months from the date
Drug Testing Programs upon which the particular specimens
were collected.
§ 219.601 Railroad random drug test- (2)(i) The program must select for
ing programs. testing a sufficient number of employ-
(a) Submission. Each railroad must ees so that, during the first 12
submit for FRA approval a random months—
testing program meeting the require- (A) The random testing program is
ments of this subpart. A railroad com- spread reasonably through the 12-
mencing operations must submit such month period.
a program not later than 30 days prior (B) [Reserved]
to such commencement. The program (ii) To calculate the total number of
must be submitted to the Associate Ad- covered employees eligible for random
ministrator for Safety, FRA, for review testing throughout the year, as a rail-
and approval by the FRA Adminis- road, you must add the total number of
trator. If, after approval, a railroad de-
covered employees eligible for testing
sires to amend the random testing pro-
during each random testing period for
gram implemented under this subpart,
the year and divide that total by the
the railroad must file with FRA a no-
number of random testing periods. Cov-
tice of such amendment at least 30
ered employees, and only covered em-
days prior to the intended effective
ployees, are to be in a railroad’s ran-
date of such action. A railroad already
subject to this subpart that becomes dom testing pool, and all covered em-
subject to this subpart with respect to ployees must be in the random pool. If
one or more additional employees must you are a railroad conducting random
amend its program not later than 60 testing more often than once per
days after these employees become month (e.g., you select daily, weekly,
subject to this subpart and file with bi-weekly), you do not need to compute
FRA a notice of such amendment at this total number of covered employees
least 30 days prior to the intended ef- rate more than on a once per month
fective date of such action. A program basis.
responsive to the requirements of this (iii) As a railroad, you may use a
section or any amendment to the pro- service agent (e.g., C/TPA) to perform
gram may not be implemented prior to random selections for you, and your
approval. covered employees may be part of a
(b) Form of programs. Random testing larger random testing pool of covered
programs submitted by or on behalf of employees. However, you must ensure
each railroad under this subpart must that the service agent you use is test-
meet the following criteria, and the ing at the appropriate percentage es-
railroad and its managers, supervisors, tablished for your industry and that
officials and other employees and only covered employees are in the ran-
agents must conform to such criteria dom testing pool.
in implementing the program: (3) Railroad random testing programs
(1) Selection of covered employees for must ensure to the maximum extent
testing must be made by a method em- practicable that each employee per-
ploying objective, neutral criteria ceives the possibility that a random
which ensure that every covered em- test may be required on any day the
ployee has a substantially equal statis- employee reports for work.
tical chance of being selected within a (4) Notice of an employee’s selection
specified time frame. The method may may not be provided until the duty
not permit subjective factors to play a tour in which testing is to be con-
role in selection, i.e., no employee may ducted, and then only so far in advance
be selected as the result of the exercise as is reasonably necessary to ensure
249
§ 219.602 49 CFR Ch. II (10–1–07 Edition)
the employee’s presence at the time mination that the employee has vio-
and place set for testing. lated § 219.102 or any applicable railroad
(5) The program must include testing rule, and must inform the employee of
procedures and safeguards, and proce- the employee’s rights under subpart E
dures for action based on positive test of this part. A copy of the notice must
results, consistent with this part. be provided to each new covered em-
(6) An employee must be subject to ployee on or before the employee’s ini-
testing only while on duty. Only em- tial date of service. Since knowledge of
ployees who perform covered service Federal law is presumed, nothing in
for the railroad are subject to testing this paragraph (d)(1) creates a defense
under this part. In the case of employ- to a violation of § 219.102.
ees who during some duty tours per- (2) A railroad commencing operations
form covered service and during others must submit a random testing program
do not, the railroad program must 60 days after doing so. The railroad
specify the extent to which, and the must implement its approved random
circumstances under which they are to testing program not later than the ex-
be subject to testing. To the extent piration of 60 days from approval by
practical within the limitations of this the Administrator.
part and in the context of the rail- [66 FR 41973, Aug. 9, 2001, as amended at 68
road’s operations, the railroad program FR 75463, Dec. 31, 2003]
must provide that employees are sub-
ject to the possibility of random test- § 219.602 FRA Administrator’s deter-
ing on any day they actually perform mination of random drug testing
covered service. rate.
(7) Each time an employee is notified (a) Except as provided in paragraphs
for random drug testing the employee (b) through (d) of this section, the min-
will be informed that selection was imum annual percentage rate for ran-
made on a random basis. dom drug testing must be 50 percent of
(c) Approval. The Associate Adminis- covered employees.
trator for Safety, FRA, will notify the (b) The FRA Administrator’s decision
railroad in writing whether the pro- to increase or decrease the minimum
gram is approved as consistent with annual percentage rate for random
the criteria set forth in this part. If the drug testing is based on the reported
Associate Administrator for Safety de- positive rate for the entire industry.
termines that the program does not All information used for this deter-
conform to those criteria, the Asso- mination is drawn from the drug MIS
ciate Administrator for Safety will in- reports required by this part. In order
form the railroad of any matters pre- to ensure reliability of the data, the
venting approval of the program, with Administrator considers the quality
specific explanation as to necessary re- and completeness of the reported data,
visions. The railroad must resubmit its may obtain additional information or
program with the required revisions reports from railroads, and may make
within 30 days of such notice. Failure appropriate modifications in calcu-
to resubmit the program with the nec- lating the industry positive rate. Each
essary revisions will be considered a year, the Administrator will publish in
failure to implement a program under the FEDERAL REGISTER the minimum
this subpart. annual percentage rate for random
(d) Implementation. (1) No later than drug testing of covered employees. The
45 days prior to commencement of ran- new minimum annual percentage rate
dom testing, the railroad must publish for random drug testing will be appli-
to each of its covered employees, indi- cable starting January 1 of the cal-
vidually, a written notice that he or endar year following publication.
she will be subject to random drug (c) When the minimum annual per-
testing under this part. Such notice centage rate for random drug testing is
must state the date for commencement 50 percent, the Administrator may
of the program, must state that the se- lower this rate to 25 percent of all cov-
lection of employees for testing will be ered employees if the Administrator
on a strictly random basis, must de- determines that the data received
scribe the consequences of a deter- under the reporting requirements of
250
§ 219.800 for two consecutive calendar DOT agency regulating more than 50
years indicate that the reported posi- percent of the employee’s function.
tive rate is less than 1.0 percent. (i) If a railroad is required to conduct
(d) When the minimum annual per- random drug testing under the drug
centage rate for random drug testing is testing rules of more than one DOT
25 percent, and the data received under agency, the railroad may—
the reporting requirements of § 219.800 (1) Establish separate pools for ran-
for any calendar year indicate that the dom selection, with each pool con-
reported positive rate is equal to or taining the covered employees who are
greater than 1.0 percent, the Adminis- subject to testing at the same required
trator will increase the minimum an- rate; or
nual percentage rate for random drug (2) Randomly select such employees
testing to 50 percent of all covered em- for testing at the highest percentage
ployees. rate established for the calendar year
by any DOT agency to which the rail-
(e) Selection of covered employees
road is subject.
for testing must be made by a method
employing objective, neutral criteria [66 FR 41973, Aug. 9, 2001, as amended at 68
which ensures that every covered em- FR 75463, Dec. 31, 2003]
ployee has a substantially equal statis-
§ 219.603 Participation in drug testing.
tical chance of being selected within a
specified time frame. The method may A railroad shall, under the conditions
not permit subjective factors to play a specified in this subpart and subpart H
role in selection, i.e., no employee may of this part, require a covered em-
be selected as a result of the exercise of ployee selected through the random
discretion by the railroad. The selec- testing program to cooperate in urine
tion method must be capable of testing to determine compliance with
verification with respect to the ran- § 219.102, and the employee must pro-
domness of the selection process. vide the required specimen and com-
(f) The railroad must randomly select plete the required paperwork and cer-
a sufficient number of covered employ- tifications. Compliance by the em-
ployee may be excused only in the case
ees for testing during each calendar
of a documented medical or family
year to equal an annual rate not less
emergency.
than the minimum annual percentage
rate for random drug testing deter- § 219.605 Positive drug test results;
mined by the Administrator. If the procedures.
railroad conducts random drug testing
(a) [Reserved]
through a consortium, the number of (b) Procedures for administrative
employees to be tested may be cal- handling by the railroad in the event a
culated for each individual railroad or specimen provided under this subpart
may be based on the total number of is reported as positive by the MRO are
covered employees covered by the con- set forth in § 219.104. The responsive ac-
sortium who are subject to random tion required in § 219.104 is not stayed
drug testing at the same minimum an- pending the result of a retest or split
nual percentage rate under this part or specimen test.
any DOT agency drug testing rule.
(g) Each railroad must ensure that § 219.607 Railroad random alcohol
random drug tests conducted under testing programs.
this part are unannounced and that the (a) Each railroad must submit for
dates for administering random tests FRA approval a random alcohol testing
are spread reasonably throughout the program meeting the requirements of
calendar year. this subpart. A railroad commencing
(h) If a given covered employee is operations must submit a random alco-
subject to random drug testing under hol testing program not later than 30
the drug testing rules of more than one days prior to such commencement. The
DOT agency for the same railroad, the program must be submitted to the As-
employee must be subject to random sociate Administrator for Safety, FRA,
drug testing at the percentage rate es- for review and approval. If, after ap-
tablished for the calendar year by the proval, a railroad desires to amend the
251
§ 219.607 49 CFR Ch. II (10–1–07 Edition)
random alcohol testing program imple- are spread reasonably throughout the
mented under this subpart, the railroad calendar year.
must file with FRA a notice of such (4) The program must ensure to the
amendment at least 30 days prior to maximum extent practicable that each
the intended effective date of such ac- covered employee perceives the possi-
tion. A program responsive to the re- bility that a random alcohol test may
quirements of this section or any be required at any time the employee
amendment to the program may not be reports for work and at any time dur-
implemented prior to approval. ing the duty tour (except any period
(b) Form of programs. Random alcohol when the employee is expressly re-
testing programs submitted by or on lieved of any responsibility for per-
behalf of each railroad under this sub- formance of covered service).
part must meet the following criteria, (5) An employee may be subject to
and the railroad and its managers, su- testing only while on duty. Only em-
pervisors, officials and other employees ployees who perform covered service
and agents must conform to such cri- for the railroad may be subject to test-
teria in implementing the program: ing under this part. In the case of em-
(1) As a railroad, to calculate the ployees who during some duty tours
total number of covered employees eli- perform covered service and during
gible for random testing throughout others do not, the railroad program
the year, you must add the total num- may specify the extent to which, and
ber of covered employees eligible for the circumstances under which they
testing during each random testing pe- are subject to testing. To the extent
riod for the year and divide that total practical within the limitations of this
by the number of random testing peri- part and in the context of the rail-
ods. Covered employees, and only cov- road’s operations, the railroad program
must provide that employees are sub-
ered employees, are to be in a rail-
ject to the possibility of random test-
road’s random testing pool, and all cov-
ing on any day they actually perform
ered employees must be in the random
covered service.
pool. If you are a railroad conducting
(6) Testing must be conducted
random testing more often than once
promptly, as provided in § 219.701(b)(1).
per month (e.g., you select daily, week-
(7) Each time an employee is notified
ly, bi-weekly), you do not need to com-
for random alcohol testing the em-
pute this total number of covered em-
ployee must be informed that selection
ployees rate more than on a once per
was made on a random basis.
month basis.
(8) Each railroad must ensure that
(i) As a railroad, you may use a serv- each covered employee who is notified
ice agent (e.g., C/TPA) to perform ran- of selection for random alcohol testing
dom selections for you, and your cov- proceeds to the test site immediately;
ered employees may be part of a larger provided, however, that if the employee
random testing pool of covered employ- is performing a safety-sensitive func-
ees. However, you must ensure that the tion at the time of the notification, the
service agent you use is testing at the railroad must instead ensure that the
appropriate percentage established for employee ceases to perform the safety-
your industry and that only covered sensitive function and proceeds to the
employees are in the random testing testing site as soon as possible.
pool. (c) Implementation. (1) No later than
(ii) [Reserved] 45 days prior to commencement of ran-
(2) The program must include testing dom alcohol testing, the railroad must
procedures and safeguards, and, con- publish to each of its covered employ-
sistent with this part, procedures for ees, individually, a written notice that
action based on tests where the em- the employee will be subject to random
ployee is found to have violated alcohol testing under this part. Such
§ 219.101. notice must state the date for com-
(3) The program must ensure that mencement of the program, must state
random alcohol tests conducted under that the selection of employees for
this part are unannounced and that the testing will be on a strictly random
dates for administering random tests basis, must describe the consequences
252
of a determination that the employee cent of all covered employees if the Ad-
has violated § 219.101 or any applicable ministrator determines that the data
railroad rule, and must inform the em- received under the reporting require-
ployee of the employee’s rights under ments of § 219.800 for two consecutive
subpart E of this part. A copy of the calendar years indicate that the viola-
notice must be provided to each new tion rate is less than 0.5 percent.
covered employee on or before the em- (2) When the minimum annual per-
ployee’s initial date of service. Since centage rate for random alcohol test-
knowledge of Federal law is presumed, ing is 50 percent, the Administrator
nothing in this paragraph (c)(1) creates
may lower this rate to 25 percent of all
a defense to a violation of § 219.101. This
covered employees if the Adminis-
notice may be combined with the no-
trator determines that the data re-
tice or policy statement required by
ceived under the reporting require-
§ 219.23.
(2) A railroad commencing operations ments of § 219.800 for two consecutive
must submit a random testing program calendar years indicate that the viola-
60 days after doing so. The railroad tion rate is less than 1.0 percent but
must implement its approved random equal to or greater than 0.5 percent.
testing program not later than the ex- (d)(1) When the minimum annual per-
piration of 60 days from approval by centage rate for random alcohol test-
the Administrator. ing is 10 percent, and the data received
under the reporting requirements of
FR 75464, Dec. 31, 2003] § 219.800 for that calendar year indicate
that the violation rate is equal to or
§ 219.608 FRA Administrator’s deter- greater than 0.5 percent, but less than
mination of random alcohol testing 1.0 percent, the Administrator will in-
rate. crease the minimum annual percentage
(a) Except as provided in paragraphs rate for random alcohol testing to 25
(b) through (d) of this section, the min- percent of all covered employees.
imum annual percentage rate for ran- (2) When the minimum annual per-
dom alcohol testing must be 25 percent centage rate for random alcohol test-
of covered employees. ing is 25 percent or less, and the data
(b) The Administrator’s decision to received under the reporting require-
increase or decrease the minimum an- ments of § 219.800 for any calendar year
nual percentage rate for random alco- indicate that the violation rate is
hol testing is based on the violation equal to or greater than 1.0 percent,
rate for the entire industry. All infor- the Administrator will increase the
mation used for the determination is minimum annual percentage rate for
drawn from the alcohol MIS reports re- random alcohol testing to 50 percent of
quired by this part. In order to ensure all covered employees.
reliability of the data, the Adminis-
(e) The railroad must randomly se-
trator considers the quality and com-
lect and test a sufficient number of
pleteness of the reported data, may ob-
tain additional information or reports covered employees for testing during
from employers, and may make appro- each calendar year to equal an annual
priate modifications in calculating the rate not less than the minimum annual
industry violation rate. Each year, the percentage rate for random alcohol
Administrator will publish in the FED- testing determined by the Adminis-
ERAL REGISTER the minimum annual trator. If the railroad conducts random
percentage rate for random alcohol alcohol testing through a consortium,
testing of covered employees. The new the number of employees to be tested
minimum annual percentage rate for may be calculated for each individual
random alcohol testing will be applica- employer or may be based on the total
ble starting January 1 of the calendar number of covered employees covered
year following publication. by the consortium who are subject to
(c)(1) When the minimum annual per- random testing at the same minimum
centage rate for random alcohol test- annual percentage rate under this part
ing is 25 percent or more, the Adminis- or any DOT agency alcohol testing
trator may lower this rate to 10 per-
rule.
253
§ 219.609 49 CFR Ch. II (10–1–07 Edition)
(f) If a railroad is required to conduct the Department of Transportation Pro-

random alcohol testing under the alco- cedures for Transportation Workplace
hol testing rules of more than one DOT Drug and Alcohol Testing Programs
agency, the railroad may— (part 40 of this title).
(1) Establish separate pools for ran- (c) Each covered employee who is no-
dom selection, with each pool con- tified of selection for testing and who
taining the covered employees who are is not performing covered service at
subject to testing at the same required the time of notification must proceed
rate; or to the testing site immediately. The
(2) Randomly select such employees railroad must ensure that an employee
for testing at the highest percentage who is performing covered service at
rate established for the calendar year the time of notification shall, as soon
by any DOT agency to which the rail- as possible without affecting safety,
road is subject. cease to perform covered service and
[66 FR 41973, Aug. 9, 2001, as amended at 68 proceed to the testing site.
FR 75464, Dec. 31, 2003]
§ 219.609 Participation in alcohol test- Subpart I—Annual Report

ing.
§ 219.800 Annual reports.
A railroad must, under the condi-
tions specified in this subpart and sub- (a) Each railroad that has a total of
part H of this part, require a covered 400,000 or more employee hours (includ-
employee selected through the random ing hours worked by all employees of
testing program to cooperate in breath the railroad, regardless of occupation,
testing to determine compliance with not only while in the United States but
§ 219.101, and the employee must pro- also while outside the United States)
vide the required breath and complete must submit to FRA by March 15 of
the required paperwork and certifi- each year a report covering the pre-
cations. Compliance by the employee vious calendar year (January 1–Decem-
may be excused only in the case of a ber 31), summarizing the results of its
documented medical or family emer- alcohol misuse prevention program. As
gency. used in this paragraph, the term ‘‘em-
ployees of the railroad’’ includes indi-
§ 219.611 Test result indicating prohib- viduals who perform service for the
ited alcohol concentration; proce- railroad, including not only individuals
dures. who receive direct monetary com-
Procedures for administrative han- pensation from the railroad for per-
dling by the railroad in the event an forming a service for the railroad, but
employee’s confirmation test indicates also such individuals as employees of a
an alcohol concentration of .04 or contractor to the railroad who perform
greater are set forth in § 219.104. a service for the railroad.
(b) As a railroad, you must use the
Subpart H—Drug and Alcohol Management Information System
Testing Procedures (MIS) form and instructions as re-
quired by 49 CFR part 40 (at § 40.25 and
§ 219.701 Standards for drug and alco- appendix H to part 40). You may also
hol testing. use the electronic version of the MIS
(a) Drug testing required or author- form provided by the DOT. The Admin-
ized by subparts B, D, F, and G of this istrator may designate means (e.g.,
part must be conducted in compliance electronic program transmitted via the
with all applicable provisions of the Internet), other than hard-copy, for
Department of Transportation Proce- MIS form submission to FRA. For in-
dures for Transportation Workplace formation on where to submit MIS
Drug and Alcohol Testing Programs forms and for the electronic version of
(part 40 of this title). the form, see: http://www.fra.dot.gov/
(b) Alcohol testing required or au- Content3.asp?P=504.
thorized by subparts B, D, F, and G of (c) Each railroad shall ensure the ac-
this part must be conducted in compli- curacy and timeliness of each report
ance with all applicable provisions of submitted.
254
(d) As a railroad, if you have a cov- (iii) Documents generated in connec-

ered employee who performs multi- tion with decisions to administer rea-
DOT agency functions (e.g., an em- sonable suspicion alcohol tests.
ployee drives a commercial motor vehi- (iv) Documents generated in connec-
cle and performs switchman duties for tion with decisions on post-accident
you), count the employee only on the testing.
MIS report for the DOT agency under (v) Documents verifying the exist-
which he or she is random tested. Nor- ence of a medical explanation of the in-
mally, this will be the DOT agency ability of a covered employee to pro-
under which the employee performs vide an adequate specimen.
more than 50% of his or her duties. (2) Records related to test results:
Railroads may have to explain the test- (i) The railroad’s copy of the alcohol
ing data for these employees in the test form, including the results of the
event of a DOT agency inspection or test.
audit. (ii) Documents related to the refusal
(e) A service agent (e.g., a consor- of any covered employee to submit to
tium/third party administrator) may an alcohol test required by this part.
prepare the MIS report on behalf of a (iii) Documents presented by a cov-
railroad. However, a railroad official ered employee to dispute the result of
(e.g., a designated employee represent- an alcohol test administered under this
ative) must certify the accuracy and part.
completeness of the MIS report, no (3) Records related to other viola-
matter who prepares it. tions of this part.
(4) Records related to employee
[68 FR 75464, Dec. 31, 2003, as amended at 69 training:
FR 19288, Apr. 12, 2004] (i) Materials on alcohol abuse aware-
ness, including a copy of the railroad’s
§§ 219.801–219.803 [Reserved] policy on alcohol abuse.
(ii) Documentation of compliance
Subpart J—Recordkeeping with the requirements of § 219.23.
Requirements (iii) Documentation of training pro-
vided to supervisors for the purpose of
§ 219.901 Retention of alcohol testing qualifying the supervisors to make a
records. determination concerning the need for
(a) General requirement. In addition to alcohol testing based on reasonable
the records required to be kept by part suspicion.
40 of this title, each railroad must (iv) Certification that any training
maintain alcohol misuse prevention conducted under this part complies
program records in a secure location with the requirements for such train-
with controlled access as set out in ing.
this section.
§ 219.903 Retention of drug testing
(b) Each railroad must maintain the records.
following records for a minimum of
five years: (a) General requirement. In addition to
the records required to be kept by part
(1) A summary record of each covered
40 of this title, each railroad must
employee’s test results; and
maintain drug abuse prevention pro-
(2) A copy of the annual report sum- gram records in a secure location with
marizing the results of its alcohol mis- controlled access as set forth in this
use prevention program (if required to section.
submit the report under § 219.801(a)). (b) (1) Each railroad must maintain
(c) Each railroad must maintain the the following records for a minimum of
following records for a minimum of two five years:
years: (i) A summary record of each covered
(1) Records related to the collection employee’s test results; and
process: (ii) A copy of the annual report sum-
(i) Collection logbooks, if used. marizing the results of its drug misuse
(ii) Documents relating to the ran- prevention program (if required to sub-
dom selection process. mit under § 219.803(a)).
255
§ 219.905 49 CFR Ch. II (10–1–07 Edition)
(2) Each railroad must maintain the qualifying the supervisors to make a
following records for a minimum of two determination concerning the need for
years. alcohol testing based on reasonable
(c) Types of records. The following suspicion.
specific records must be maintained: (iv) Certification that any training
(1) Records related to the collection conducted under this part complies
process: with the requirements for such train-
(i) Documents relating to the random ing.
selection process.
(ii) Documents generated in connec- § 219.905 Access to facilities and
tion with decisions to administer rea- records.
sonable suspicion drug tests. (a) Release of covered employee in-
(iii) Documents generated in connec- formation contained in records re-
tion with decisions on post-accident quired to be maintained under §§ 219.901
testing. and 219.903 must be in accordance with
(iv) Documents verifying the exist- part 40 of this title and with this sec-
ence of a medical explanation of the in- tion. (For purposes of this section only,
ability of a covered employee to pro- urine drug testing records are consid-
vide a specimen. ered equivalent to breath alcohol test-
(2) Records related to test results: ing records.)
(i) The railroad’s copy of the drug (b) Each railroad must permit access
test custody and control form, includ- to all facilities utilized in complying
ing the results of the test. with the requirements of this part to
(ii) Documents presented by a cov- the Secretary of Transportation,
ered employee to dispute the result of United States Department of Transpor-
a drug test administered under this tation, or any DOT agency with regu-
part. latory authority over the railroad or
(3) Records related to other viola- any of its covered employees.
tions of this part. (c) Each railroad must make avail-
(4) Records related to employee able copies of all results for railroad al-
training: cohol and drug testing programs con-
(i) Materials on drug abuse aware- ducted under this part and any other
ness, including a copy of the railroad’s information pertaining to the rail-
policy on drug abuse. road’s alcohol and drug misuse preven-
(ii) Documentation of compliance tion program, when requested by the
with the requirements of § 219.23. Secretary of Transportation or any
(iii) Documentation of training pro- DOT agency with regulatory authority
vided to supervisors for the purpose of over the railroad or covered employee.
APPENDIX A TO PART 219—SCHEDULE OF CIVIL PENALTIES

The following chart lists the schedule of civil penalties:
PENALTY SCHEDULE 1
Section 2 Violation Willful violation
Subpart A—General
219.3 Application:
Railroad does not have required program ...................................................................... $5,000 $7,500
219.11 General conditions for chemical tests:
(b)(1) Employee unlawfully refuses to participate in testing .......................................... 2,500 5,000
(b)(2) Employer fails to give priority to medical treatment ............................................. 3,000 8,000
(b)(3) Employee fails to remain available ....................................................................... 2,500 5,000
(b)(4) Employee tampers with specimen ........................................................................ 2,500 5,000
(d) Employee unlawfully required to execute a waiver of rights .................................... 2,500 5,000
(e) Railroad used or authorized the use of coercion to obtain specimens .................... ........................ 7,500
(g) Failure to meet supervisory training requirements or program of instruction not
available or program not complete ............................................................................. 2,500 5,000
(h) Urine or blood specimens provided for Federal testing were used for non-author-
ized testing .................................................................................................................. 2,500 5,000
219.23 Railroad policies:
(a) Failure to provide written notice of FRA test ............................................................ 1,000 4,000
256
PENALTY SCHEDULE 1—Continued

(b) Failure to provide written notice of basis for FRA test ............................................. 1,000 4,000
(c) Use of Subpart C form for other test ........................................................................ 1,000 4,000
(d) Failure to provide educational materials ................................................................... 1,000 4,000
(e) Educational materials fail to explain requirements of this part and/or include re-
quired content .............................................................................................................. 1,000 4,000
(f) Non-Federal provisions are clearly described as independent authority .................. 1,000 4,000
Subpart B—Prohibitions
219.101 Alcohol and drug use prohibited:
Employee violates prohibition(s) ..................................................................................... 10,000 ........................
219.103 Prescribed and over-the-counter drugs:
(a) Failure to train employee properly on requirements ................................................. 2,500 5,000
219.104 Responsive action:
(a) Failure to remove employee from covered service immediately .............................. 3,000 8,000
(b) Failure to provide notice for removal ........................................................................ 1,000 4,000
(c) Failure to provide prompt hearing ............................................................................. 2,000 7,000
(d) Employee improperly returned to service ................................................................. 2,000 7,000
219.105 Railroad’s duty to prevent violations:
(a) Employee improperly permitted to remain in covered service ................................. 7,000 10,000
(b) Failure to exercise due diligence to assure compliance with prohibition ................. 2,500 5,000
219.107 Consequences of unlawful refusal:
(a) Failure to disqualify an employee for nine months following a refusal .................... 5,000 7,500
(e) Employee unlawfully returned to service .................................................................. 5,000 7,500
Subpart C—Post-Accident Toxicological Testing
219.201 Events for which testing is required:
(a) Failure to test after qualifying event (each employee not tested is a violation) ....... 5,000 7,500
(c)(1)(i) Failure to make good faith determination .......................................................... 2,500 5,000
(c)(1)(ii) Failure to provide requested decision report to FRA ....................................... 1,000 3,000
(c)(2) Testing performed after non-qualifying event ....................................................... 5,000 10,000
219.203 Responsibilities of railroads and employees:
(a)(1)(i) and (a)(2)(i) Failure to properly test/exclude from testing ................................. 2,500 5,000
(a)(1)(ii) and (a)(2)(ii) Non-covered service employee tested ........................................ 2,500 5,000
(b)(1) Delay in obtaining specimens due to failure to make every reasonable effort .... 2,500 5,000
(c) Independent medical facility not utilized ................................................................... 2,500 5,000
(d) Failure to report event or contact FRA when intervention required ......................... 1,000 3,000
219.205 Specimen collection and handling:
(a) Failure to observe requirements with respect to specimen collection, marking and
handling ....................................................................................................................... 2,500 5,000
(b) Failure to provide properly prepared forms with specimens .................................... 2,500 5,000
(d) Failure to promptly or properly forward specimens .................................................. 2,500 5,000
219.207 Fatality:
(a) Failure to test ............................................................................................................ 5,000 7,500
(a)(1) Failure to ensure timely collection and shipment of required specimens ............ 2,500 5,000
(b) Failure to request assistance when necessary ......................................................... 2,500 5,000
219.209 Reports of tests and refusals:
(a)(1) Failure to provide telephonic report ...................................................................... 1,000 2,000
(b) Failure to provide written report of refusal to test ..................................................... 1,000 2,000
(c) Failure to maintain report explaining why test not conducted within 4 hours .......... 1,000 2,000
219.211 Analysis and follow-up:
(c) Failure of MRO to report review of positive results to FRA ...................................... 2,500 5,000
Subpart D—Testing for Cause
219.300 Mandatory reasonable suspicion testing:
(a)(1) Failure to test when reasonable suspicion criteria met ........................................ 5,000 7,500
(a)(2) Tested when reasonable suspicion criteria not met ............................................. 5,000 7,500
219.301 Testing for reasonable cause:
(a) Event did not occur during daily tour ........................................................................ 2,500 5,000
(b)(2) Tested when accident/incident criteria not met .................................................... 5,000 7,500
(b)(3) Tested when operating rules violation criteria not met ........................................ 5,000 7,500
219.302 Prompt specimen collection:
(a) Specimen collection not conducted promptly ........................................................... 2,500 5,000
Subpart E—Identification of Troubled Employees
219.401 Requirement for policies:
(b) Failure to publish and/or implement required policy ................................................. 2,500 5,000
219.407 Alternate policies:
(c) Failure to file agreement or other document or provide timely notice or revocation 2,500 5,000
Subpart F—Pre-Employment Tests
219.501 Pre-employment tests:
(a) Failure to perform pre-employment drug test before first time employee performs
covered service ........................................................................................................... 2,500 5,000
Subpart G—Random Testing Programs
219.601 Railroad random drug programs:
257
PENALTY SCHEDULE 1—Continued

(a)(1) Failure to file a random program .......................................................................... 2,500 5,000

(a)(2) Failure to file amendment to program .................................................................. 2,500 5,000
(b) Failure to meet random testing criteria ..................................................................... 2,500 5,000
(b)(1)(i) Failure to use a neutral selection process ........................................................ 2,500 5,000
(b)(2)(i)(B) Testing not spread throughout the year ....................................................... 2,500 5,000
(b)(3) Testing not distributed throughout the day ........................................................... 2,500 5,000
(b)(4) Advance notice provided to employee ................................................................. 2,500 5,000
(b)(6) Testing when employee not on duty .................................................................... 2,500 5,000
219.601A Failure to include covered service employee in pool ................................................ 2,500 5,000
219.602 Administrator’s determination of drug testing rate:
(f) Total number of tests below minimum random drug testing rate .............................. 2,500 5,000
219.603 Participation in drug testing:
Failure to document reason for not testing selected employee ..................................... 2,500 5,000
219.607 Railroad random alcohol programs:
(a)(1) Failure to file a random alcohol program ............................................................. 2,500 5,000
(a)(2) Failure to file amendment to program .................................................................. 2,500 5,000
(b) Failure to meet random testing criteria ..................................................................... 2,500 5,000
(b)(1) Failure to use a neutral selection process ........................................................... 2,500 5,000
(b)(5) Testing when employee not on duty .................................................................... 2,500 5,000
(b)(8) Advance notice provided to employee ................................................................. 2,500 5,000
219.607A Failure to include covered service employee in pool ................................................ 2,500 5,000
219.608 Administrator’s determination of random alcohol testing rate:
(e) Total number of tests below minimum random alcohol testing rate ......................... 2,500 5,000
219.609 Participation in alcohol testing:
Failure to document reason for not testing selected employee ..................................... 2,500 5,000
Subpart H—Drug and Alcohol Testing Procedures
219.701 Standards for drug and alcohol testing:
(a) Failure to comply with Part 40 procedures in Subpart B, D, F, or G testing ........... ¥5,000 ¥7,500
(b) Testing not performed in a timely manner ................................................................ 2,500 5,000
Subpart I—Annual Report
219.801 Reporting alcohol misuse prevention program results in a management information
system:
(a) Failure to submit MIS report on time ........................................................................ 2,500 5,000
(c) Failure to submit accurate MIS report ....................................................................... 2,500 5,000
(d) Failure to include required data ................................................................................ 2,500 5,000
219.803 Reporting drug misuse prevention program results in a management information
system:
(c) Failure to submit accurate MIS report ....................................................................... 2,500 5,000
(d) Failure to submit MIS report on report ...................................................................... 2,500 5,000
(e) Failure to include required data ................................................................................ 2,500 5,000
Subpart J—Recordkeeping Requirements
219.901 Retention of Alcohol Testing Records:
(a) Failure to maintain records required to be kept by Part 40 ...................................... 2,500 5,000
(b) Failure to maintain records required to be kept for five years ................................. 2,500 5,000
(c) Failure to maintain records required to be kept for two years .................................. 2,500 5,000
219.903 Retention of Drug Testing Records:
(a) Failure to maintain records required to be kept by Part 40 ...................................... 2,500 5,000
(b) Failure to maintain records required to be kept for five years ................................. 2,500 5,000
(c) Failure to maintain records required to be kept for two years .................................. 2,500 5,000
219.905 Access to facilities and records:
(a) Failure to release records in this subpart in accordance with Part 40 ..................... 2,500 5,000
(b) Failure to permit access to facilities .......................................................................... 2,500 5,000
(c) Failure to provide access to results of railroad alcohol and drug testing programs 2,500 5,000
1 A penalty may be assessed against an individual only for a willful violation. The FRA Administrator reserves the right to as-
sess a penalty of up to $27,000 for any violation, including ones not listed in this penalty schedule, where circumstances warrant.
See 49 CFR Part 209, appendix A.
2 The penalty schedule uses section numbers from 49 CFR Part 219; and if more than one item is listed as a type of violation
of a given section, each item is also designated by a ‘‘penalty code’’ (e.g., ‘‘A’’), which is used to facilitate assessment of civil
penalties. For convenience, penalty citations will cite the CFR section and the penalty code, if any (e.g., ‘‘Sec. 219.11A’’) FRA
reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined
CFR and penalty code citation.
258
[66 FR 41973, Aug. 9, 2001, as amended at 69 specimens according to the procedures set
FR 30593, May 28, 2004] out.
b. The railroad representative shall under-
APPENDIX B TO PART 219—DESIGNATION take the following additional responsibil-
OF LABORATORY FOR POST-ACCIDENT ities—
TOXICOLOGICAL TESTING 1. Complete Form FRA 6180.73 (revised),
Accident Information Required for Post-Ac-
The following laboratory is currently des- cident Toxicological Testing (49 CFR Part
ignated to conduct post-accident toxi-
219), describing the testing event and identi-
cological analysis under subpart C of this
fying the employees whose specimens are to
part: Northwest Toxicology/LabOne, Hayes
be deposited in the shipping box.
Building, Suite #C, 2282 South Presidents
Drive, West Valley City, UT 84120, Tele- 2. As necessary to verify the identity of in-
phone: (800) 322–3361 or (801) 293–2300 (Day), dividual employees, affirm the identity of
(801) 244–5599 (Night/Weekend). each employee to the medical facility per-
sonnel.
[70 FR 16966, Apr. 4, 2005] 3. Consistent with the policy of the collec-
tion facility, monitor the progress of the col-
APPENDIX C TO PART 219—POST-ACCI- lection procedure.
DENT TESTING SPECIMEN COLLEC-
Warning: Monitor but do not directly ob-
TION serve urination or otherwise disturb the pri-
1.0 General. vacy of urine or blood collection. Do not
This appendix prescribes procedures for handle specimen containers, bottles or tubes
collection of specimens for mandatory post- (empty or full). Do not become part of the
accident testing pursuant to Subpart C of collection process.
this part. Collection of blood and urine speci- 2.1.2 Employee Responsibility.
mens is required to be conducted at an inde- a. An employee who is identified for post-
pendent medical facility. accident toxicological testing shall cooper-
(Surviving Employees) ate in testing as required by the railroad and
2.0 Surviving Employees. personnel of the independent medical facil-
This unit provides detailed procedures for ity. Such cooperation will normally consist
collecting post-accident toxicological speci- of the following, to be performed as re-
mens from surviving employees involved in quested:
train accidents and train incidents, as re- 1. Provide a blood specimen, which a quali-
quired by Subpart C of this part. Subpart C fied medical professional or technician will
specifies qualifying events and employees re- draw using a single-use sterile syringe. The
quired to be tested. employee should be seated for this proce-
2.1 Collection Procedures; General. dure.
a. All forms and supplies necessary for col- 2. Provide, in the privacy of an enclosure,
lection and transfer of blood and urine speci- a urine specimen into a plastic collection
mens for three surviving employees can be cup. Deliver the cup to the collector.
found in the FRA post-accident shipping box, 3. Do not let the blood and urine specimens
which is made available to the collection that you provided leave your sight until they
site by the railroad representative. have been properly sealed and initialed by
b. Each shipping box contains supplies for you.
blood/urine collections from three individ- 4. Certify the statement in Step 4 of the
uals, including instructions and necessary Post-Accident Testing Blood/Urine Custody
forms. The railroad is responsible for ensur- and Control Form (49 CFR 219) (Form FRA F
ing that materials are fresh, complete and 6180.74 (revised)).
meet FRA requirements.
5. If required by the medical facility, com-
2.1.1 Responsibility of the Railroad Rep-
plete a separate consent form for taking of
resentative.
a. In the event of an accident/incident for the specimens and their release to FRA for
which testing is required under Subpart C of analysis under the FRA rule.
this part, the railroad representative shall NOTE: The employee may not be required
follow the designated set of instructions, to complete any form that contains any
and, upon arrival at the independent medical waiver of rights the employee may have in
facility, promptly present to the collection the employment relationship or that releases
facility representative a post-accident ship- or holds harmless the medical facility with
ping box or boxes with all remaining sets of respect to negligence in the collection.
instructions. (Each box contains supplies to 2.2 The Collection.
collect specimens from three employees.) Exhibit C–1 contains instructions for col-
The railroad representative shall request the lection of specimens for post-accident toxi-
collection facility representative to review cology from surviving employees. These in-
the instructions provided and, through quali- structions shall be observed for each collec-
fied personnel, provide for collection of the tion. Instructions are also contained in each
259
post-accident shipping box and shall be pro- participation of medical facilities in this im-
vided to collection facility personnel in- portant public safety program.
volved in the collection and/or packaging of
specimens for shipment. B. Prepare for Collection
(Post Mortem Collection) a. Railroad employees have consented to
3.0 Fatality. provision of specimens for analysis by the
This unit provides procedures for col- Federal Railroad Administration as a condi-
lecting post-accident body fluid/tissue speci- tion of employment (49 CFR 219.11). A pri-
mens from the remains of employees killed vate, controlled area should be designated
in train accidents and train incidents, as re- for collection of specimens and completion of
quired by Subpart C of this part. Subpart C paperwork.
specifies qualifying events and employees re- b. Only one specimen should be collected at
quired to be tested. a time, with each employee’s blood draw or
3.1 Collection. urine collection having the complete atten-
In the event of a fatality for which testing tion of the collector until the specific speci-
is required under Subpart C of this part, the men has been labeled, sealed and docu-
railroad shall promptly make available to mented.
the custodian of the remains a post-accident c. Please remember two critical rules for
shipping box. The railroad representative the collections:
shall request the custodian to review the in- d. All labeling and sealing must be done in
structions contained in the shipping box and, the sight of the donor, with the specimen
through qualified medical personnel, to pro- never having left the donor’s presence until
vide the specimens as indicated. the specimen has been labeled, sealed and
initialed by the donor.
(Surviving Employees and Fatalities) e. Continuous custody and control of blood
4.0 Shipment. and urine specimens must be maintained and
a. The railroad is responsible for arranging documented on the forms provided. In order
overnight transportation of the sealed ship- to do this, it is important for the paperwork
ping box containing the specimens. When and the specimens to stay together.
possible without incurring delay, the box f. To the extent practical, blood collection
should be delivered directly from the collec- should take priority over urine collection.
tion personnel providing the specimens to an To limit steps in the chain of custody, it is
overnight express service courier. If it be- best if a single collector handles both collec-
comes necessary for the railroad to transport tions from a given employee.
the box from point of collection to point of g. You will use a single Post-Accident
shipment, then— Testing Blood/Urine Custody and Control
1. Individual kits and the shipping box Form (FRA Form 6108.74 (revised)), con-
shall be sealed by collection personnel before sisting of six Steps to complete the collec-
the box is turned over to the railroad rep- tion for each employee. We will refer to it as
resentative; the Control Form.
2. The railroad shall limit the number of
persons handling the shipping box to the C. Identify the Donor
minimum necessary to provide for transpor- a. The employee donor must provide photo
tation; identification to each collector, or lacking
3. If the shipping box cannot immediately this, be identified by the railroad representa-
be delivered to the express carrier for trans- tive.
portation, it shall be maintained in secure b. The donor should remove all unneces-
temporary storage; and sary outer garments such as coats or jack-
4. The railroad representatives handling ets, but may retain valuables, including a
the box shall document chain of custody of wallet. Donors should not be asked to dis-
the shipping box and shall make available robe, unless necessary for a separate phys-
such documentation to FRA on request. ical examination required by the attending
physician.
EXHIBIT C–1—INSTRUCTIONS FOR COLLECTION
OF BLOOD AND URINE SPECIMENS: MANDA- D. Draw Blood
TORY POST-ACCIDENT TOXICOLOGICAL TEST-
a. Assemble the materials for collecting
ING
blood from each employee: two 10 ml grey-
A. Purpose stoppered blood tubes and the Control Form.
b. Ask the donor to complete STEP 1 on
These instructions are for the use of per- the Control Form.
sonnel of collection facilities conducting col- c. With the donor seated, draw two (2) 10
lection of blood and urine specimens from ml tubes of blood using standard medical
surviving railroad employees following rail- procedures (sterile, single-use syringe into
road accidents and casualties that qualify evacuated gray-top tubes provided). CAU-
for mandatory alcohol/drug testing. The Fed- TION: Do not use alcohol or an alcohol-based
eral Railroad Administration appreciates the swab to cleanse the venipuncture site.
260
d. Once both tubes are filled and the site of f. Ask the employee to void at least 60 ml
venipuncture is protected, immediately— into the collection cup (at least to the line
1. Seal and label each tube by placing a marked).
numbered blood specimen label from the g. Leave the private enclosure.
label set on the Control Form over the top of IF THERE IS A PROBLEM WITH URINA-
the tube and securing it down the sides. TION OR Specimen QUANTITY, SEE THE
2. Ask the donor to initial each label. ‘‘TROUBLE BOX’’ AT THE BACK OF THESE
Please check to see that the initials match INSTRUCTIONS.
the employee’s name and note any discrep- h. Once the void is complete, the employee
ancies in the ‘‘Remarks’’ block of the Con- should exit the private enclosure and deliver
trol Form. the specimen to the collector. Both the col-
3. As collector, sign and date each blood lector and the employee must proceed imme-
tube label at the place provided. diately to the labeling/sealing area, with the
4. Skip to STEP 5 and initiate chain of cus- specimen never leaving the sight of the em-
tody for the blood tubes by filling out the ployee before being sealed and labeled.
first line of the block to show receipt of the i. Upon receipt of the specimen, proceed as
blood specimens from the donor. follows:
5. Complete STEP 2 on the form. 1. In the full view of the employee, remove
6. Return the blood tubes into the indi- the wrapper from the two urine specimen
vidual kit. Keep the paperwork and speci- bottles. Transfer the urine from the collec-
mens together. If another collector will be tion cup into the specimen bottles (at least
collecting the urine specimen from this em- 30 ml in bottle A and at least 15 ml in bottle
ployee, transfer both the form and the indi- B).
2. As you pour the specimen into the speci-
vidual kit with blood tubes to that person,
men bottles, please inspect for any unusual
showing the transfer of the blood tubes on
signs indicating possible adulteration or di-
the second line of STEP 5 (the chain of cus-
lution. Carefully secure the tops. Note any
tody block).
unusual signs under ‘‘Remarks’’ at STEP 3 of
E. Collect Urine the Control Form.
3. Within 4 minutes after the void, measure
a. The urine collector should assemble at the temperature of the urine by reading the
his/her station the materials for collecting strip on the bottle. Mark the result at STEP
urine from each employee: one plastic collec- 3 of the Control Form.
tion cup with temperature device affixed en- IF THERE IS A PROBLEM WITH THE
closed in a heat-seal bag (with protective URINE Specimen, SEE THE ‘‘TROUBLE
seal intact), two 90 ml urine specimen bot- BOX’’ AT THE BACK OF THESE INSTRUC-
tles with caps and one biohazard bag (with TIONS.
absorbent) also enclosed in a heat-seal bag
4. Remove the urine bottle labels from the
(with protective seal intact), and the Control
Control Form. The labels are marked ‘‘A’’
Form. Blood specimens already collected
and ‘‘B.’’ Place each label as marked over
must remain in the collector’s custody and
the top of its corresponding bottle, and se-
control during this procedure.
cure the label to the sides of the bottle.
b. After requiring the employee to wash 5. Ask the donor to initial each label.
his/her hands, the collector should escort the Please check to see that the initials match
employee directly to the urine collection the employee name and note any discrepancy
area. To the extent practical, all sources of in the ‘‘Remarks’’ block of STEP 3.
water in the collection area should be se- 6. As collector, sign and date each urine
cured and a bluing agent (provided in the label.
box) placed in any toilet bowl, tank, or other 7. Skip to STEP 5 and initiate chain-of-
standing water. custody by showing receipt of the urine
c. The employee will be provided a private specimens from the donor. (If you collected
place in which to void. Urination will not be the blood, a check under ‘‘urine’’ will suffice.
directly observed. If the enclosure contains a If someone else collected the blood, first
source of running water that cannot be se- make sure transfer of the blood to you is
cured or any material (soap, etc.) that could documented. Then, using the next available
be used to adulterate the specimen, the col- line, show ‘‘Provide specimens’’ under pur-
lector should monitor the provision of the pose, ‘‘Donor’’ under ‘‘released by,’’ check
specimen from outside the enclosure. Any under ‘‘urine’’ and place your name, signa-
unusual behavior or appearance should be ture and date in the space provided.)
noted in the remarks section of the Control 8. Complete the remainder of STEP 3 on
Form or on the back of that form. the Control Form.
d. The collector should then proceed as fol- 9. Have the employee complete STEP 4 on
lows: the Control Form.
e. Unwrap the collection cup in the em- 10. Place the filled urine bottles in the in-
ployee’s presence and hand it to the em- dividual employee kit. Keep the paperwork
ployee (or allow the employee to unwrap it). and specimens together. If another collector
261
will be collecting the blood specimen from expeditious shipment by air express, air
this employee, transfer both the form and freight or equivalent means.
the kit to that person, showing the transfer c. If the railroad is given custody of the box
of the urine specimens on the next available to arrange shipment, please record the name
line of STEP 5 (the chain of custody block). of the railroad official taking custody on the
copy of Form 6180.73 retained by the collec-
F. Seal the Individual Employee Kit tion site.
a. The blood and urine specimens have now ‘‘TROUBLE BOX’’
been collected for this employee. The blood/
urine specimens will now be sealed into the 1. Problem: The employee claims an inability
individual employee kit, while all paperwork to urinate, either because he/she has recently
will be retained for further completion. After voided or because of anxiety concerning the col-
rechecking to see that each specimen is lection.
properly labeled and initialed, close the plas- Action: The employee may be offered mod-
tic bag to contain any leakage in transpor- erate quantities of liquid to assist urination.
tation, and apply the kit security seal to the If the employee continues to claim inability
small individual kit. As collector, sign and after 4 hours, the urine collection should be
date the kit seal. discontinued, but the blood specimens should
b. Before collecting specimens from the be forwarded and all other procedures fol-
next employee, complete the next line on the lowed. Please note in area provided for re-
chain-of-custody block showing release of marks what explanation was provided by the
the blood and urine by yourself for the pur- employee.
pose of ‘‘Shipment’’ and receipt by the cou- 2. Problem: The employee cannot provide ap-
proximately 60 ml. of specimen.
rier service or railroad representative that
Action: The employee should remain at the
will provide transportation of the box, to-
collection facility until as much as possible
gether with the date.
of the required amount can be given (up to 4
G. Complete Treatment Information hours). The employee should be offered mod-
erate quantities of liquids to aid urination.
Complete STEP 6 of the Control Form. The first bottle, if it contains any quantity
Mark the box if a breath alcohol test was of urine, should be sealed and securely stored
conducted under FRA authority. with the blood tubes and Control Form pend-
ing shipment. A second bottle should then be
H. Prepare the Box for Shipment used for the subsequent void (using a second
a. Sealed individual employee kits should Control Form with the words ‘‘SECOND
be retained in secure storage if there will be VOID—FIRST Specimen INSUFFICIENT’’ in
a delay in preparation of the shipping box. the remarks block and labels from that
The shipping box shall be prepared and form). However, if after 4 hours the donor’s
sealed by a collection facility representative second void is also insufficient or contains
as follows: no more than the first insufficient void, dis-
1. Inspect STEP 5 of each Control Form to card the second void and send the first void
ensure chain-of-custody is continuous and to the laboratory.
complete for each fluid (showing specimens 3. Problem: The urine temperature is outside
released for shipment). Retain the medical the normal range of 32 deg.¥38 deg.C/90
facility copy of each Control Form and the deg.¥100 deg.F, and a suitable medical expla-
Accident Information form for your records. nation cannot be provided by an oral tem-
2. Place sealed individual employee kits in perature or other means; or
4. Problem: The collector observes conduct
the shipping box. Place all forms in zip-lock
clearly and unequivocally indicating an attempt
bag and seal securely. Place bag with forms
to substitute or adulterate the specimen (e.g.,
and unused supplies in shipping box.
substitute urine in plain view, blue dye in
3. Affix the mailing label provided to the
specimen presented, etc.) and a collection
outside of the shipping box.
site supervisor or the railroad representative
I. Ship the Box agrees that the circumstances indicate an
attempt to tamper with the specimen.
a. The railroad must arrange to have the Action (for either Problem No. 3 or Prob-
box shipped overnight air express or (if ex- lem No. 4): Document the problem on the
press service is unavailable) by air freight, Control Form.
prepaid, to FRA’s designated laboratory. i. If the collection site supervisor or rail-
Whenever possible without incurring delay, road representative concurs that the tem-
the collector should deliver the box directly perature of the specimen, or other clear and
into the hands of the express courier or air unequivocal evidence, indicates a possible
freight representative. attempt to substitute or alter the specimen,
b. Where courier pickup is not imme- another void must be taken under direct ob-
diately available at the collection facility servation by a collector of the same gender.
where the specimens are taken, the railroad ii. If a collector of the same sex is not
is required to transport the shipping box for available, do NOT proceed with this step.
262
iii. If a collector of the same gender is e. If vitreous or urine is not available,
available, proceed as follows: A new Control please provide—
Form must be initiated for the second void. 1. Spinal fluid—all available, in 8 ml con-
The original suspect specimen should be tainer (if available) with sodium fluoride or
marked ‘‘Void’’ and the follow-up void in gray-stopper tube; or, if spinal fluid can-
should be marked ‘‘Void 2,’’ with both voids not be obtained,
being sent to the laboratory and the incident 2. Gastric content—up to 100 milliliters, as
clearly detailed on the Control Form. available, into plastic bottle.
EXHIBIT C–2—INSTRUCTIONS FOR COLLECTION C. Specimen collection:

OF POST MORTEM SPECIMENS: EMPLOYEE
a. Sampling at time of autopsy is preferred
KILLED IN A RAILROAD ACCIDENT/INCIDENT
so that percutaneous needle puncturing is
To the Medical Examiner, Coroner, or Pa- not necessary. However, if autopsy will not
thologist: be conducted or is delayed, please proceed
a. In compliance with Federal safety regu- with sampling.
lations (49 CFR Part 219), a railroad rep- b. Blood specimens should be taken by
resentative has requested that you obtain sterile syringe and deposited directly into
specimens for toxicology from the remains of evacuated tube, if possible, to avoid con-
a railroad employee who was killed in a rail- tamination of specimen or dissipation of
road accident or incident. The deceased con- volatiles (ethyl alcohol).
sented to the taking of such specimens, as a NOTE: If only cavity fluid is available,
matter of Federal law, by performing service please open cavity to collect specimen. Note
on the railroad (49 CFR 219.11(f)). condition of cavity.
b. Your assistance is requested in carrying c. Please use smallest tubes available to
out this program of testing, which is impor- accommodate available quantity of fluid
tant to the protection of the public safety specimen (with 1% sodium fluoride).
and the safety of those who work on the rail-
roads. D. Specimen identification, sealing:
a. As each specimen is collected, seal each
A. Materials:
blood tube and each urine bottle using the
The railroad will provide you a post-acci- respective blood tube or urine bottle using
dent shipping box that contains necessary the identifier labels from the set provided
supplies. If the box is not immediately avail- with the Post-Accident Testing Blood/Urine
able, please proceed using supplies available Custody and Control Form (49 CFR part 219)
to you that are suitable for forensic toxi- (Form FRA F 6180.74 (revised)). Make sure
cology. the unique identification number on the la-
bels match the pre-printed number on the
B. Specimens requested, in order of preference: Control Form. Please label other specimens
with name and specimen set identification
a. Blood—20 milliliters or more. Preferred
numbers. You may use labels and seals from
sites: intact femoral vein or artery or periph-
any of the extra forms, but annotate them
eral vessels (up to 10 ml, as available) and in-
accordingly.
tact heart (20 ml). Deposit blood in gray-
stopper tubes individually by site and shake b. Annotate each label with specimen de-
to mix specimen and preservative. scription and source (as appropriate) (e.g.,
blood, femoral vein).
NOTE: If uncontaminated blood is not
c. Please provide copy of any written docu-
available, bloody fluid or clots from body
mentation regarding condition of body and/
cavity may be useful for qualitative pur-
or sampling procedure that is available at
poses; but do not label as blood. Please indi-
the time specimens are shipped.
cate source and identity of specimen on label
of tube. E. Handling:
b. Urine—as much as 100 milliliters, if
available. Deposit into plastic bottles pro- a. If specimens cannot be shipped imme-
vided. diately as provided below, specimens other
c. Vitreous fluid—all available, deposited than blood may be immediately frozen.
into smallest available tube (e.g., 3 ml) with Blood specimens should be refrigerated, but
1% sodium fluoride, or gray-stopper tube not frozen.
(provided). Shake to mix specimen and pre- b. All specimens and documentation should
servative. be secured from unauthorized access pending
d. If available at autopsy, organs—50 to 100 delivery for transportation.
grams each of two or more of the following
F. Information:
in order preference, as available: liver, bile,
brain, kidney, spleen, and/or lung. Specimens a. If the railroad has not already done so,
should be individually deposited into zip- please place the name of the subject at the
lock bags or other clean, single use con- top of the Control Form (STEP 1). You are
tainers suitable for forensic specimens. requested to complete STEP 2 of the form,
263
annotating it by writing the word ‘‘FATAL- PART 220—RAILROAD
ITY,’’ listing the specimens provided, pro-
viding any further information under ‘‘Re- COMMUNICATIONS
marks’’ or at the bottom of the form. If it is
necessary to transfer custody of the speci- Subpart A—General
mens from the person taking the specimens
prior to preparing the box for shipment, Sec.
please use the blocks provided in STEP 5 to 220.1 Scope.
document transfer of custody. 220.2 Preemptive effect.
b. The railroad representative will also 220.3 Application.
provide Accident Information Required for 220.5 Definitions.
Post-Accident Toxicological Testing (49 CFR 220.7 Penalty.
Part 219), Form FRA 6180.73 (revised). Both 220.8 Waivers.
forms should be placed in the shipping box
220.9 Requirements for trains.
when completed; but you may retain the des-
ignated medical facility copy of each form 220.11 Requirements for roadway workers.
for your records. 220.13 Reporting emergencies.
G. Packing the shipping box: Subpart B—Radio and Wireless

a. Place urine bottles and blood tubes in
Communication Procedures
the sponge liner in the individual kit, close 220.21 Railroad operating rules; radio com-
the biohazard bag zipper, close the kit and
munications; recordkeeping.
apply the kit custody seal to the kit. You
220.23 Publication of radio information.
may use additional kits for each tissue speci-
men, being careful to identify specimen by 220.25 Instruction and operational testing of
tissue, name of deceased, and specimen set employees.
identification number. Apply kit security 220.27 Identification.
seals to individual kits and initial across all 220.29 Statement of letters and numbers in
seals. Place all forms in the zip-lock bag and radio communications.
seal securely. 220.31 Initiating a radio transmission.
b. Place the bag in the shipping box. Do 220.33 Receiving a radio transmission.
not put forms in with the specimens. Seal 220.35 Ending a radio transmission.
the shipping box with the seal provided and 220.37 Testing radio and wireless commu-
initial and date across the seal. nication equipment.
c. Affix the mailing label to the outside of 220.38 Communication equipment failure.
the box.
220.39 Continuous radio monitoring.
H. Shipping the box: 220.41 [Reserved]
220.43 Radio communications consistent
a. The railroad must arrange to have the with federal regulations and railroad op-
box shipped overnight air express or (if ex- erating rules.
press service is unavailable) by air freight,
220.45 Radio communication shall be com-
prepaid, to FRA’s designated laboratory.
When possible, but without incurring delay, plete.
deliver the sealed shipping box directly to 220.47 Emergency radio transmissions.
the express courier or the air freight rep- 220.49 Radio communication used in shov-
resentative. ing, backing or pushing movements.
b. If courier pickup is not immediately 220.51 Radio communications and signal in-
available at your facility, the railroad is re- dications.
quired to transport the sealed shipping box 220.61 Radio transmission of mandatory di-
to the nearest point of shipment via air ex- rectives.
press, air freight or equivalent means. APPENDIX A TO PART 220—RECOMMENDED
c. If the railroad receives the sealed shipping PHONETIC ALPHABET
box to arrange shipment, please record under
APPENDIX B TO PART 220—RECOMMENDED PRO-
‘‘Supplemental Information’’ on the Control
NUNCIATION OF NUMERALS
Form, the name of the railroad official tak-
ing custody. APPENDIX C TO PART 220—SCHEDULE OF CIVIL
PENALTIES
I. Other:
AUTHORITY: 49 U.S.C. 20102–20103, 20107,
FRA requests that the person taking the 21301–21302, 21304, 21311; 28 U.S.C. 2461, note;
specimens annotate the Control Form under and 49 CFR 1.49.
‘‘Supplemental Information’’ if additional
toxicological analysis will be undertaken SOURCE: 63 FR 47195, Sept. 4, 1998, unless
with respect to the fatality. FRA reports are otherwise noted.
available to the coroner or medical examiner
on request.
264
Subpart A—General authorized by a railroad to use its

wireless communications in connection
§ 220.1 Scope. with railroad operations.
This part prescribes minimum re- Immediate access to a radio means a
quirements governing the use of wire- radio on the employee’s person, or suf-
less communications in connection ficiently close to the employee to allow
with railroad operations. So long as the employee to make and receive
these minimum requirements are met, radio transmissions.
railroads may adopt additional or more Joint operations means rail operations
stringent requirements. conducted by more than one railroad
on the track of a railroad subject to
§ 220.2 Preemptive effect. the requirements of § 220.9(a), except as
Under 49 U.S.C. 20106 (formerly sec- necessary for the purpose of inter-
tion 205 of the Federal Railroad Safety change.
Act of 1970, 45 U.S.C. 434), issuance of Locomotive means a piece of on-track
the regulations in this part preempts equipment other than hi-rail, special-
any State law, rule, regulation, order, ized maintenance, or other similar
or standard covering the same subject equipment—
matter, except a provision necessary to (1) With one or more propelling mo-
eliminate or reduce an essentially local tors designed for moving other equip-
safety hazard that is not incompatible ment;
with this part and that does not unrea- (2) With one or more propelling mo-
sonably burden interstate commerce. tors designed to carry freight or pas-
senger traffic, or both; or
§ 220.3 Application. (3) Without propelling motors but
(a) Except as provided in paragraph with one or more control stands.
(b) of this section, this part applies to Lone worker means an individual
railroads that operate trains or other roadway worker who is not being af-
rolling equipment on standard gage forded on-track safety by another road-
track which is part of the general railway worker, who is not a member of a
road system of transportation. roadway work group, and who is not
(b) This part does not apply to: engaged in a common task with an-
(1) A railroad that operates only on other roadway worker.
track inside an installation which is Mandatory directive means any move-
not part of the general railroad system ment authority or speed restriction
of transportation; or that affects a railroad operation.
(2) Rapid transit operations in an Railroad operation means any activity
urban area that are not connected with which affects the movement of a train,
the general railroad system of trans- locomotive, on-track equipment, or
portation. track motor car, singly or in combina-
tion with other equipment, on the
§ 220.5 Definitions. track of a railroad.
As used in this part, the term: Roadway worker means any employee
Adjacent tracks means two or more of a railroad, or of a contractor to a
tracks with track centers spaced less railroad, whose duties include inspec-
than 25 feet apart. tion, construction, maintenance or re-
Control center means the locations on pair of railroad track, bridges, road-
a railroad from which the railroad way, signal and communication sys-
issues instructions governing railroad tems, electric traction systems, road-
operations. way facilities or roadway maintenance
Division headquarters means the loca- machinery on or near track or with the
tion designated by the railroad where a potential of fouling a track, and
high-level operating manager (e.g., a flagmen and watchmen/lookouts.
superintendent, division manager, or System headquarters means the loca-
equivalent), who has jurisdiction over a tion designated by the railroad as the
portion of the railroad, has an office. general office for the railroad system.
Employee means an individual who is Train means one or more locomotives
engaged or compensated by a railroad coupled with or without cars, requiring
or by a contractor to a railroad, who is an air brake test in accordance with 49
265
§ 220.7 49 CFR Ch. II (10–1–07 Edition)
CFR part 232 or part 238, except during a pattern of repeated violations has
switching operations or where the op- created an imminent hazard of death or
eration is that of classifying and as- injury, or has caused death or injury, a
sembling rail cars within a railroad penalty not to exceed $27,000 per viola-
yard for the purpose of making or tion may be assessed; and the standard
breaking up trains. of liability for a railroad will vary de-
Working radio means a radio that can pending upon the requirement in-
communicate with the control center volved. Each day a violation continues
of the railroad (through repeater sta- shall constitute a separate offense.
tions, if necessary to reach the center) (See appendix C to this part for a state-
from any location within the rail sys- ment of agency civil penalty policy.)
tem, except:
(1) Tunnels or other localized places [63 FR 47195, Sept. 4, 1998, as amended at 69
FR 30593, May 28, 2004]
of extreme topography, and
(2) Temporary lapses of coverage due EFFECTIVE DATE NOTE: At 72 FR 51196,
to atmospheric or topographic condi- Sept. 6, 2007, § 220.7 was amended by removing
tions. In the case of joint operations on the numerical amount ‘‘$11,000’’ and adding
another railroad, the radio must be in its place the numerical amount ‘‘$16,000’’,
able to reach the control center of the
host railroad. § 220.8 Waivers.
Working wireless communications
means the capability to communicate (a) Any person subject to a require-
with either a control center or the ment of this part may petition the Ad-
emergency responder of a railroad ministrator for a waiver of compliance
through such means as radio, portable with such requirement. The filing of
radio, cellular telephone, or other such a petition does not affect that
means of two-way communication, person’s responsibility for compliance
from any location within the rail sys- with that requirement while the peti-
tem, except: tion is being considered.
(1) Tunnels or other localized places (b) Each petition for waiver must be
of extreme topography, and filed in the manner and contain the in-
(2) Temporary lapses of coverage due formation required by part 211 of this
to atmospheric or topographic condi- chapter.
tions. In the case of joint operations on (c) If the Administrator finds that a
another railroad, the radio must be waiver of compliance is in the public
able to reach the control center of the interest and is consistent with railroad
host railroad. safety, the Administrator may grant
[63 FR 47195, Sept. 4, 1998, as amended at 65 the waiver subject to any conditions
FR 41305, July 3, 2000] the Administrator deems necessary.
§ 220.7 Penalty. § 220.9 Requirements for trains.

Any person (including but not lim- (a) Except as provided for in para-
ited to a railroad; any manager, super- graphs (b)(1) through (4) of this section,
visor, official, or other employee or on and after July 1, 1999, each occupied
agent of a railroad; any owner, manu- controlling locomotive in a train shall
facturer, lessor, or lessee of railroad have a working radio, and each train
equipment, track, or facilities; any shall also have communications redun-
independent contractor providing dancy. For purposes of this section,
goods or services to a railroad; and any ‘‘communications redundancy’’ means
employee of such owner, manufacturer, a working radio on another locomotive
lessor, lessee, or independent con- in the consist or other means of work-
tractor) who violates any requirement ing wireless communications.
of this part or causes the violation of (b) On and after July 1, 2000, the fol-
any such requirement is subject to a lowing requirements apply to a rail-
civil penalty of at least $550 and not road that has fewer than 400,000 annual
more than $11,000 per violation, except employee work hours:
that: Penalties may be assessed against (1) Any train that transports pas-
individuals only for willful violations; sengers shall be equipped with a work-
where a grossly negligent violation or ing radio in the occupied controlling
266
locomotive and with redundant work- diate access to a working radio is not
ing wireless communications capa- available, the employee responsible for
bility in the same manner as provided on-track safety or lone worker shall be
in paragraph (a) of this section. equipped with a radio capable of moni-
(2) Any train that operates at greater toring transmissions from train move-
than 25 miles per hour; or engages in ments in the vicinity. A railroad with
joint operations on track where the fewer than 400,000 annual employee
maximum authorized speed for freight work hours may provide immediate ac-
trains exceeds 25 miles per hour; or en- cess to working wireless communica-
gages in joint operations on a track tions as an alternative to a working
that is adjacent to and within 30 feet radio.
measured between track center lines of
(c) This section does not apply to:
another track on which the maximum
authorized speed for passenger trains (1) Railroads which have fewer than
exceeds 40 miles per hour, shall be 400,000 annual employee work hours,
equipped with a working radio in the and which do not operate trains in ex-
occupied controlling locomotive. cess of 25 miles per hour; or
(3) Any train that engages in joint (2) Railroad operations where the
operations, where the maximum au- work location of the roadway work
thorized speed of the track is 25 miles group or lone worker:
per hour or less, shall be equipped with (i) Is physically inaccessible to
working wireless communications in trains; or
the occupied controlling locomotive. (ii) Has no through traffic or traffic
(4) Any train not described in para- on adjacent tracks during the period
graph (b) of this section that trans- when roadway workers will be present.
ports hazardous material required to be
placarded under the provisions of part § 220.13 Reporting emergencies.
172 of this title shall be equipped with
(a) Employees shall immediately re-
working wireless communications in
the occupied controlling locomotive. port by the quickest means available
derailments, collisions, storms, wash-
§ 220.11 Requirements for roadway outs, fires, obstructions to tracks, and
workers. other hazardous conditions which could
(a) On and after July 1, 1999, the fol- result in death or injury, damage to
lowing requirements apply to a rail- property or serious disruption of rail-
road that has 400,000 or more annual road operations.
employee work hours: (b) In reporting emergencies, employ-
(1) Maintenance-of-way equipment ees shall follow:
operating without locomotive assist- (1) The procedures of § 220.47 when
ance between work locations shall have using a radio; or
a working radio on at least one such (2) The procedures specified for re-
unit in each multiple piece of mainte- porting emergencies in the railroad’s
nance-of-way equipment traveling to- timetables or timetable special in-
gether under the same movement au- structions, when using another means
thority. The operators of each addi- of wireless communications.
tional piece of maintenance-of-way
(c) Employees shall describe as com-
equipment shall have communications
pletely as possible the nature, degree
capability with each other.
and location of the hazard.
(2) Each maintenance-of-way work
group shall have intra-group commu- (d) An alternative means of commu-
nications capability upon arriving at a nications capability shall be provided
work site. whenever the control center is unat-
(b) On and after July 1, 1999, each em- tended or unable to receive radio trans-
ployee designated by the employer to missions during a period in which rail-
provide on-track safety for a roadway road operations are conducted.
work group or groups, and each lone
worker, shall be provided, and where
practicable, shall maintain immediate
access to a working radio. When imme-
267
§ 220.21 49 CFR Ch. II (10–1–07 Edition)
Subpart B—Radio and Wireless § 220.25 Instruction and operational

Communication Procedures testing of employees.
Each employee who a railroad au-
§ 220.21 Railroad operating rules; thorizes to use a radio in connection
radio communications; record- with a railroad operation, shall be:
keeping. (a) Provided with a copy of the rail-
(a) The operating rules of each railroad’s operating rules governing the
road with respect to radio communica- use of radio communication in a rail-
tions shall conform to the require- road operation;
(b) Instructed in the proper use of
ments of this part.
radio communication as part of the
(b) Thirty days before commencing to program of instruction prescribed in
use radio communications in connec- § 217.11 of this chapter; and
tion with railroad operations each rail- (c) Periodically tested under the
road shall retain one copy of its cur- operational testing requirements in
rent operating rules with respect to § 217.9 of this chapter.
radio communications at the locations
prescribed in paragraphs (b) (1) and § 220.27 Identification.
(b)(2) of this section. Each amendment (a) Except as provided in paragraph
to these operating rules shall be filed (c) of this section, the identification of
at such locations within 30 days after each wayside, base or yard station
it is issued. These records shall be shall include at least the following
made available to representatives of minimum elements, stated in the order
the Federal Railroad Administration listed:
for inspection and photocopying during (1) Name of railroad. An abbreviated
normal business hours. name or initial letters of the railroad
(1) Each Class I railroad, each Class may be used where the name or initials
II railroad, each railroad providing are in general usage and are under-
intercity rail passenger service, and stood in the railroad industry; and
(2) Name and location of office or
each railroad providing commuter
other unique designation.
service in a metropolitan or suburban (b) Except as provided in paragraph
area shall retain such rules at each of (c) of this section, the identification of
its division headquarters and at its sys- each mobile station shall consist of the
tem headquarters; and (2) Each Class following elements, stated in the order
III railroad and any other railroad sub- listed:
ject to this part but not subject to (1) Name of railroad. An abbreviated
paragraph (b)(1) of this section shall re- name or initial letters of the railroad
tain such rules at the system head- may be used where the name or initial
quarters of the railroad. letters are in general usage and are un-
(c) For purposes of this section, the derstood in the railroad industry;
terms Class I railroad, Class II rail- (2) Train name (number), if one has
road, and Class III railroad have the been assigned, or other appropriate
meaning given these terms in 49 CFR unit designation; and
Part 1201. (3) When necessary, the word ‘‘loco-
motive’’, ‘‘motorcar’’, or other unique
§ 220.23 Publication of radio informa- identifier which indicates to the lis-
tion. tener the precise mobile transmitting
station.
Each railroad shall designate where
(c) If positive identification is
radio base stations are installed, where
achieved in connection with switching,
wayside stations may be contacted, classification, and similar operations
and the appropriate radio channels wholly within a yard, fixed and mobile
used by these stations in connection units may use short identification
with railroad operations by publishing after the initial transmission and ac-
them in a timetable or special instruc- knowledgment consistent with applica-
tion. The publication shall indicate the ble Federal Communications Commis-
periods during which base and wayside sion regulations governing ‘‘Station
radio stations are operational. Identification’’.
268
§ 220.29 Statement of letters and num- transmitting party unless the commu-
bers in radio communications. nication:
(a) If necessary for clarity, a pho- (1) Relates to yard switching oper-
netic alphabet shall be used to pro- ations;
nounce any letter used as an initial, (2) Is a recorded message from an
except initial letters of railroads. See automatic alarm device; or
appendix A of this part for the rec- (3) Is general in nature and does not
ommended phonetic alphabet. contain any information, instruction
(b) A word which needs to be spelled or advice which could affect the safety
for clarity, such as a station name, of a railroad operation.
shall first be pronounced, and then
spelled. If necessary, the word shall be § 220.35 Ending a radio transmission.
spelled again, using a phonetic alpha- (a) Except for transmissions relating
bet. to yard switching operations, at the
(c) Numbers shall be spoken by digit, close of each transmission to which a
except that exact multiples of hun- response is expected, the transmitting
dreds and thousands may be stated as employee shall say ‘‘over’’ to indicate
such. A decimal point shall be indi- to the receiving employee that the
cated by the words ‘‘decimal,’’ ‘‘dot,’’ transmission is ended.
or ‘‘point.’’ (See appendix B to this (b) Except for transmissions relating
part, for a recommended guide to the to yard switching operations, at the
pronunciation of numbers.) close of each transmission to which no
§ 220.31 Initiating a radio trans- response is expected, the transmitting
mission. employee shall state the employee’s
identification followed by the word
BEFORE TRANSMITTING BY RADIO, AN ‘‘out’’ to indicate to the receiving em-
EMPLOYEE SHALL: ployee that the exchange of trans-
missions is complete.
(a) Listen to ensure that the channel
on which the employee intends to § 220.37 Testing radio and wireless
transmit is not already in use; communication equipment.
(b) Identify the employee’s station in
accordance with the requirements of (a) Each radio, and all primary and
§ 220.27; and redundant wireless communication
(c) Verify that the employee has equipment used under §§ 220.9 and
made radio contact with the person or 220.11, shall be tested as soon as prac-
station with whom the employee in- ticable to ensure that the equipment
tends to communicate by listening for functions as intended prior to the com-
an acknowledgment. If the station ac- mencement of the work assignment.
knowledging the employee’s trans- (b) The test of a radio shall consist of
mission fails to identify itself properly, an exchange of voice transmissions
the employee shall require a proper with another radio. The employee re-
identification before proceeding with ceiving the transmission shall advise
the transmission. the employee conducting the test of
the clarity of the transmission.
§ 220.33 Receiving a radio trans-
mission. § 220.38 Communication equipment
failure.
(a) Upon receiving a radio call, an
employee shall promptly acknowledge (a) Any radio or wireless communica-
the call, identifying the employee’s tion device found not to be functioning
station in accordance with the require- as intended when tested pursuant to
ments of § 220.27 and stand by to re- § 220.37 shall be removed from service
ceive. An employee need not attend the and the dispatcher or other employee
radio during the time that this would designated by the railroad shall be so
interfere with other immediate duties notified as soon as practicable.
relating to the safety of railroad oper- (b) If a radio or wireless communica-
ations. tion device fails on the controlling lo-
(b) An employee who receives a comotive en route, the train may con-
transmission shall repeat it to the tinue until the earlier of—
269
§ 220.39 49 CFR Ch. II (10–1–07 Edition)
(1) The next calendar day inspection, structions are received. If the instruc-
or tions are not understood, the move-
(2) The nearest forward point where ment shall be stopped immediately and
the radio or wireless communication may not be resumed until the mis-
device can be repaired or replaced. understanding has been resolved, radio
contact has been restored, or commu-
§ 220.39 Continuous radio monitoring.
nication has been achieved by hand sig-
Each radio used in a railroad oper- nals or other procedures in accordance
ation shall be turned on to the appro- with the operating rules of the rail-
priate channel as designated in § 220.23 road.
and adjusted to receive communica-
tions. § 220.51 Radio communications and
signal indications.
§ 220.41 [Reserved]
(a) No information may be given by
§ 220.43 Radio communications con- radio to a train or engine crew about
sistent with federal regulations and the position or aspect displayed by a
railroad operating rules.
fixed signal. However, a radio may be
Radio communication shall not be used by a train crew member to com-
used in connection with a railroad op- municate information about the posi-
eration in a manner which conflicts tion or aspect displayed by a fixed sig-
with the requirements of this part, nal to other members of the same crew.
Federal Communication Commission
(b) Except as provided in the rail-
regulations, or the railroad’s operating
rules. The use of citizen band radios for road’s operating rules, radio commu-
railroad operating purposes is prohib- nication shall not be used to convey in-
ited. structions which would have the effect
of overriding the indication of a fixed
§ 220.45 Radio communication shall be signal.
complete.
Any radio communication which is § 220.61 Radio transmission of manda-
not fully understood or completed in tory directives.
accordance with the requirements of (a) Each mandatory directive may be
this part and the operating rules of the transmitted by radio only when au-
railroad, shall not be acted upon and thorized by the railroad’s operating
shall be treated as though not sent. rules. The directive shall be trans-
mitted in accordance with the rail-
§ 220.47 Emergency radio trans-
missions. road’s operating rules and the require-
ments of this part.
An initial emergency radio trans-
(b) The procedure for transmission of
mission shall be preceded by the word
‘‘emergency,’’ repeated three times. An a mandatory directive is as follows:
emergency transmission shall have pri- (1) The train dispatcher or operator
ority over all other transmissions and shall call the addressees of the manda-
the frequency or channel shall be kept tory directive and state the intention
clear of non-emergency traffic for the to transmit the mandatory directive.
duration of the emergency communica- (2) Before the mandatory directive is
tion. transmitted, the employee to receive
and copy shall state the employee’s
§ 220.49 Radio communication used in name, identification, location, and
shoving, backing or pushing move-
ments. readiness to receive and copy. An em-
ployee operating the controls of mov-
When radio communication is used in ing equipment shall not receive and
connection with the shoving, backing
copy mandatory directives. A manda-
or pushing of a train, locomotive, car,
tory directive shall not be transmitted
or on-track equipment, the employee
directing the movement shall specify to employees on moving equipment, if
the distance of the movement, and the such directive cannot be received and
movement shall stop in one-half the re- copied without impairing safe oper-
maining distance unless additional ination of the equipment.
270
(3) A mandatory directive shall be D—DELTA

copied in writing by the receiving em- E—ECHO
ployee in the format prescribed in the F—FOXTROT
G—GOLF
railroad’s operating rules. H—HOTEL
(4) After the mandatory directive has I—INDIA
been received and copied, it shall be J—JULIET
immediately repeated in its entirety. K—KILO
After verifying the accuracy of the re- L—LIMA
peated mandatory directive, the train M—MIKE
N—NOVEMBER
dispatcher or operator shall then state O—OSCAR
the time and name of the employee P—PAPA
designated by the railroad who is au- Q—QUEBEC
thorized to issue mandatory directives. R—ROMEO
An employee copying a mandatory di- S—SIERRA
rective shall then acknowledge by re- T—TANGO
peating the time and name of the em- U—UNIFORM
V—VICTOR
ployee so designated by the railroad. W—WHISKEY
(5)(i) For train crews, before a man- X—XRAY
datory directive is acted upon, the con- Y—YANKEE
ductor and engineer shall each have a Z—ZULU
written copy of the mandatory direc- The letter ‘‘ZULU’’ should be written as
tive and make certain that the manda- ‘‘Z’’ to distinguish it from the numeral ‘‘2’’.
tory directive is read and understood EDITORIAL NOTE: At 63 FR 11621, Mar. 10,
by all members of the crew who are re- 1998, an amendment was published amending
sponsible for the operation of the train. footnote 1 to appendix A of part 220. The
Mandatory directives which have been amendment could not be incorporated be-
fulfilled or canceled shall be marked cause footnote 1 to appendix A of part 220
with an ‘‘X’’ or in accordance with the does not exist in 49 CFR parts 200 to 399, re-
vised as of Oct. 1, 1997.
railroad’s operating rules, and retained
for the duration of the train crew’s APPENDIX B TO PART 220—REC-
work assignment. OMMENDED PRONUNCIATION OF NU-
(ii) For on-track equipment, before a MERALS
mandatory directive is acted upon, the
employee responsible for on-track safe- To distinguish numbers from similar
ty shall have a written copy of the sounding words, the word ‘‘figures’’should be
mandatory directive, and make certain used preceding such numbers. Numbers
should be pronounced as follows:
that the mandatory directive is ac-
knowledged by all employees who are Number Spoken
responsible for executing that manda-
0 ................................................................ ZERO.
tory directive. The employee respon- 1 ................................................................ WUN.
sible for on-track safety shall retain a 2 ................................................................ TOO.
copy of the mandatory directive while 3 ................................................................ THUH-REE-.
4 ................................................................ FO-WER.
it is in effect. 5 ................................................................ FI-YIV.
(6) A mandatory directive which has 6 ................................................................ SIX.
not been completed or which does not 7 ................................................................ SEVEN.
comply with the requirements of the 8 ................................................................ ATE.
9 ................................................................ NINER.
railroad’s operating rules and this part,
may not be acted upon and shall be (The figure ZERO should be written as ‘‘0’’
treated as though not sent. Informa- to distinguish it from the letter ‘‘O’’. The
tion contained in a mandatory direc- figure ONE should be underlined to distin-
tive may not be acted upon by persons guish it from the letter ‘‘I’’. When railroad
other than those to whom the manda- rules require that numbers be spelled, these
tory directive is addressed. principles do not apply.)
The following examples illustrate the rec-
APPENDIX A TO PART 220— ommended pronunciation of numerals:
RECOMMENDED PHONETIC ALPHABET Number Spoken
A—ALFA 44 ....................................................... FO-WER FO-WER.
B—BRAVO 500 ..................................................... FI-YIV HUNDRED.
C—CHARLIE 1000 ................................................... WUN THOUSAND.
271
Number Spoken Number Spoken
1600 ................................................... WUN SIX HUNDRED. 20.3 .................................................... TOO ZERO DECIMAL
14899 ................................................. WUN FO-WER ATE THUH-REE.
NINER NINER.
APPENDIX C TO PART 220—SCHEDULE OF CIVIL PENALTIES 1

Willful
Section Violation violation
220.9 Requirements for trains ............................................................................................................... $5,000 $7,500

220.11 Requirements for roadway workers .......................................................................................... 5,000 7,500
220.21 Railroad Operating rules; radio communications.
(a) .......................................................................................................................................................... 5,000 7,500
(b) .......................................................................................................................................................... 2,500 5,000
220.23 Publication of radio information ................................................................................................ 2,500 5,000
220.25 Instruction of employees ........................................................................................................... 5,000 7,500
220.27 Identification .............................................................................................................................. 1,000 2,000
220.29 Statement of letters and numbers ............................................................................................ 1,000 2,000
220.31 Initiating a transmission ............................................................................................................ 1,000 2,000
220.33 Receiving a transmission .......................................................................................................... 1,000 2,000
220.35 Ending a transmission ............................................................................................................... 1,000 2,000
220.37 Voice test .................................................................................................................................. 5,000 7,500
220.39 Continuous monitoring .............................................................................................................. 2,500 5,000
220.41 [Reserved] ................................................................................................................................. .................... ....................
220.43 Communication consistent with the rules ................................................................................. 2,500 5,000
220.45 Complete communications ........................................................................................................ 2,500 5,000
220.47 Emergencies ............................................................................................................................. 2,500 5,000
220.49 Switching, backing or pushing .................................................................................................. 5,000 7,500
220.51 Signal indications ...................................................................................................................... 5,000 7,500
220.61 Radio transmission of mandatory directives ............................................................................. 5,000 7,500
[63 FR 47195, Sept. 4, 1998, as amended at 69 APPENDIX C TO PART 221—SCHEDULE OF CIVIL

FR 30593, May 28, 2004] PENALTIES
AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C.
PART 221—REAR END MARKING 2461, note; and 49 CFR 1.49.
DEVICE—PASSENGER, COM- SOURCE: 42 FR 2321, Jan. 11, 1977, unless
MUTER AND FREIGHT TRAINS otherwise noted.
Subpart A—General
Subpart A—General
Sec.
221.1 Scope. § 221.1 Scope.
221.3 Application.
221.5 Definitions. This part prescribes minimum re-
221.7 Civil penalty quirements governing highly visible
221.9 Waivers. marking devices for the trailing end of
221.11 State regulation. the rear car of all passenger, commuter
and freight trains. So long as these
Subpart B—Marking Devices minimum requirements are met, rail-
221.13 Marking device display. roads may adopt additional or more
221.14 Marking devices. stringent requirements for rear end
221.15 Marking device inspection. marking devices.
221.16 Inspection procedure.
221.17 Movement of defective equipment. § 221.3 Application.
APPENDIX A TO PART 221—PROCEDURES FOR
APPROVAL OF REAR END MARKING DE- (a) Except as provided in paragraph
VICES (b) of this section, this part applies to
APPENDIX B TO PART 221—APPROVED REAR passenger, commuter and freight trains
END MARKING DEVICES when operated on a standard gage main
1 A penalty may be assessed against and of up to $27,000 for any violation where cir-
only for a willful violation. The Adminis- cumstances warrant. See 49 CFR part 209, ap-
trator reserves the right to assess a penalty pendix A.
272
track which is part of the general railed by the spectrum locus and lines de-
road system of transportation. fined by the following equations:
(b) This part does not apply to: X+Y=.97 (white boundary)
(1) A railroad that operates only Y=X—.12 (green boundary)
trains consisting of historical or anti-
quated equipment for excursion, edu- (g) Administrator means the Federal
cational, or recreational purposes; Railroad Administrator, the Deputy
(2) A train that operates only on Administrator, or any official of the
track inside an installation which is Federal Railroad Administration to
not part of the general railroad system whom the Administrator has delegated
of transportation; his authority under this part.
(h) Effective intensity means that in-
(3) Rapid transit operations in an
tensity of a light in candela as defined
urban area that are not connected with
by the Illuminating Engineering Soci-
ety’s Guide for Calculating the Effec-
portation.
tive Intensity of Flashing Signal
(4) A railroad that operates only one
Lights, November, 1964.
train at any given time. (i) Qualified person means any person
[42 FR 2321, Jan. 11, 1977, as amended at 53 who has the skill to perform the task
FR 28600, July 28, 1988] and has received adequate instruction.
§ 221.5 Definitions. [42 FR 2321, Jan. 11, 1977; 42 FR 3843, Jan. 21,
1977, as amended at 51 FR 25185, July 10, 1986]
As used in this part:
(a) Train means a locomotive unit or § 221.7 Civil penalty.
locomotive units coupled, with or with- Any person (an entity of any type
out cars, involved in a railroad oper- covered under 1 U.S.C. 1, including but
ation conducted on a main track. It not limited to the following: a railroad;
does not include yard movements. a manager, supervisor, official, or
(b) Commuter train means a short haul other employee or agent of a railroad;
passenger train operating on track any owner, manufacturer, lessor, or
which is part of the general railroad lessee of railroad equipment, track, or
system of transportation, within an facilities; any independent contractor
urban, suburban or metropolitan area. providing goods or services to a rail-
It includes a passenger train provided road; and any employee of such owner,
by an instrumentality of a State or po- manufacturer, lessor, lessee, or inde-
litical subdivision thereof. pendent contractor) who violates any
(c) Locomotive means a self-propelled requirement of this part or causes the
unit of equipment designed for moving violation of any such requirement is
other equipment in revenue service and subject to a civil penalty of at least
includes a self-propelled unit designed $550 and not more than $11,000 per vio-
to carry freight or passenger traffic, or lation, except that: Penalties may be
both. assessed against individuals only for
(d) Main track means a track, other willful violations, and, where a grossly
than an auxiliary track, extending negligent violation or a pattern of re-
through yards or between stations, peated violations has created an immi-
upon which trains are operated by nent hazard of death or injury to per-
timetable or train order or both, or the sons, or has caused death or injury, a
use of which is governed by a signal penalty not to exceed $27,000 per viola-
system. tion may be assessed. Each day a viola-
(e) Train order means mandatory dition continues shall constitute a sepa-
rectives issued as authority for the rate offense. See appendix C to this
conduct of a railroad operation outside part for a statement of agency civil
of yard limits. penalty policy.
(f) Red-orange-amber color range [53 FR 28600, July 28, 1988, as amended at 53
means those colors defined by chroma- FR 52930, Dec. 29, 1988; 63 FR 11621, Mar. 10,
ticity coordinates, as expressed in 1998; 69 FR 30593, May 28, 2004]
terms of the International Commission EFFECTIVE DATE NOTE: At 72 FR 51197,
on Illumination’s 1931 Colormetric Sys- Sept. 6, 2007, § 221.7 was amended by removing
tem, which lie within the region bound-
273
§ 221.9 49 CFR Ch. II (10–1–07 Edition)
in its place the numerical amount ‘‘$16,000’’, gent track by a person having 20/20 cor-
effective October 9, 2007. rected vision.
(c) Marking devices prescribed by
§ 221.9 Waivers. this part and equipped with a func-
(a) A railroad may petition the Fed- tioning photoelectric cell activation
eral Railroad Administrator for a waiv- mechanism shall illuminate or flash
er of compliance with any requirement the device continuously when there is
prescribed in this part. less than 1.0 candela per square meter
(b) Each petition for a waiver under of ambient light.
this section must be filed in the man- (d) The centroid of the marking de-
ner and contain the information re- vice must be located at a minimum of
quired by part 211 of this chapter. 48 inches above the top of the rail.
(c) If the Administrator finds that a [51 FR 25185, July 10, 1986]
waiver of compliance is in the public
interest and is consistent with railroad § 221.14 Marking devices.
safety, he may grant the waiver sub-
ject to any condition he deems nec- (a) As prescribed in § 221.13, pas-
essary. Notice of each waiver granted, senger, commuter and freight trains
including a statement of the reasons shall be equipped with at least one
therefor, will be published in the FED- marking device, which has been ap-
ERAL REGISTER.
proved by the Federal Railroad
Adminstrator in accordance with the
§ 221.11 State regulation. procedures included in appendix A of
this part, and which has the following
Notwithstanding the provisions of characteristics:
this part, a State may continue in (1) An intensity of not less than 100
force any law, rule, regulation, order, candela nor more than 1000 candela (or
or standard that was in effect on July an effective intensity of not less than
8, 1976, relating to lighted marking de- 100 candela nor more than 1000 candela
vices on the rear car of freight trains for flashing lights) as measured at the
except to the extent that such law, center of the beam width;
rule, regulation, order, or standard (2) A horizontal beam with a min-
would cause such cars to be in viola- imum arc width of fifteen (15) degrees
tion of this part. each side of the vertical center line,
and a vertical beam with a minimum
Subpart B—Marking Devices arc width of five (5) degrees each side
of the horizontal center line as defined
§ 221.13 Marking device display. in terms of the 50 candela intensity
(a) During the periods prescribed in points;
paragraph (b) of this section, each (3) A color defined by the red-orange-
train to which this part applies that amber color range; and
occupies or operates on main track (4) If a flashing light is used, a flash
shall (1) be equipped with, (2) display rate of not less than once every 1.3 sec-
on the trailing end of the rear car of onds nor more than once every .7 sec-
that train, and (3) continuously illu- onds.
minate or flash a marking device pre- (b) Marking devices used on pas-
scribed in this subpart. senger and commuter trains in compli-
(b) Unless equipped with a func- ance with paragraph (a) of this section
tioning photoelectric cell activation shall be lighted under the conditions
mechanism complying with paragraph prescribed in § 221.13 (b) and (c).
(c) of this section, the marking devices (c) When a locomotive is operated
prescribed by this subpart shall be illu- singly, or at the rear of a train, highly
minated continuously or flash during visible marking devices may be pro-
the period between one hour before vided by the use of:
sunset and one hour after sunrise, and (1) At least one marking device that
during all other hours when weather complies with paragraph (a) of this sec-
conditions so restrict visibility that tion; or
the end silhouette of a standard box (2) At least one illuminated red or
car cannot be seen from 1⁄2 mile on tan- amber classification light on the rear
274
of the locomotive, provided it complies hostler and be advised by that person

with paragraph (a) of this section; or that they are occupying the cab of the
(3) The rear headlight of the loco- controlling locomotive and that the
motive illuminated on low beam. train is and will remain secure against
[51 FR 25185, July 10, 1986] movement until the inspection has
been completed.
§ 221.15 Marking device inspection. [51 FR 25185, July 10, 1986]
(a) Each marking device displayed in
compliance with this part shall be ex- § 221.17 Movement of defective equip-
amined at each crew change point to ment.
assure that the device is in proper op- (a) Whenever the marking device pre-
erating condition. scribed in this part becomes inoper-
(b) This examination shall be accom- ative enroute, the train may be moved
plished either by visually observing to the next forward location where the
that the device is functioning as re- marking device can be repaired or re-
quired or that the device will function placed.
when required by either (1) repo- (b) Defective rolling equipment
sitioning the activation switch or (2) which, because of the nature of the de-
covering the photoelectric cell. fect, can be placed only at the rear of
(c) This examination shall be con- a train for movement to the next for-
ducted either by the train crew or some ward location at which repairs can be
other qualified person, Provided that, if made need not be equipped with mark-
a non-train crewmember performs the ing devices prescribed in this part.
examination, that person shall commu-
(c) When a portion of a train has de-
nicate his or her findings to the loco-
railed, and a portable marking device
motive engineer of the new train crew.
is not available, the remainder of the
(d) When equipped with a radio te-
train may be moved to the nearest ter-
lemetry capability, a marker displayed
minal without being equipped with the
in accordance with this part may be ex-
marking device prescribed in this part.
amined by observing the readout infor-
mation displayed in the cab of the con- APPENDIX A TO PART 221—PROCEDURES
trolling locomotive demonstrating FOR APPROVAL OF REAR END MARK-
that the light is functioning as re- ING DEVICES
quired in lieu of conducting a visual
observation. As provided in § 221.15 of this part, marking
devices must be approved by the Adminis-
[51 FR 25185, July 10, 1986] trator, Approval shall be issued in accord-
ance with the following procedures:
§ 221.16 Inspection procedure. (a) Each submission for approval of a
(a) Prior to operating the activation marking device consisting of lighted ele-
switch or covering the photoelectric ments only shall contain the following infor-
cell when conducting this test, a non- mation:
train crew person shall determine that (1) A detailed description of the device in-
he is being protected against the unex- cluding the type, luminance description, size
of lens, manufacturer and catalog number,
pected movement of the train either lamp manufacturer, lamp type and model
under the procedures established in number, and any auxiliary optics used.
part 218 of this chapter or under the (2) A certification, signed by the chief op-
provisions of paragraph (b) of this sec- erating officer of the railroad, that—
tion. (i) The device described in the submission
(b) In order to establish the alter- has been tested in accordance with the cur-
native means of protection under this rent ‘‘Guidelines for Testing of FRA Rear
section, (1) the train to be inspected End Marking Devices,’’ copies of which may
shall be standing on a main track; (2) be obtained from the Office of Safety, Fed-
eral Railroad Administration, 2100 Second
the inspection task shall be limited to
Street SW., Washington, DC 20590;
ascertaining that the marker is in
(ii) The results of the tests performed
proper operating condition; and (3) under paragraph (i) of this subsection dem-
prior to performing the inspection pro- onstrate marking device performance in
cedure, the inspector shall personally compliance with the standard perscribed in
contact the locomotive engineer or
49 CFR 221.15;
275
(iii) Detailed test records, including as a (ii) The results of the tests peformed under
minimum the name and address of the test- paragraph (i) of this subsection demonstrate
ing organizations, the name of the individual marking device performance in compliance
in charge of the tests, a narrative descrip- with the standard prescribed in 49 CFR
tion of the test procedures, the number of 221.15;
samples tested, and for each sample tested, (iii) Detailed test records, including as a
the on-axis beam candela, the beam candela minimum the name and address of the test-
at the ±15 degree points in the horizontal ing organization, the name of the individual
plane, the beam candela at the ±5 degree
in charge of the tests, a narrative descrip-
points in the vertical plane, and the chroma-
tion of the test procedure, a description of
ticity coordinates, are maintained by the
the external light source used, the number of
railroad and are available for inspection by
the FRA at a designated location which is samples tested, and for each sample tested,
identified in the submission; the on-axis beam candela, the beam candela
(iv) Marking devices of this type installed at the ±15 degree points in the horizontal
in the operating environment shall consist of plane, the beam candela at the ±15 degree
the same type and model of components as point in the vertical plane, and the chroma-
were used in the samples tested for purposes ticity coordinates, are maintained by the
of this approval submission. railroad and are available for inspection by
(3) Unless otherwise qualified, acknowl- the FRA at a designated location which is
edgement of the receipt of the submission re- identified in the submission;
quired by this section shall constitute ap- (iv) Marking devices of this type installed
proval of the device. The FRA reserves the in the operating environment and the exter-
right to review the test records maintained nal light source used to illuminate them
by the railroad, or to test independently any shall consist of the same type and model of
device submitted for approval under these components as were used in the samples test-
procedures, and to withdraw the approval of ed for purposes of this approval submission.
such device at any time, after notice and op- (4) Unless otherwise qualified, acknowl-
portunity for oral comment, if its perform- edgement of the receipt of the submission re-
ance in the operating environment fails to
quired by this subsection shall constitute ap-
substantiate the rest results or to comply
proval of the device. The FRA reserves the
with 49 CFR 221.15.
right to review the test records maintained
(b)(1) Each submission for approval of a
by the railroad, or to test independently any
marking device consisting of non-lighted ele-
ments or a combination of lighted and non- device submitted for approval under these
lighted elements shall contain the following procedures, and to disapprove the use of such
information: device at any time if its performance fails to
(i) A detailed description of the device in- comply with 49 CFR 221.15.
cluding the type of material, the reflectance (c) Whenever a railroad elects to use a
factor, the size of the device, and the manu- marking device which has been previously
facturer and catalogue number; approved by the FRA, and is included in the
(ii) A detailed description of the external current list in appendix B to this part, the
light source including the intensity through- submission shall contain the following infor-
out its angle of coverage, and the manufac- mation:
turer and catalogue number; (1) The marking device model designation
(iii) A detailed description of the proposed as it appears in appendix B.
test procedure to be used to demonstrate (2) A certification, signed by the chief op-
marking device compliance with the stand- erating officer of the railroad that—
ard prescribed in 49 CFR 221.15, including any (i) Marking devices of this type installed in
detailed mathematical data reflecting ex-
the operating environment shall consist of
pected performance.
the same type and model of components as
(2) FRA will review the data submitted
were used in the samples tested for the origi-
under subsection (1) of this section, and in
nal approval.
those instances in which compliance with 49
CFR 221.15 appears possible from a theo- (d) Each submission for approval of a
retical analysis, the FRA will authorize and marking device shall be filed in triplicate
may take part in testing to demonstrate with the Office of Standards and Procedures,
such compliance. Office of Safety, Federal Railroad Adminis-
(3) Where authorized testing has dem- tration, 2100 Second Street SW., Washington,
onstrated compliance with 49 CFR 221.15, a DC 20590.
railroad shall submit a certification, signed
[42 FR 62004, Dec. 8, 1977]
by the chief operating officer of the railroad,
that—
(i) The device described in the original sub-
mission has been tested in accordance with
the procedures described therein;
276
APPENDIX B TO PART 221—APPROVED APPENDIX C TO PART 221—SCHEDULE OF

REAR END MARKING DEVICES CIVIL PENALTIES 1
PART I—APPROVED DEVICES TESTED FOR OR BY Willful viola-
MANUFACTURERS
221.13 Marking device display:
1. Manufacturer: Star Headlight & Lantern
(a) device not present,
Co., 168 West Main Street, Honeoye Falls, NY not displayed, or not
14472. properly illuminated $5,000 $7,500
FRA identification Nos. FRA-PLE-STAR- (d) device too close to
845-F (flasher) and FRA-PLE-STAR-845-C rail ............................ 1,000 2,000
221.14 Marking devices: Use
(steady burn). of unapproved or noncom-
2. Manufacturer: Julian A. McDermott plying device .......................... 2,500 5,000
Corp., 1639 Stephen Street, Ridgewood, Long 221.15 Marking device inspec-
Island, NY 11227. tion:
(a) Failure to inspect at
FRA identification Nos. FRA-MEC-MCD-
crew change ............ 2,500 5,000
100-C (steady burn), FRA-MEC-MCD-100-F (b), (c) improper in-
(flasher), FRA-MEC-MCD-300-C (steady spection ................... 2,500 5,000
burn), and FRA-MEC-MCD-300-F (flasher). 221.16 Inspection procedure:
3. Manufacturer: American Electronics, (a) Failure to obtain
protection ................. 5,000 7,500
Inc., 1 40 Essex Street, Hackensack, NJ 07601. (b) Improper protection 2,500 5,000
FRA identification Nos. FRA-DRGW- 221.17 Movement of defective
YANK-300 (portable strobe), FRA-WP-YANK- equipment .............................. (1) (1)
301R (flashing), FRA-WP-YANK-305R (flash-
ing), and FRA-WP-YANK-306R (steady burn). [53 FR 52930, Dec. 29, 1988, as amended at 69
FR 62818, Oct. 28, 2004]
PART II—APPROVED DEVICES TESTED FOR OR BY
RAIL CARRIERS
PART 222—USE OF LOCOMOTIVE
1. Carrier: Atchison, Topeka & Santa Fe
Railway Co., Technical Research & Develop-
HORNS AT PUBLIC HIGHWAY-
ment Department, 1001 Northeast Atchison RAIL GRADE CROSSINGS
Street, Topeka, Kans. 66616.
Manufacturer: Trans-Lite, Inc., P.O. Box Subpart A—General
70, Milford, Conn. 06460.
Sec.
FRA identification Nos. FRA-ATSF-TL- 222.1 What is the purpose of this regulation?
875-150, FRA-ATSF-TL-875-60, FRA-ATSF- 222.3 What areas does this regulation cover?
TL-875-4412, and FRA-ATSF-TL-200. 222.5 What railroads does this regulation
2. Carrier: Amtrak—National Railroad Pas- apply to?
senger Corporation, 400 North Capitol Street 222.7 What is this regulation’s effect on
NW., Washington, DC 20001. State and local laws and ordinances?
Manufacturer: (a) Trans-Lite, Inc., P.O. 222.9 Definitions.
Box 70, Milford, Conn. 06460. 222.11 What are the penalties for failure to
FRA identification Nos. FRA-ATK-TL- comply with this regulation?
3895-1, FRA-ATK-TL-4491-2, FRA-ATK-TL- 222.13 Who is responsible for compliance?
4491-3, and FRA-ATK-TL-FM-4491-1. 222.15 How does one obtain a waiver of a
Manufacturer: (b) Luminator Division of provision of this regulation?
222.17 How can a State agency become a
Gulfton Industries, Inc., 1200 East Dallas
recognized State agency?
North Parkway, Plano, Tex. 75074.
FRA identification No. FRA-ATK-LUM- Subpart B—Use of Locomotive Horns
0101890-001.
Manufacturer: (c) Whelen Engineering Co., 222.21 When must a locomotive horn be
Inc., Deep River, Conn. 06417. used?
FRA identification No. FRA-ATK-WHE-
WERT-12. 1 A penalty may be assessed against an in-
[43 FR 36447, Aug. 17, 1978] dividual only for a willful violation. The Ad-
ministrator reserves the right to assess a
penalty of up to $27,000 for any violation
where circumstances warrant. See 49 CFR
part 209, appendix A. Where the conditions
for movement of defective equipment set
forth in § 221.17 of this part are not met, the
1 NOTE: Yankee Metal Products Corp. pre- movement constitutes a violation of § 221.13
viously produced these devices. of this part.
277
§ 222.1 49 CFR Ch. II (10–1–07 Edition)
222.23 How does this regulation affect AUTHORITY: 28 U.S.C. 2461, note; 49 U.S.C.
sounding of a horn during an emergency 20103, 20107, 20153, 21301, 21304; 49 CFR 1.49.
or other situations?
222.25 How does this rule affect private SOURCE: 71 FR 47634, Aug. 17, 2006, unless
highway-rail grade crossings? otherwise noted.
222.27 How does this rule affect pedestrian
grade crossings? Subpart A—General
Subpart C—Exceptions to the Use of the § 222.1 What is the purpose of this reg-
Locomotive Horn ulation?
222.31 [Reserved] The purpose of this part is to provide
SILENCED HORNS AT INDIVIDUAL CROSSINGS
for safety at public highway-rail grade
crossings by requiring locomotive horn
222.33 Can locomotive horns be silenced at use at public highway-rail grade cross-
an individual public highway-rail grade
crossing which is not within a quiet
ings except in quiet zones established
zone? and maintained in accordance with this
part.
SILENCED HORNS AT GROUPS OF CROSSINGS—
QUIET ZONES § 222.3 What areas does this regulation
222.35 What are minimum requirements for cover?
quiet zones? (a) This part prescribes standards for
§ 222.37 Who may establish a quiet zone?
sounding locomotive horns when loco-
§ 222.38 Can a quiet zone be created in the
Chicago Region? motives approach and pass through
§ 222.39 How is a quiet zone established? public highway-rail grade crossings.
§ 222.41 How does this rule affect Pre-Rule This part also provides standards for
Quiet Zones and Pre-Rule Partial Quiet the creation and maintenance of quiet
Zones? zones within which locomotive horns
§ 222.42 How does this rule affect Inter- need not be sounded.
mediate Quiet Zones and Intermediate
Partial Quiet Zones? (b) The provisions of this part are
§ 222.43 What notices and other information separate and severable from one an-
are required to create or continue a quiet other. If any provision is stayed or de-
zone? termined to be invalid, it is the intent
§ 222.45 When is a railroad required to cease of FRA that the remaining provisions
routine sounding of locomotive horns at shall continue in effect.
crossings?
§ 222.47 What periodic updates are required? (c) This part does not apply to any
§ 222.49 Who may file Grade Crossing Inven- Chicago Region highway-rail grade
tory Forms? crossing where the railroad was ex-
§ 222.51 Under what conditions will quiet cused from sounding the locomotive
zone status be terminated? horn by the Illinois Commerce Com-
§ 222.53 What are the requirements for sup- mission, and where the railroad did not
plementary and alternative safety meas-
sound the horn, as of December 18, 2003.
ures?
§ 222.55 How are new supplementary or al-
ternative safety measures approved? § 222.5 What railroads does this regu-
§ 222.57 Can parties seek review of the Asso- lation apply to?
ciate Administrator’s actions? This part applies to all railroads ex-
§ 222.59 When may a wayside horn be used? cept:
APPENDIX A TO PART 222—APPROVED SUPPLE- (a) A railroad that exclusively oper-
MENTARY SAFETY MEASURES
ates freight trains only on track which
APPENDIX B TO PART 222—ALTERNATIVE SAFE-
TY MEASURES
is not part of the general railroad sys-
APPENDIX C TO PART 222—GUIDE TO ESTAB- tem of transportation;
LISHING QUIET ZONES (b) Passenger railroads that operate
APPENDIX D TO PART 222—DETERMINING RISK only on track which is not part of the
LEVELS general railroad system of transpor-
APPENDIX E TO PART 222—REQUIREMENTS FOR tation and that operate at a maximum
WAYSIDE HORNS
speed of 15 miles per hour over public
APPENDIX F TO PART 222—DIAGNOSTIC TEAM
CONSIDERATIONS highway-rail grade crossings; and
APPENDIX G TO PART 222—SCHEDULE OF CIVIL (c) Rapid transit operations within
an urban area that are not connected
PENALTIES
278
to the general railroad system of trans- istration or the Administrator’s dele-

portation. See 49 CFR part 209, appen- gate.
dix A for the definitive statement of Alternative safety measures (ASM)
the meaning of the preceding sentence. means a safety system or procedure,
other than an SSM, established in ac-
§ 222.7 What is this regulation’s effect cordance with this part which is pro-
on State and local laws and ordi- vided by the appropriate traffic control
nances? authority or law enforcement author-
(a) Except as provided in paragraph ity and which, after individual review
(b) of this section, issuance of this part and analysis by the Associate Adminis-
preempts any State law, rule, regula- trator, is determined to be an effective
tion, or order governing the sounding substitute for the locomotive horn in
of the locomotive horn at public high- the prevention of highway-rail casual-
way-rail grade crossings, in accordance ties at specific highway-rail grade
with 49 U.S.C. 20106. crossings. Appendix B to this part lists
(b) This part does not preempt any such measures.
State law, rule, regulation, or order Associate Administrator means the As-
governing the sounding of locomotive sociate Administrator for Safety of the
audible warning devices at any high- Federal Railroad Administration or the
way-rail grade crossing described in Associate Administrator’s delegate.
§ 222.3(c) of this part. Channelization device means a traffic
(c) Except as provided in §§ 222.25 and separation system made up of a raised
222.27, this part does not preempt any longitudinal channelizer, with vertical
State law, rule, regulation, or order panels or tubular delineators, that is
governing the sounding of locomotive placed between opposing highway lanes
horns at private highway-rail grade designed to alert or guide traffic
crossings or pedestrian crossings. around an obstacle or to direct traffic
in a particular direction. ‘‘Tubular
(d) Inclusion of SSMs and ASMs in
markers’’ and ‘‘vertical panels’’, as de-
this part or approved subsequent to
scribed in the MUTCD, are acceptable
issuance of this part does not con-
channelization devices for purposes of
stitute federal preemption of State law
this part. Additional design specifica-
regarding whether those measures may
tions are determined by the standard
be used for traffic control. Individual
traffic design specifications used by
states may continue to determine
the governmental entity constructing
whether specific SSMs or ASMs are ap-
the channelization device.
propriate traffic control measures for
Chicago Region means the following
that State, consistent with Federal
six counties in the State of Illinois:
Highway Administration regulations
Cook, DuPage, Lake, Kane, McHenry
and the MUTCD. However, except for
and Will.
the SSMs and ASMs implemented at
Crossing Corridor Risk Index means a
highway-rail grade crossings described
number reflecting a measure of risk to
in § 222.3(c) of this part, inclusion of
the motoring public at public grade
SSMs and ASMs in this part does con-
crossings along a rail corridor, cal-
stitute federal preemption of State law
culated in accordance with the proce-
concerning the sounding of the loco-
dures in appendix D of this part, rep-
motive horn in relation to the use of
resenting the average risk at each pub-
those measures.
lic crossing within the corridor. This
(e) Issuance of this part does not con- risk level is determined by averaging
stitute federal preemption of adminis- among all public crossings within the
trative procedures required under corridor, the product of the number of
State law regarding the modification predicted collisions per year and the
or installation of engineering improve- predicted likelihood and severity of
ments at highway-rail grade crossings. casualties resulting from those colli-
sions at each public crossing within the
corridor.
As used in this part— Diagnostic team as used in this part,
Administrator means the Adminis- means a group of knowledgeable rep-
trator of the Federal Railroad Admin- resentatives of parties of interest in a
279
§ 222.9 49 CFR Ch. II (10–1–07 Edition)
highway-rail grade crossing, organized nances restricted the routine sounding

by the public authority responsible for of locomotive horns, or at which loco-
that crossing, who, using crossing safe- motive horns did not sound due to for-
ty management principles, evaluate mal or informal agreements between
conditions at a grade crossing to make the community and the railroad or
determinations or recommendations railroads, and at which such statutes,
for the public authority concerning ordinances or agreements were in place
safety needs at that crossing. and enforced or observed as of Decem-
Effectiveness rate means a number be- ber 18, 2003, but not as of October 9,
tween zero and one which represents 1996.
the reduction of the likelihood of a col- Locomotive means a piece of on-track
lision at a public highway-rail grade equipment other than hi-rail, special-
crossing as a result of the installation ized maintenance, or other similar
of an SSM or ASM when compared to equipment—
the same crossing equipped with con- (1) With one or more propelling mo-
ventional active warning systems of tors designed for moving other equip-
flashing lights and gates. Zero effec- ment;
tiveness means that the SSM or ASM (2) With one or more propelling mo-
provides no reduction in the prob- tors designed to carry freight or pas-
ability of a collision, while an effec- senger traffic or both; or
tiveness rating of one means that the
(3) Without propelling motors but
SSM or ASM is totally effective in
with one or more control stands.
eliminating collision risk. Measure-
ments between zero and one reflect the Locomotive audible warning device
percentage by which the SSM or ASM means a horn, whistle, siren, or bell af-
reduces the probability of a collision. fixed to a locomotive that is capable of
FRA means the Federal Railroad Ad- producing an audible signal.
ministration. Locomotive horn means a locomotive
Grade Crossing Inventory Form means air horn, steam whistle, or similar au-
the U.S. DOT National Highway-Rail dible warning device (see 49 CFR
Grade Crossing Inventory Form, FRA 229.129) mounted on a locomotive or
Form F6180.71. This form is available control cab car. The terms ‘‘locomotive
through the FRA’s Office of Safety, or horn’’, ‘‘train whistle’’, ‘‘locomotive
on FRA’s Web site at http:// whistle’’, and ‘‘train horn’’ are used
www.fra.dot.gov. interchangeably in the railroad indus-
Intermediate Partial Quiet Zone means try. For purposes of this part, loco-
a segment of a rail line within which is motive horns used in rapid transit op-
situated one or a number of consecu- erations must be suitable for street
tive public highway-rail grade cross- usage and/or designed in accordance
ings at which State statutes or local with State law requirements.
ordinances restricted the routine Median means the portion of a di-
sounding of locomotive horns for a vided highway separating the travel
specified period of time during the ways for traffic in opposite directions.
evening or nighttime hours, or at MUTCD means the Manual on Uni-
which locomotive horns did not sound form Traffic Control Devices published
due to formal or informal agreements by the Federal Highway Administra-
between the community and the rail- tion.
road or railroads for a specified period Nationwide Significant Risk Threshold
of time during the evening and/or means a number reflecting a measure
nighttime hours, and at which such of risk, calculated on a nationwide
statutes, ordinances or agreements basis, which reflects the average level
were in place and enforced or observed of risk to the motoring public at public
as of December 18, 2003, but not as of highway-rail grade crossings equipped
October 9, 1996. with flashing lights and gates and at
Intermediate Quiet Zone means a seg- which locomotive horns are sounded.
ment of a rail line within which is situ- For purposes of this rule, a risk level
ated one or a number of consecutive above the Nationwide Significant Risk
public highway-rail grade crossings at Threshold represents a significant risk
which State statutes or local ordi- with respect to loss of life or serious
280
personal injury. The Nationwide Sig- Power-out indicator means a device

nificant Risk Threshold is calculated which is capable of indicating to trains
in accordance with the procedures in approaching a grade crossing equipped
appendix D of this part. Unless other- with an active warning system whether
wise indicated, references in this part commercial electric power is acti-
to the Nationwide Significant Risk vating the warning system at that
Threshold reflect its level as last pub- crossing. This term includes remote
lished by FRA in the FEDERAL REG- health monitoring of grade crossing
ISTER. warning systems if such monitoring
New Partial Quiet Zone means a seg- system is equipped to indicate power
ment of a rail line within which is situ- status.
ated one or a number of consecutive Pre-existing Modified Supplementary
public highway-rail crossings at which Safety Measure (Pre-existing Modified
locomotive horns are not routinely SSM) means a safety system or proce-
sounded between the hours of 10 p.m. dure that is listed in appendix A to this
and 7 a.m., but are routinely sounded Part, but is not fully compliant with
during the remaining portion of the the standards set forth therein, which
day, and which does not qualify as a was installed before December 18, 2003
Pre-Rule Partial Quiet Zone or an In- by the appropriate traffic control or
termediate Partial Quiet Zone. law enforcement authority responsible
New Quiet Zone means a segment of a for safety at the highway-rail grade
rail line within which is situated one crossing. The calculation of risk reduc-
or a number of consecutive public high- tion credit for pre-existing modified
way-rail grade crossings at which rou- SSMs is addressed in appendix B of this
tine sounding of locomotive horns is part.
Pre-existing Supplementary Safety
restricted pursuant to this part and
Measure (Pre-existing SSM) means a
which does not qualify as either a Pre-
safety system or procedure established
Rule Quiet Zone or Intermediate Quiet
in accordance with this part before De-
Zone.
cember 18, 2003 which was provided by
Non-traversable curb means a highway the appropriate traffic control or law
curb designed to discourage a motor enforcement authority responsible for
vehicle from leaving the roadway. Non- safety at the highway-rail grade cross-
traversable curbs are used at locations ing. These safety measures must fully
where highway speeds do not exceed 40 comply with the SSM requirements set
miles per hour and are at least six forth in appendix A of this part. The
inches high. Additional design speci- calculation of risk reduction credit for
fications are determined by the stand- qualifying pre-existing SSMs is ad-
ard traffic design specifications used dressed in appendix A.
by the governmental entity con- Pre-Rule Partial Quiet Zone means a
structing the curb. segment of a rail line within which is
Partial Quiet Zone means a segment situated one or a number of consecu-
of a rail line within which is situated tive public highway-rail crossings at
one or a number of consecutive public which State statutes or local ordi-
highway-rail grade crossings at which nances restricted the routine sounding
locomotive horns are not routinely of locomotive horns for a specified pe-
sounded for a specified period of time riod of time during the evening and/or
during the evening and/or nighttime nighttime hours, or at which loco-
hours. motive horns did not sound due to for-
Pedestrian grade crossing means, for mal or informal agreements between
purposes of this part, a separate de- the community and the railroad or
signed sidewalk or pathway where pe- railroads for a specified period of time
destrians, but not vehicles, cross rail- during the evening and/or nighttime
road tracks. Sidewalk crossings contig- hours, and at which such statutes, ordi-
uous with, or separate but adjacent to, nances or agreements were in place and
public highway-rail grade crossings are enforced or observed as of October 9,
presumed to be part of the public high- 1996 and on December 18, 2003.
way-rail grade crossing and are not Pre-Rule Quiet Zone means a segment
considered pedestrian grade crossings. of a rail line within which is situated
281
§ 222.9 49 CFR Ch. II (10–1–07 Edition)
one or a number of consecutive public muter railroad service that was oper-
highway-rail crossings at which State ated by the Consolidated Rail Corpora-
statutes or local ordinances restricted tion on January 1, 1979; and
the routine sounding of locomotive (2) High speed ground transportation
horns, or at which locomotive horns systems that connect metropolitan
did not sound due to formal or informal areas, without regard to whether those
agreements between the community systems use new technologies not asso-
and the railroad or railroads, and at ciated with traditional railroads; but
which such statutes, ordinances or does not include rapid transit oper-
agreements were in place and enforced ations in an urban area that are not
or observed as of October 9, 1996 and on connected to the general railroad sys-
December 18, 2003. tem of transportation.
Private highway-rail grade crossing Recognized State agency means, for
means, for purposes of this part, a purposes of this part, a State agency,
highway-rail grade crossing which is responsible for highway-rail grade
not a public highway-rail grade cross- crossing safety or highway and road
ing. safety, that has applied for and been
Public authority means the public en- approved by FRA as a participant in
tity responsible for traffic control or the quiet zone development process.
law enforcement at the public high- Relevant collision means a collision at
way-rail grade or pedestrian crossing.
a highway-rail grade crossing between
Public highway-rail grade crossing
a train and a motor vehicle, excluding
means, for purposes of this part, a loca-
the following: a collision resulting
tion where a public highway, road, or
from an activation failure of an active
street, including associated sidewalks
grade crossing warning system; a colli-
or pathways, crosses one or more rail-
sion in which there is no driver in the
road tracks at grade. If a public au-
motor vehicle; or a collision in which
thority maintains the roadway on both
the highway vehicle struck the side of
sides of the crossing, the crossing is
the train beyond the fourth locomotive
considered a public crossing for pur-
unit or rail car. With respect to Pre-
poses of this part.
Rule Partial Quiet Zones, a relevant
Quiet zone means a segment of a rail
line, within which is situated one or a collision shall not include collisions
number of consecutive public highway- that occur during the time period with-
rail crossings at which locomotive in which the locomotive horn is rou-
horns are not routinely sounded. tinely sounded.
Quiet Zone Risk Index means a meas- Risk Index With Horns means a meas-
ure of risk to the motoring public ure of risk to the motoring public when
which reflects the Crossing Corridor locomotive horns are routinely sound-
Risk Index for a quiet zone, after ad- ed at every public highway-rail grade
justment to account for increased risk crossing within a quiet zone. In Pre-
due to lack of locomotive horn use at Rule Quiet Zones and Pre-Rule Partial
the crossings within the quiet zone (if Quiet Zones, the Risk Index With
horns are presently sounded at the Horns is determined by adjusting the
crossings) and reduced risk due to im- Crossing Corridor Risk Index to ac-
plementation, if any, of SSMs and count for the decreased risk that would
ASMs with the quiet zone. The calcula- result if locomotive horns were rou-
tion of the Quiet Zone Risk Index, tinely sounded at each public highway-
which is explained in appendix D of rail grade crossing.
this part, does not differ for partial Supplementary safety measure (SSM)
quiet zones. means a safety system or procedure es-
Railroad means any form of non-high- tablished in accordance with this part
way ground transportation that runs which is provided by the appropriate
on rails or electromagnetic guideways traffic control authority or law en-
and any entity providing such trans- forcement authority responsible for
portation, including: safety at the highway-rail grade cross-
(1) Commuter or other short-haul ing, that is determined by the Asso-
railroad passenger service in a metro- ciate Administrator to be an effective
politan or suburban area and com- substitute for the locomotive horn in
282
the prevention of highway-rail casual- § 222.15 How does one obtain a waiver
ties. Appendix A of this part lists such of a provision of this regulation?
SSMs. (a) Except as provided in paragraph
Waiver means a temporary or perma- (b) of this section, two parties must
nent modification of some or all of the jointly file a petition (request) for a
requirements of this part as they apply waiver. They are the railroad owning
to a specific party under a specific set or controlling operations over the rail-
of facts. Waiver does not refer to the road tracks crossing the public high-
process of establishing quiet zones or way-rail grade crossing and the public
approval of quiet zones in accordance authority which has jurisdiction over
with the provisions of this part. the roadway crossing the railroad
Wayside horn means a stationary tracks.
(b) If the railroad and the public au-
horn located at a highway rail grade
thority cannot reach agreement to file
crossing, designed to provide, upon the
a joint petition, either party may file a
approach of a locomotive or train, au- request for a waiver; however, the fil-
dible warning to oncoming motorists of ing party must specify in its petition
the approach of a train. the steps it has taken in an attempt to
reach agreement with the other party,
§ 222.11 What are the penalties for fail-
and explain why applying the require-
ure to comply with this regulation?
ment that a joint submission be made
Any person who violates any require- in that instance would not be likely to
ment of this part or causes the viola- contribute significantly to public safe-
tion of any such requirement is subject ty. If the Associate Administrator de-
to a civil penalty of least $550 and not termines that applying the require-
more than $11,000 per violation, except ment for a jointly filed submission to
that: Penalties may be assessed against that particular petition would not be
individuals only for willful violations, likely to significantly contribute to
and, where a grossly negligent viola- public safety, the Associate Adminis-
tion or a pattern of repeated violations trator shall waive the requirement for
has created an imminent hazard of joint submission and accept the peti-
death or injury to persons, or has tion for consideration. The filing party
caused death or injury, a penalty not must also provide the other party with
to exceed $27,000 per violation may be a copy of the petition filed with FRA.
(c) Each petition for waiver must be
assessed. Each day a violation con-
filed in accordance with 49 CFR part
tinues shall constitute a separate of-
211.
fense. Any person who knowingly and (d) If the Administrator finds that a
willfully falsifies a record or report re- waiver of compliance with a provision
quired by this part may be subject to of this part is in the public interest and
criminal penalties under 49 U.S.C. consistent with the safety of highway
21311. Appendix G of this part contains and railroad users, the Administrator
a schedule of civil penalty amounts may grant the waiver subject to any
used in connection with this part. conditions the Administrator deems
necessary.
Sept. 6, 2007, § 222.11 was amended by remov-
§ 222.17 How can a State agency be-
ing the numerical amount ‘‘$11,000’’ and add- come a recognized State agency?
ing in its place the numerical amount
‘‘$16,000’’, effective October 9, 2007. (a) Any State agency responsible for
highway-rail grade crossing safety and/
§ 222.13 Who is responsible for compli- or highway and road safety may be-
ance? come a recognized State agency by sub-
Any person, including but not lim- mitting an application to the Associate
Administrator that contains:
ited to a railroad, contractor for a rail-
(1) A detailed description of the pro-
road, or a local or State governmental
posed scope of involvement in the quiet
entity that performs any function cov- zone development process;
ered by this part, must perform that (2) The name, address, and telephone
function in accordance with this part. number of the person(s) who may be
283
§ 222.21 49 CFR Ch. II (10–1–07 Edition)
contacted to discuss the State agency locomotive enters the crossing. It shall
application; and not constitute a violation of this sec-
(3) A statement from State agency tion if, acting in good faith, a loco-
counsel which affirms that the State motive engineer begins sounding the
agency is authorized to undertake the locomotive horn not more than 25 sec-
responsibilities proposed in its applica- onds before the locomotive enters the
tion. crossing, if the locomotive engineer is
(b) The Associate Administrator will unable to precisely estimate the time
approve the application if, in the Asso-
of arrival of the train at the crossing
ciate Administrator’s judgment, the
for whatever reason.
proposed scope of State agency in-
volvement will facilitate safe and effec- (3) Trains, locomotive consists and
tive quiet zone development. The Asso- individual locomotives traveling at
ciate Administrator may include in speeds in excess of 60 mph shall not
any decision of approval such condi- begin sounding the horn more than
tions as he/she deems necessary and ap- one-quarter mile (1,320 feet) in advance
propriate. of the nearest public highway-rail
grade crossing, even if the advance
Subpart B—Use of Locomotive warning provided by the locomotive
Horns horn will be less than 15 seconds in du-
ration.
§ 222.21 When must a locomotive horn (c) As stated in § 222.3(c) of this part,
be used? this section does not apply to any Chi-
(a) Except as provided in this part, cago Region highway-rail grade cross-
the locomotive horn on the lead loco- ing at which railroads were excused
motive of a train, lite locomotive con- from sounding the locomotive horn by
sist, individual locomotive or lead cab the Illinois Commerce Commission,
car shall be sounded when such loco- and where railroads did not sound the
motive or lead cab car is approaching a horn, as of December 18, 2003.
public highway-rail grade crossing. (d) Trains, locomotive consists and
Sounding of the locomotive horn with individual locomotives that have
two long blasts, one short blast and one stopped in close proximity to a public
long blast shall be initiated at a loca-
highway-rail grade crossing may ap-
tion so as to be in accordance with
proach the crossing and sound the loco-
paragraph (b) of this section and shall
be repeated or prolonged until the locomotive horn for less than 15 seconds be-
motive occupies the crossing. This pat- fore the locomotive enters the high-
tern may be varied as necessary where way-rail grade crossing, if the loco-
crossings are spaced closely together. motive engineer is able to determine
(b)(1) Railroads to which this part ap- that the public highway-rail grade
plies shall comply with all the require- crossing is not obstructed and either:
ments contained in this paragraph (b) (1) The public highway-rail grade
beginning on December 15, 2006. On and crossing is equipped with automatic
after June 24, 2005, but prior to Decem- flashing lights and gates and the gates
ber 15, 2006, a railroad shall, at its op- are fully lowered; or
tion, comply with this section or shall (2) There are no conflicting highway
sound the locomotive horn in the man- movements approaching the public
ner required by State law, or in the ab- highway-rail grade crossing.
sence of State law, in the manner re- (e) Where State law requires the
quired by railroad operating rules in ef- sounding of a locomotive audible warn-
fect immediately prior to June 24, 2005. ing device other than the locomotive
(2) Except as provided in paragraphs
horn at public highway-rail grade
(b)(3) and (d) of this section, or when
crossings, that locomotive audible
the locomotive horn is defective and
warning device shall be sounded in ac-
the locomotive is being moved for re-
pair consistent with section 229.9 of cordance with paragraphs (b) and (d) of
this chapter, the locomotive horn shall this section.
begin to be sounded at least 15 seconds,
but no more than 20 seconds, before the
284
§ 222.23 How does this regulation af- § 222.25 How does this rule affect pri-
fect sounding of a horn during an vate highway-rail grade crossings?
emergency or other situations?
This rule does not require the routine
(a)(1) Notwithstanding any other pro- sounding of locomotive horns at pri-
vision of this part, a locomotive engi- vate highway-rail grade crossings.
neer may sound the locomotive horn to However, where State law requires the
provide a warning to animals, vehicle sounding of a locomotive horn at pri-
operators, pedestrians, trespassers or vate highway-rail grade crossings, the
crews on other trains in an emergency locomotive horn shall be sounded in ac-
situation if, in the locomotive engi- cordance with § 222.21 of this part.
neer’s sole judgment, such action is ap- Where State law requires the sounding
propriate in order to prevent imminent of a locomotive audible warning device
injury, death, or property damage. other than the locomotive horn at pri-
(2) Notwithstanding any other provi- vate highway-rail grade crossings, that
sion of this part, including provisions locomotive audible warning device
addressing the establishment of a quiet shall be sounded in accordance with
zone, limits on the length of time in §§ 222.21(b) and (d) of this part.
which a horn may be sounded, or in- (a) Private highway-rail grade cross-
stallation of wayside horns within ings located within the boundaries of a
quiet zones, this part does not preclude quiet zone must be included in the
the sounding of locomotive horns in quiet zone.
emergency situations, nor does it im- (b)(1) Private highway-rail grade
pose a legal duty to sound the loco- crossings that are located in New Quiet
motive horn in such situations. Zones or New Partial Quiet Zones and
(b) Nothing in this part restricts the allow access to the public, or which
use of the locomotive horn in the fol- provide access to active industrial or
lowing situations: commercial sites, must be evaluated by
(1) When a wayside horn is malfunc- a diagnostic team and equipped or
treated in accordance with the rec-
tioning;
ommendations of such diagnostic team.
(2) When active grade crossing warn-
(2) The public authority shall provide
ing devices have malfunctioned and use
the State agency responsible for grade
of the horn is required by one of the
crossing safety and all affected rail-
following sections of this chapter:
roads an opportunity to participate in
§§ 234.105, 234.106, or 234.107;
the diagnostic team review of private
(3) When grade crossing warning sys- highway-rail grade crossings.
tems are temporarily out of service
(c)(1) At a minimum, each approach
during inspection, maintenance, or to every private highway-rail grade
testing of the system; or crossing within a New Quiet Zone or
(4) When SSMs, modified SSMs or en- New Partial Quiet Zone shall be
gineering SSMs no longer comply with marked by a crossbuck and a ‘‘STOP’’
the requirements set forth in appendix sign, which are compliant with MUTCD
A of this part or the conditions con- standards unless otherwise prescribed
tained within the Associate Adminis- by State law, and shall be equipped
trator’s decision to approve the quiet with advance warning signs in compli-
zone in accordance with section ance with § 222.35(c) of this part.
222.39(b) of this part. (2) At a minimum, each approach to
(c) Nothing in this part restricts the every private highway-rail grade cross-
use of the locomotive horn for purposes ing within a Pre-Rule Quiet Zone or
other than highway-rail crossing safety Pre-Rule Partial Quiet Zone shall, by
(e.g., to announce the approach of a June 24, 2008, be marked by a crossbuck
train to roadway workers in accord- and a ‘‘STOP’’ sign, which are compli-
ance with a program adopted under ant with MUTCD standards unless oth-
part 214 of this chapter, or where re- erwise prescribed by State law, and
quired for other purposes under rail- shall be equipped with advance warning
road operating rules). signs in compliance with § 222.35(c) of
this part.
285
§ 222.27 49 CFR Ch. II (10–1–07 Edition)
§ 222.27 How does this rule affect pe- (4) Each approach to every pedestrian
destrian grade crossings? grade crossing within a Pre-Rule Par-
This rule does not require the routine tial Quiet Zone shall be equipped by
sounding of locomotive horns at pedes- June 24, 2008 with a sign that advises
trian grade crossings. However, where the pedestrian that train horns are not
State law requires the sounding of a lo- sounded at the crossing or that train
comotive horn at pedestrian grade horns are not sounded at the crossing
crossings, the locomotive horn shall be for a specified period of time, which-
sounded in accordance with § 222.21 of ever is applicable. Such sign shall con-
this part. Where State law requires the form to the standards contained in the
sounding of a locomotive audible warn- MUTCD.
ing device other than the locomotive
horn at pedestrian grade crossings, Subpart C—Exceptions to the Use
that locomotive audible warning device of the Locomotive Horn
shall be sounded in accordance with
§§ 222.21(b) and (d) of this part. § 222.31 [Reserved]
(a) Pedestrian grade crossings lo-
cated within the boundaries of a quiet SILENCED HORNS AT INDIVIDUAL
zone must be included in the quiet CROSSINGS
zone. § 222.33 Can locomotive horns be si-
(b) Pedestrian grade crossings that lenced at an individual public high-
are located in New Quiet Zones or New way-rail grade crossing which is
Partial Quiet Zones must be evaluated not within a quiet zone?
by a diagnostic team and equipped or (a) A railroad operating over an indi-
treated in accordance with the rec- vidual public highway-rail crossing
ommendations of such diagnostic team. may, at its discretion, cease the sound-
(c) The public authority shall provide ing of the locomotive horn if the loco-
the State agency responsible for grade motive speed is 15 miles per hour or
crossing safety and all affected rail- less and train crew members, or appro-
roads an opportunity to participate in priately equipped flaggers, as defined
diagnostic team reviews of pedestrian in 49 CFR 234.5, flag the crossing to
grade crossings. provide warning of approaching trains
(d) Advance warning signs. (1) Each to motorists.
approach to every pedestrian grade (b) This section does not apply where
crossing within a New Quiet Zone shall active grade crossing warning devices
be equipped with a sign that advises have malfunctioned and use of the horn
the pedestrian that train horns are not is required by 49 CFR 234.105, 234.106, or
sounded at the crossing. Such sign 234.107.
shall conform to the standards con-
tained in the MUTCD. SILENCED HORNS AT GROUPS OF
(2) Each approach to every pedestrian CROSSINGS—QUIET ZONES
grade crossing within a New Partial
Quiet Zone shall be equipped with a § 222.35 What are the minimum re-
sign that advises the pedestrian that quirements for quiet zones?
train horns are not sounded at the The following requirements apply to
crossing or that train horns are not quiet zones established in conformity
sounded at the crossing between the with this part.
hours of 10 p.m. and 7 a.m., whichever (a) Minimum length. (1)(i) Except as
is applicable. Such sign shall conform provided in paragraph (a)(1)(ii) of this
to the standards contained in the section, the minimum length of a New
MUTCD. Quiet Zone or New Partial Quiet Zone
(3) Each approach to every pedestrian established under this part shall be
grade crossing within a Pre-Rule Quiet one-half mile along the length of rail-
Zone shall be equipped by June 24, 2008 road right-of-way.
with a sign that advises the pedestrian (ii) The one-half mile minimum
that train horns are not sounded at the length requirement shall be waived for
crossing. Such sign shall conform to any New Quiet Zone or New Partial
the standards contained in the Quiet Zone that is added onto an exist-
MUTCD. ing quiet zone, provided there is no
286
public highway-rail grade crossing at appendix A of this part, each public

which locomotive horns are routinely highway-rail grade crossing in a New
sounded within one-half mile of the Partial Quiet Zone established under
New Quiet Zone or New Partial Quiet this part must be equipped, no later
Zone. than the quiet zone implementation
(iii) New Quiet Zones and New Par- date, with active grade crossing warn-
tial Quiet Zones established along the ing devices comprising both flashing
same rail line within a single political lights and gates which control traffic
jurisdiction shall be separated by at over the crossing and that conform to
least one public highway-rail grade the standards contained in the
crossing, unless a New Quiet Zone or MUTCD. Such warning devices shall be
New Partial Quiet Zone is being added equipped with constant warning time
onto an existing quiet zone. devices, if reasonably practical, and
(2)(i) The length of a Pre-Rule Quiet power-out indicators.
Zone or Pre-Rule Partial Quiet Zone (3) Pre-Rule Quiet Zones and Pre-
may continue unchanged from that Rule Partial Quiet Zones must retain,
which existed as of October 9, 1996. and may upgrade, the grade crossing
(ii) With the exception of combining safety warning system which existed as
adjacent Pre-Rule Quiet Zones or Pre- of December 18, 2003. Any upgrade in-
Rule Partial Quiet Zones, the addition volving the installation or renewal of
of any public highway-rail grade cross- an automatic warning device system
ing to a Pre-Rule Quiet Zone or Pre- shall include constant warning time
Rule Partial Quiet Zone shall end the devices, where reasonably practical,
grandfathered status of that quiet zone and power-out indicators. In no event
and transform it into a New Quiet Zone may the grade crossing safety warning
or New Partial Quiet Zone that must system, which existed as of December
comply with all requirements applica- 18, 2003, be downgraded. Risk reduction
ble to New Quiet Zones and New Par- resulting from upgrading to flashing
tial Quiet Zones. lights or gates may be credited in cal-
(iii) The deletion of any public high-
culating the Quiet Zone Risk Index.
way-rail grade crossing from a Pre-
(c) Advance warning signs. (1) Each
Rule Quiet Zone or Pre-Rule Partial
highway approach to every public and
Quiet Zone, with the exception of a
grade separation or crossing closure, private highway-rail grade crossing
must result in a quiet zone of at least within a New Quiet Zone shall be
one-half mile in length in order to re- equipped with an advance warning sign
tain Pre-Rule Quiet Zone or Pre-Rule that advises the motorist that train
Partial Quiet Zone status. horns are not sounded at the crossing.
(3) A quiet zone may include grade Such sign shall conform to the stand-
crossings on a segment of rail line ards contained in the MUTCD.
crossing more than one political juris- (2) Each highway approach to every
diction. public and private highway-rail grade
(b) Active grade crossing warning de- crossing within a New Partial Quiet
vices. (1) Each public highway-rail Zone shall be equipped with an advance
grade crossing in a New Quiet Zone es- warning sign that advises the motorist
tablished under this part must be that train horns are not sounded at the
equipped, no later than the quiet zone crossing or that train horns are not
implementation date, with active sounded at the crossing between the
grade crossing warning devices com- hours of 10 p.m. and 7 a.m., whichever
prising both flashing lights and gates is applicable. Such sign shall conform
which control traffic over the crossing to the standards contained in the
and that conform to the standards con- MUTCD.
tained in the MUTCD. Such warning (3) Each highway approach to every
devices shall be equipped with constant public and private highway-rail grade
warning time devices, if reasonably crossing within a Pre-Rule Quiet Zone
practical, and power-out indicators. shall be equipped by June 24, 2008 with
(2) With the exception of public high- an advance warning sign that advises
way-rail grade crossings that will be the motorist that train horns are not
temporarily closed in accordance with sounded at the crossing. Such sign
287
§ 222.37 49 CFR Ch. II (10–1–07 Edition)
shall conform to the standards con- must jointly, or by delegation provided

tained in the MUTCD. to one of the authorities, take such ac-
(4) Each highway approach to every tions as are required by this part.
public and private highway-rail grade (b) A public authority may establish
crossing within a Pre-Rule Partial quiet zones irrespective of State laws
Quiet Zone shall be equipped by June covering the subject matter of sound-
24, 2008 with an advance warning sign ing or silencing locomotive horns at
that advises the motorist that train public highway-rail grade crossings.
horns are not sounded at the crossing Nothing in this part, however, is meant
or that train horns are not sounded at to affect any other applicable role of
the crossing for a specified period of State agencies or the Federal Highway
time, whichever is applicable. Such Administration in decisions regarding
sign shall conform to the standards funding or construction priorities for
contained in the MUTCD. grade crossing safety projects, selec-
(5) This paragraph (c) does not apply tion of traffic control devices, or engi-
to public and private highway-rail neering standards for roadways or traf-
grade crossings equipped with wayside fic control devices.
horns that conform to the require- (c) A State agency may provide ad-
ments set forth in § 222.59 and Appendix ministrative and technical services to
E of this part. public authorities by advising them,
(d) Bells. (1) Each public highway-rail acting on their behalf, or acting as a
grade crossing in a New Quiet Zone or central contact point in dealing with
New Partial Quiet Zone that is sub- FRA; however, any public authority el-
jected to pedestrian traffic and igible to establish a quiet zone under
equipped with one or more automatic this part may do so.
bells shall retain those bells in working
condition. § 222.38 Can a quiet zone be created in
(2) Each public highway-rail grade the Chicago Region?
crossing in a Pre-Rule Quiet Zone or
Pre-Rule Partial Quiet Zone that is Public authorities that are eligible to
subjected to pedestrian traffic and establish quiet zones under this part
equipped with one or more automatic may create New Quiet Zones or New
bells shall retain those bells in working Partial Quiet Zones in the Chicago Re-
condition. gion, provided the New Quiet Zone or
(e) All private highway-rail grade New Partial Quiet Zone does not in-
crossings within the quiet zone must be clude any highway-rail grade crossing
treated in accordance with this section described in § 222.3(c) of this part.
and § 222.25 of this part.
§ 222.39 How is a quiet zone estab-
(f) All pedestrian grade crossings lished?
within a quiet zone must be treated in
accordance with § 222.27 of this part. (a) Public authority designation. This
(g) All public highway-rail grade paragraph (a) describes how a quiet
crossings within the quiet zone must be zone may be designated by a public au-
in compliance with the requirements of thority without the need for formal ap-
the MUTCD. plication to, and approval by, FRA. If a
public authority complies with either
§ 222.37 Who may establish a quiet paragraph (a)(1), (a)(2), or (a)(3) of this
zone? section, and complies with the infor-
(a) A public authority may establish mation and notification provisions of
quiet zones that are consistent with § 222.43 of this part, a public authority
the provisions of this part. If a pro- may designate a quiet zone without the
posed quiet zone includes public high- necessity for FRA review and approval.
way-rail grade crossings under the au- (1) A quiet zone may be established
thority and control of more than one by implementing, at every public high-
public authority (such as a county road way-rail grade crossing within the
and a State highway crossing the rail- quiet zone, one or more SSMs identi-
road tracks at different crossings), fied in appendix A of this part.
both public authorities must agree to (2) A quiet zone may be established if
establishment of the quiet zone, and the Quiet Zone Risk Index is at, or
288
below, the Nationwide Significant Risk and the State agency responsible for
Threshold, as follows: grade crossing safety in response to the
(i) If the Quiet Zone Risk Index is al- Notice of Intent. This statement shall
ready at, or below, the Nationwide Sig- also list any objections to the proposed
nificant Risk Threshold without being quiet zone that were raised by the rail-
reduced by implementation of SSMs; or road(s) and State agencies;
(ii) If SSMs are implemented which (v) Contain detailed information as
are sufficient to reduce the Quiet Zone to which safety improvements are pro-
Risk Index to a level at, or below, the posed to be implemented at each pub-
Nationwide Significant Risk Thresh- lic, private, or pedestrian grade cross-
old. ing within the proposed quiet zone;
(3) A quiet zone may be established if (vi) Contain a commitment to imple-
SSMs are implemented which are suffi- ment the proposed safety improve-
cient to reduce the Quiet Zone Risk ments within the proposed quiet zone;
Index to a level at or below the Risk and
Index With Horns. (vii) Demonstrate through data and
(b) Public authority application to analysis that the proposed implemen-
FRA. (1) A public authority may apply tation of these measures will reduce
to the Associate Administrator for ap- the Quiet Zone Risk Index to a level at,
proval of a quiet zone that does not or below, either the Risk Index With
meet the standards for public author- Horns or the Nationwide Significant
ity designation under paragraph (a) of Risk Threshold.
this section, but in which it is proposed (2) If the proposed quiet zone con-
that one or more safety measures be tains newly established public or pri-
implemented. Such proposed quiet zone vate highway-rail grade crossings, the
may include only ASMs, or a combina- public authority’s application for ap-
tion of ASMs and SSMs at various proval must also include five-year pro-
crossings within the quiet zone. Note jected vehicle and rail traffic counts
that an engineering improvement for each newly established grade cross-
which does not fully comply with the ing;
requirements for an SSM under appen- (3) 60-day comment period. (i) The pub-
dix A of this part, is considered to be lic authority application for FRA ap-
an ASM. The public authority’s appli- proval of the proposed quiet zone shall
cation must: be provided, by certified mail, return
(i) Contain an accurate, complete and receipt requested, to: all railroads op-
current Grade Crossing Inventory erating over the public highway-rail
Form for each public, private and pe- grade crossings within the quiet zone;
destrian grade crossing within the pro- the highway or traffic control or law
posed quiet zone; enforcement authority having jurisdic-
(ii) Contain sufficient detail con- tion over vehicular traffic at grade
cerning the present safety measures at crossings within the quiet zone; the
each public, private and pedestrian landowner having control over any pri-
grade crossing proposed to be included vate highway-rail grade crossings with-
in the quiet zone to enable the Asso- in the quiet zone; the State agency re-
ciate Administrator to evaluate their sponsible for highway and road safety;
effectiveness; the State agency responsible for grade
(iii) Contain detailed information crossing safety; and the Associate Ad-
about diagnostic team reviews of any ministrator.
crossing within the proposed quiet (ii) Except as provided in paragraph
zone, including a membership list and a (b)(3)(iii) of this section, any party that
list of recommendations made by the receives a copy of the public authority
diagnostic team; application may submit comments on
(iv) Contain a statement describing the public authority application to the
efforts taken by the public authority Associate Administrator during the 60-
to address comments submitted by day period after the date on which the
each railroad operating the public public authority application was
highway-rail grade crossings within mailed.
the quiet zone, the State agency re- (iii) If the public authority applica-
sponsible for highway and road safety, tion for FRA approval contains written
289
§ 222.41 49 CFR Ch. II (10–1–07 Edition)
statements from each railroad oper- Pre-Rule Quiet Zone is in compliance

ating over the public highway-rail with §§ 222.35 (minimum requirements
grade crossings within the quiet zone, for quiet zones) and 222.43 of this part
the highway or traffic control author- (notice and information requirements)
ity or law enforcement authority hav- and:
ing jurisdiction over vehicular traffic (i) The Pre-Rule Quiet Zone has at
at grade crossings within the quiet every public highway-rail grade cross-
zone, the State agency responsible for ing within the quiet zone one or more
grade crossing safety, and the State SSMs identified in appendix A of this
agency responsible for highway and part; or
road safety stating that the railroad,
(ii) The Quiet Zone Risk Index is at,
vehicular traffic authority and State
or below, the Nationwide Significant
agencies have waived their rights to
Risk Threshold, as last published by
provide comments on the public au-
FRA in the FEDERAL REGISTER; or
thority application, the 60-day com-
ment period under paragraph (b)(3)(ii) (iii) The Quiet Zone Risk Index is
of this section shall be waived. above the Nationwide Significant Risk
(4)(i) After reviewing any comments Threshold, as last published by FRA in
submitted under paragraph (b)(3)(ii) of the FEDERAL REGISTER, but less than
this section, the Associate Adminis- twice the Nationwide Significant Risk
trator will approve the quiet zone if, in Threshold and there have been no rel-
the Associate Administrator’s judg- evant collisions at any public highway-
ment, the public authority is in com- rail grade crossing within the quiet
pliance with paragraphs (b)(1) and zone since April 27, 2000 or
(b)(2) of this section and has satisfac- (iv) The Quiet Zone Risk Index is at,
torily demonstrated that the SSMs and or below, the Risk Index with Horns.
ASMs proposed by the public authority (2) The public authority shall provide
result in a Quiet Zone Risk Index that Notice of Quiet Zone Establishment, in
is either: accordance with § 222.43 of this part, no
(A) At or below the Risk Index With later than December 24, 2005.
Horns or (b) Pre-Rule Partial Quiet Zones that
(B) At or below the Nationwide Sig- will be established by automatic approval.
nificant Risk Threshold. (1) A Pre-Rule Partial Quiet Zone may
(ii) The Associate Administrator may be established by automatic approval
include in any decision of approval and remain in effect, subject to § 222.51,
such conditions as may be necessary to if the Pre-Rule Partial Quiet Zone is in
ensure that the proposed safety im- compliance with §§ 222.35 (minimum re-
provements are effective. If the Asso- quirements for quiet zones) and 222.43
ciate Administrator does not approve of this part (notice and information re-
the quiet zone, the Associate Adminis- quirements) and:
trator will describe, in the decision, (i) The Pre-Rule Partial Quiet Zone
the basis upon which the decision was has at every public highway-rail grade
made. Decisions issued by the Asso-
crossing within the quiet zone one or
ciate Administrator on quiet zone ap-
more SSMs identified in appendix A of
plications shall be provided to all par-
this part; or
ties listed in paragraph (b)(3)(i) of this
section and may be reviewed as pro- (ii) The Quiet Zone Risk Index is at,
vided in §§ 222.57(b) and (d) of this part. or below, the Nationwide Significant
(c) Appendix C of this part contains Risk Threshold, as last published by
guidance on how to create a quiet zone. FRA in the FEDERAL REGISTER; or
(iii) The Quiet Zone Risk Index is
§ 222.41 How does this rule affect Pre- above the Nationwide Significant Risk
Rule Quiet Zones and Pre-Rule Par- Threshold, as last published by FRA in
tial Quiet Zones? the FEDERAL REGISTER, but less than
(a) Pre-Rule Quiet Zones that will be twice the Nationwide Significant Risk
established by automatic approval. (1) A Threshold and there have been no rel-
Pre-Rule Quiet Zone may be estab- evant collisions at any public highway-
lished by automatic approval and re- rail grade crossing within the quiet
main in effect, subject to § 222.51, if the zone since April 27, 2000. With respect
290
to Pre-Rule Partial Quiet Zones, colli- menting improvements at Pre-Rule

sions that occurred during the time pe- Quiet Zones and Pre-Rule Partial Quiet
riod within which the locomotive horn Zones which, when implemented, would
was routinely sounded shall not be con- enable them to qualify as quiet zones
sidered ‘‘relevant collisions’’; or under this part; and
(iv) The Quiet Zone Risk Index is at, (ii) Prior to June 24, 2009, either safe-
or below, the Risk Index with Horns. ty improvements are initiated at a por-
(2) The public authority shall provide tion of the crossings within the quiet
Notice of Quiet Zone Establishment, in zone, or the appropriate State agency
accordance with § 222.43 of this part, no has participated in quiet zone improve-
later than December 24, 2005. ments in one or more Pre-Rule Quiet
(c) Pre-Rule Quiet Zones and Pre-Rule Zones or Pre-Rule Partial Quiet Zones
Partial Quiet Zones that will not be estab- elsewhere within the State.
lished by automatic approval. (1) If a Pre- (4) A public authority may establish
Rule Quiet Zone or Pre-Rule Partial a Pre-Rule Quiet Zone or Pre-Rule Par-
Quiet Zone will not be established by tial Quiet Zone upon compliance with:
automatic approval under paragraph (A) The Pre-Rule Quiet Zone or Pre-
(a) or (b) of this section, existing re- Rule Partial Quiet Zone requirements
strictions may, at the public contained within §§ 222.25, 222.27, and
authority’s discretion, remain in place 222.35 of this part;
until June 24, 2008, if a Notice of Quiet (B) The quiet zone standards set
Zone Continuation is provided in ac- forth in § 222.39 of this part; and
cordance with § 222.43 of this part. (C) All applicable notification and fil-
(2)(i) Existing restrictions on the rou- ing requirements contained within this
tine sounding of the locomotive horn paragraph (c) and § 222.43 of this part.
may remain in place until June 24, (d) Pre-Rule Partial Quiet Zones that
2010, if: will be converted to 24-hour New Quiet
(A) Notice of Intent is mailed, in ac- Zones. A Pre-Rule Partial Quiet Zone
cordance with § 222.43 of this part, by may be converted into a 24-hour New
February 24, 2008; and Quiet Zone, if:
(B) A detailed plan for quiet zone im- (1) The quiet zone is brought into
provements is filed with the Associate compliance with the New Quiet Zone
Administrator by June 24, 2008. The de- requirements set forth in §§ 222.25,
tailed plan shall include a detailed ex- 222.27, and 222.35 of this part;
planation of, and timetable for, the (2) The quiet zone is brought into
safety improvements that will be im- compliance with the quiet zone stand-
plemented at each public, private and ards set forth in § 222.39 of this part;
pedestrian grade crossing located with- and
in the Pre-Rule Quiet Zone or Pre-Rule (3) The public authority complies
Partial Quiet Zone which are necessary with all applicable notification and fil-
to comply with §§ 222.25, 222.27, 222.35 ing requirements contained within this
and 222.39 of this part. paragraph (c) and § 222.43 of this part.
(ii) In the event that the safety im-
provements planned for the quiet zone § 222.42 How does this rule affect In-
require approval of FRA under termediate Quiet Zones and Inter-
§ 222.39(b) of this part, the public au- mediate Partial Quiet Zones?
thority should apply for such approval (a)(1) Existing restrictions may, at
prior to December 24, 2007, to ensure the public authority’s discretion, re-
that FRA has ample time in which to main in place within the Intermediate
review such application prior to the Quiet Zone or Intermediate Partial
end of the extension period. Quiet Zone until June 24, 2006, if the
(3) Locomotive horn restrictions may public authority provides Notice of
continue for an additional three years Quiet Zone Continuation, in accord-
beyond June 24, 2010, if: ance with § 222.43 of this part.
(i) Prior to June 24, 2008, the appro- (2) A public authority may continue
priate State agency provides to the As- locomotive horn sounding restrictions
sociate Administrator: A comprehen- beyond June 24, 2006 by establishing a
sive State-wide implementation plan New Quiet Zone or New Partial Quiet
and funding commitment for imple- Zone. A public authority may establish
291
§ 222.43 49 CFR Ch. II (10–1–07 Edition)
a New Quiet Zone or New Partial Quiet All railroads operating over the public
Zone if: highway-rail grade crossings within
(i) Notice of Intent is mailed, in ac- the quiet zone; the highway or traffic
cordance with § 222.43 of this part; control or law enforcement authority
(ii) The quiet zone complies with the having jurisdiction over vehicular traf-
standards set forth in § 222.39 of this fic at grade crossings within the quiet
part; zone; the landowner having control
(iii) The quiet zone complies with the over any private highway-rail grade
New Quiet Zone standards set forth in crossings within the quiet zone; the
§§ 222.25, 222.27, and 222.35 of this part; State agency responsible for highway
(iv) Notice of Quiet Zone Establish- and road safety; the State agency re-
ment is mailed, in accordance with sponsible for grade crossing safety; and
§ 222.43 of this part, by June 3, 2006. the Associate Administrator.
(b) Conversion of Intermediate Partial (3) The public authority shall pro-
Quiet Zones into 24-hour New Quiet vided written notice, by certified mail,
Zones. An Intermediate Partial Quiet return receipt requested, of the estab-
Zone may be converted into a 24-hour lishment of a quiet zone under § 222.39
New Quiet Zone if: or 222.41 of this part. Such notification
(1) Notice of Intent is mailed, in ac- shall be provided to: All railroads oper-
cordance with § 222.43 of this part; ating over the public highway-rail
(2) The quiet zone complies with the grade crossings within the quiet zone;
standards set forth in § 222.39 of this the highway or traffic control or law
part; enforcement authority having jurisdic-
(3) The quiet zone is brought into tion over vehicular traffic at grade
compliance with the New Quiet Zone crossings within the quiet zone; the
requirements set forth in §§ 222.25, landowner having control over any pri-
222.27, and 222.35 of this part; and vate highway-rail grade crossings with-
(4) Notice of Quiet Zone Establish- in the quiet zone; the State agency re-
ment is mailed, in accordance with sponsible for highway and road safety;
§ 222.43 of this part, by June 3, 2006. the State agency responsible for grade
crossing safety; and the Associate Ad-
§ 222.43 What notices and other infor- ministrator.
mation are required to create or (b) Notice of Intent—(1) Timing. (i) The
continue a quiet zone? Notice of Intent shall be mailed at
(a)(1) The public authority shall pro- least 60 days before the mailing of the
vide written notice, by certified mail, Notice of Quiet Zone Establishment,
return receipt requested, of its intent unless the public authority obtains
to create a New Quiet Zone or New written comments and/or ‘‘no-com-
Partial Quiet Zone under § 222.39 of this ment’’ statements from each railroad
part or to implement new SSMs or operating over public highway-rail
ASMs within a Pre-Rule Quiet Zone or grade crossings within the quiet zone,
Pre-Rule Partial Quiet Zone under the State agency responsible for grade
§ 222.41(c) or (d) of this part. Such noti- crossing safety, and the State agency
fication shall be provided to: All rail- responsible for highway and road safe-
roads operating over the public high- ty, in accordance with paragraph
way-rail grade crossings within the (b)(3)(ii) of this section.
quiet zone; the State agency respon- (ii) The Notice of Intent shall be
sible for highway and road safety; and mailed no later than February 24, 2008
the State agency responsible for grade for all Pre-Rule Quiet Zones and Pre-
crossing safety. Rule Partial Quiet Zones governed by
(2) The public authority shall provide §§ 222.41(c) and (d) of this part, in order
written notification, by certified mail, to continue existing locomotive horn
return receipt requested, to continue a sounding restrictions beyond June 24,
Pre-Rule Quiet Zone or Pre-Rule Par- 2008 without interruption.
tial Quiet Zone under § 222.41 of this (2) Required Contents. The Notice of
part or to continue an Intermediate Intent shall include the following:
Quiet Zone or Intermediate Partial (i) A list of each public, private, and
Quiet Zone under § 222.42 of this part. pedestrian grade crossing within the
Such notification shall be provided to: quiet zone, identified by both U.S. DOT
292
National Highway-Rail Grade Crossing shall that date be earlier than 21 days
Inventory Number and street or high- after the date of mailing.
way name, if applicable. (2) Required Contents. The Notice of
(ii) A statement of the time period Quiet Zone Continuation shall include
within which restrictions would be im- the following:
posed on the routine sounding of the (i) A list of each public, private, and
locomotive horn (i.e., 24 hours or from pedestrian grade crossing within the
10 p.m. until 7 a.m.). quiet zone, identified by both U.S. DOT
(iii) A brief explanation of the public National Highway-Rail Grade Crossing
authority’s tentative plans for imple- Inventory Number and street or high-
menting improvements within the pro- way name.
posed quiet zone. (ii) A specific reference to the regu-
(iv) The name and title of the person latory provision that provides the basis
who will act as point of contact during for quiet zone continuation, citing as
the quiet zone development process and appropriate, § 222.41 or 222.42 of this
the manner in which that person can part.
be contacted. (iii) A statement of the time period
(v) A list of the names and addresses within which restrictions on the rou-
of each party that will receive notifica- tine sounding of the locomotive horn
tion in accordance with paragraph will be imposed (i.e., 24 hours or night-
(a)(1) of this section. time hours only.)
(3) 60-day comment period. (i) A party (iv) An accurate and complete Grade
that receives a copy of the public Crossing Inventory Form for each pub-
authority’s Notice of Intent may sub- lic, private, and pedestrian grade cross-
mit information or comments about ing within the quiet zone that reflects
the proposed quiet zone to the public conditions currently existing at the
authority during the 60-day period crossing.
after the date on which the Notice of (v) The name and title of the person
Intent was mailed. responsible for monitoring compliance
(ii) The 60-day comment period estab- with the requirements of this part and
lished under paragraph (b)(3)(i) of this the manner in which that person can
section may terminate when the public be contacted.
authority obtains from each railroad (vi) A list of the names and addresses
operating over public highway-rail of each party that will receive notifica-
grade crossings within the proposed tion in accordance with paragraph
quiet zone, the State agency respon- (a)(2) of this section.
sible for grade crossing safety, and the (vii) A statement signed by the chief
State agency responsible for highway executive officer of each public author-
and road safety: ity participating in the continuation of
(A) Written comments; or the quiet zone, in which the chief exec-
(B) Written statements that the rail- utive officer certifies that the informa-
road and State agency do not have any tion submitted by the public authority
comments on the Notice of Intent (‘‘no- is accurate and complete to the best of
comment statements’’). his/her knowledge and belief.
(c) Notice of Quiet Zone Continuation— (d) Notice of Quiet Zone Establish-
(1) Timing. (i) In order to prevent the ment—(1) Timing. (i) The Notice of
resumption of locomotive horn sound- Quiet Zone Establishment shall provide
ing on June 24, 2005, the Notice of Quiet the date upon which the quiet zone will
Zone Continuation under § 222.41 or be established, but in no event shall
222.42 of this part shall be served no the date be earlier than 21 days after
later than June 3, 2005. the date of mailing.
(ii) If the Notice of Quiet Zone Con- (ii) If the public authority was re-
tinuation under § 222.41 or 222.42 of this quired to provide a Notice of Intent, in
part is mailed after June 3, 2005, the accordance with paragraph (a)(1) of
Notice of Quiet Zone Continuation this section, the Notice of Quiet Zone
shall state on which date locomotive Establishment shall not be mailed less
horn use at grade crossings within the than 60 days after the date on which
quiet zone shall cease, but in no event the Notice of Intent was mailed, unless
293
§ 222.43 49 CFR Ch. II (10–1–07 Edition)
the Notice of Quiet Zone Establish- will be imposed (i.e., 24 hours or from
ment contains a written statement af- 10 p.m. until 7 a.m.).
firming that written comments and/or (v) An accurate and complete Grade
‘‘no-comment’’ statements have been Crossing Inventory Form for each pub-
received from each railroad operating lic, private, and pedestrian grade cross-
over public highway-rail grade crossing within the quiet zone that reflects
ings within the proposed quiet zone, the conditions existing at the crossing
the State agency responsible for grade before any new SSMs or ASMs were im-
crossing safety, and the State agency plemented.
responsible for highway and road safe- (vi) An accurate, complete and cur-
ty, in accordance with paragraph rent Grade Crossing Inventory Form
(b)(3)(ii) of this section. for each public, private, and pedestrian
(2) Required contents. The Notice of grade crossing within the quiet zone
Quiet Zone Establishment shall include that reflects SSMs and ASMs in place
the following: upon establishment of the quiet zone.
(i) A list of each public, private, and SSMs and ASMs that cannot be fully
pedestrian grade crossing within the described on the Inventory Form shall
quiet zone, identified by both U.S. DOT be separately described.
National Highway-Rail Grade Crossing (vii) If the public authority was re-
Inventory Number and street or high- quired to provide a Notice of Intent, in
way name, if applicable. accordance with paragraph (a)(1) of
(ii) A specific reference to the regu- this section, the Notice of Quiet Zone
latory provision that provides the basis Establishment shall contain a written
for quiet zone establishment, citing as statement affirming that the Notice of
appropriate, § 222.39(a)(1), 222.39(a)(2)(i), Intent was provided in accordance with
222.39(a)(2)(ii), 222.39(a)(3), 222.39(b), paragraph (a)(1) of this section. This
222.41(a)(1)(i), 222.41(a)(1)(ii), statement shall also state the date on
222.41(a)(1)(iii), 222.41(a)(1)(iv), which the Notice of Intent was mailed.
222.41(b)(1)(i), 222.41(b)(1)(ii), (viii) If the public authority was re-
222.41(b)(1)(iii), or 222.41(b)(1)(iv) of this quired to provide a Notice of Intent, in
part. accordance with paragraph (a)(1) of
(A) If the Notice contains a specific this section, and the Notice of Intent
reference to § 222.39(a)(2)(i), was mailed less than 60 days before the
222.39(a)(2)(ii), 222.39(a)(3), mailing of the Notice of Quiet Zone Es-
222.41(a)(1)(ii), 222.41(a)(1)(iii), tablishment, the Notice of Quiet Zone
222.41(a)(1)(iv), 222.41(b)(1)(ii), Establishment shall also contain a
222.41(b)(1)(iii), or 222.41(b)(1)(iv) of this written statement affirming that writ-
part, it shall include a copy of the FRA ten comments and/or ‘‘no-comment’’
Web page that contains the quiet zone statements have been received from
data upon which the public authority each railroad operating over public
is relying (http://www.fra.dot.gov/us/con- highway-rail grade crossings within
tent/1337). the proposed quiet zone, the State
(B) If the Notice contains a specific agency responsible for grade crossing
reference to § 222.39(b) of this part, it safety, and the State agency respon-
shall include a copy of FRA’s notifica- sible for highway and road safety, in
tion of approval. accordance with paragraph (b)(3)(ii) of
(iii) If a diagnostic team review was this section.
required under § 222.25 or 222.27 of this (ix) The name and title of the person
part, the Notice shall include a state- responsible for monitoring compliance
ment affirming that the State agency with the requirements of this part and
responsible for grade crossing safety the manner in which that person can
and all affected railroads were provided be contacted.
an opportunity to participate in the di- (x) A list of the names and addresses
agnostic team review. The Notice shall of each party that shall be notified in
also include a list of recommendations accordance with paragraph (a)(3) of
made by the diagnostic team. this section.
(iv) A statement of the time period (xi) A statement signed by the chief
within which restrictions on the rou- executive officer of each public author-
tine sounding of the locomotive horn ity participating in the establishment
294
of the quiet zone, in which the chief ex- public crossing within the quiet zone)
ecutive officer shall certify that the in- of this part. Between 21⁄2 and 3 years
formation submitted by the public au- after the date of the quiet zone estab-
thority is accurate and complete to the lishment notice provided by the public
best of his/her knowledge and belief. authority under § 222.43 of this part,
and between 21⁄2 and 3 years after the
§ 222.45 When is a railroad required to last affirmation under this section, the
cease routine sounding of loco- public authority must:
motive horns at crossings? (1) Affirm in writing to the Associate
On the date specified in a Notice of Administrator that all SSMs and ASMs
Quiet Zone Continuation or Notice of implemented within the quiet zone
Quiet Zone Establishment that com- continue to conform to the require-
plies with the requirements set forth in ments of Appendices A and B of this
§ 222.43 of this part, a railroad shall re- part or the terms of the Quiet Zone ap-
frain from, or cease, routine sounding proval. Copies of such notification
of the locomotive horn at all public, must be provided to the parties identi-
private and pedestrian grade crossings fied in § 222.43(a)(3) of this part by cer-
identified in the Notice. tified mail, return receipt requested;
and
§ 222.47 What periodic updates are re- (2) Provide to the Associate Adminis-
quired? trator an up-to-date, accurate, and
(a) Quiet zones with SSMs at each pub- complete Grade Crossing Inventory
lic crossing. This paragraph addresses Form for each public highway-rail
quiet zones established pursuant to grade crossing, private highway-rail
§§ 222.39(a)(1), 222.41(a)(1)(i), and grade crossing, and pedestrian grade
222.41(b)(1)(i) (quiet zones with an SSM crossing within the quiet zone.
implemented at every public crossing
within the quiet zone) of this part. Be- § 222.49 Who may file Grade Crossing
tween 41⁄2 and 5 years after the date of Inventory Forms?
the quiet zone establishment notice (a) Grade Crossing Inventory Forms
provided by the public authority under required to be filed with the Associate
§ 222.43 of this part, and between 41⁄2 and Administrator in accordance with
5 years after the last affirmation under §§ 222.39, 222.43 and 222.47 of this part
this section, the public authority must: may be filed by the public authority if,
(1) Affirm in writing to the Associate for any reason, such forms are not
Administrator that the SSMs imple- timely submitted by the State and rail-
mented within the quiet zone continue road.
to conform to the requirements of ap- (b) Within 30 days after receipt of a
pendix A of this part. Copies of such af- written request of the public authority,
firmation must be provided by certified the railroad owning the line of railroad
mail, return receipt requested, to the that includes public or private highway
parties identified in § 222.43(a)(3) of this rail grade crossings within the quiet
part; and zone or proposed quiet zone shall pro-
(2) Provide to the Associate Adminis- vide to the State and public authority
trator an up-to-date, accurate, and sufficient current information regard-
complete Grade Crossing Inventory ing the grade crossing and the rail-
Form for each public highway-rail road’s operations over the grade cross-
grade crossing, private highway-rail ing to enable the State and public au-
grade crossing, and pedestrian crossing thority to complete the Grade Crossing
within the quiet zone. Inventory Form.
(b) Quiet zones which do not have a
supplementary safety measure at each § 222.51 Under what conditions will
public crossing. This paragraph address- quiet zone status be terminated?
es quiet zones established pursuant to (a) New Quiet Zones—Annual risk re-
§§ 222.39(a)(2) and (a)(3), § 222.39(b), view. (1) FRA will annually calculate
§§ 222.41(a)(1)(ii), (a)(1)(iii), and the Quiet Zone Risk Index for each
(a)(1)(iv), and §§ 222.41(b)(1)(ii), quiet zone established pursuant to
(b)(1)(iii), and (b)(1)(iv) (quiet zones §§ 222.39(a)(2) and 222.39(b) of this part,
which do not have an SSM at every and in comparison to the Nationwide
295
§ 222.51 49 CFR Ch. II (10–1–07 Edition)
Significant Risk Threshold. FRA will zone six months after the date of re-
notify each public authority of the ceipt of notification from FRA that the
Quiet Zone Risk Index for the pre- Quiet Zone Risk Index exceeds the Na-
ceding calendar year. FRA will not tionwide Significant Risk Threshold.
conduct annual risk reviews for quiet Failure to comply with paragraph
zones established by having an SSM at (a)(2)(ii) of this section shall result in
every public crossing within the quiet the termination of the quiet zone three
zone or for quiet zones established by years after the date of receipt of notifi-
reducing the Quiet Zone Risk Index to cation from FRA that the Quiet Zone
the Risk Index With Horns. Risk Index exceeds the Nationwide Sig-
(2) Actions to be taken by public au- nificant Risk Threshold.
thority to retain quiet zone. If the Quiet (b) Pre-Rule Quiet Zones—Annual risk
Zone Risk Index is above the Nation- review. (1) FRA will annually calculate
wide Significant Risk Threshold, the the Quiet Zone Risk Index for each
quiet zone will terminate six months Pre-Rule Quiet Zone and Pre-Rule Par-
from the date of receipt of notification tial Quiet Zone that qualified for auto-
from FRA that the Quiet Zone Risk matic approval pursuant to
Index exceeds the Nationwide Signifi- §§ 222.41(a)(1)(ii), 222.41(a)(1)(iii),
cant Risk Threshold, unless the public 222.41(b)(1)(ii), and 222.41(b)(1)(iii) of
authority takes the following actions: this part. FRA will notify each public
(i) Within six months after the date authority of the Quiet Zone Risk Index
of receipt of notification from FRA for the preceding calendar year. FRA
that the Quiet Zone Risk Index exceeds will also notify each public authority if
the Nationwide Significant Risk a relevant collision occurred at a grade
Threshold, provide to the Associate Ad- crossing within the quiet zone during
ministrator a written commitment to the preceding calendar year.
lower the potential risk to the trav- (2) Pre-Rule Quiet Zones and Pre-Rule
eling public at the crossings within the Partial Quiet Zones authorized under
quiet zone to a level at, or below, the §§ 222.41(a)(1)(ii) and 222.41(b)(1)(ii). (i) If
Nationwide Significant Risk Threshold a Pre-Rule Quiet Zone or Pre-Rule Par-
or the Risk Index With Horns. Included tial Quiet Zone originally qualified for
in the commitment statement shall be automatic approval because the Quiet
a discussion of the specific steps to be Zone Risk Index was at, or below, the
taken by the public authority to in- Nationwide Significant Risk Thresh-
crease safety at the crossings within old, the quiet zone may continue un-
the quiet zone; and changed if the Quiet Zone Risk Index
(ii) Within three years after the date as last calculated by the FRA remains
of receipt of notification from FRA at, or below, the Nationwide Signifi-
that the Quiet Zone Risk Index exceeds cant Risk Threshold.
the Nationwide Significant Risk (ii) If the Quiet Zone Risk Index as
Threshold, complete implementation of last calculated by FRA is above the
SSMs or ASMs sufficient to reduce the Nationwide Significant Risk Thresh-
Quiet Zone Risk Index to a level at, or old, but is lower than twice the Nation-
below, the Nationwide Significant Risk wide Significant Risk Threshold and no
Threshold, or the Risk Index With relevant collisions have occurred at
Horns, and receive approval from the crossings within the quiet zone within
Associate Administrator, under the the five years preceding the annual
procedures set forth in § 222.39(b) of this risk review, then the quiet zone may
part, for continuation of the quiet continue as though it originally re-
zone. If the Quiet Zone Risk Index is ceived automatic approval pursuant to
reduced to the Risk Index With Horns, § 222.41(a)(1)(iii) or 222.41(b)(1)(iii) of
the quiet zone will be considered to this part.
have been established pursuant to (iii) If the Quiet Zone Risk Index as
§ 222.39(a)(3) of this part and subsequent last calculated by FRA is at, or above,
annual risk reviews will not be con- twice the Nationwide Significant Risk
ducted for that quiet zone. Threshold, or if the Quiet Zone Risk
(iii) Failure to comply with para- Index is above the Nationwide Signifi-
graph (a)(2)(i) of this section shall re- cant Risk Threshold, but is lower than
sult in the termination of the quiet twice the Nationwide Significant Risk
296
Threshold and a relevant collision oc- a discussion of the specific steps to be

curred at a crossing within the quiet taken by the public authority to in-
zone within the preceding five calendar crease safety at the public crossings
years, the quiet zone will terminate six within the quiet zone; and
months after the date of receipt of no- (ii) Within three years of the date of
tification from FRA of the Nationwide FRA notification, the public authority
Significant Risk Threshold level, un- shall complete implementation of
less the public authority takes the ac- SSMs or ASMs sufficient to reduce the
tions specified in paragraph (b)(4) of Quiet Zone Risk Index to a level at, or
this section. below, the Nationwide Significant Risk
(3) Pre-Rule Quiet Zones and Pre-Rule Threshold, or the Risk Index With
Partial Quiet Zones authorized under Horns, and receive approval from the
§§ 222.41(a)(1)(iii) and 222.41(b)(1)(iii). (i) Associate Administrator, under the
If a Pre-Rule Quiet Zone or Pre-Rule procedures set forth in § 222.39(b) of this
Partial Quiet Zone originally qualified part, for continuation of the quiet
for automatic approval because the zone. If the Quiet Zone Risk Index is
Quiet Zone Risk Index was above the reduced to a level that fully com-
Nationwide Significant Risk Thresh- pensates for the absence of the train
old, but below twice the Nationwide horn, the quiet zone will be considered
Significant Risk Threshold, and no rel- to have been established pursuant to
evant collisions had occurred within § 222.39(a)(3) of this part and subsequent
the five-year qualifying period, the annual risk reviews will not be con-
quiet zone may continue unchanged if ducted for that quiet zone.
the Quiet Zone Risk Index as last cal- (iii) Failure to comply with para-
culated by FRA remains below twice graph (b)(4)(i) of this section shall re-
the Nationwide Significant Risk sult in the termination of the quiet
Threshold and no relevant collisions zone six months after the date of re-
occurred at a public grade crossing
ceipt of notification from FRA. Failure
within the quiet zone during the pre-
to comply with paragraph (b)(4)(ii) of
ceding calendar year.
this section shall result in the termi-
(ii) If the Quiet Zone Risk Index as
nation of the quiet zone three years
last calculated by FRA is at, or above,
after the date of receipt of notification
twice the Nationwide Significant Risk
from FRA.
Threshold, or if a relevant collision oc-
curred at a public grade crossing with- (c) Review at FRA’s initiative. (1) The
in the quiet zone during the preceding Associate Administrator may, at any
calendar year, the quiet zone will ter- time, review the status of any quiet
minate six months after the date of re- zone.
ceipt of notification from FRA that the (2) If the Associate Administrator
Quiet Zone Risk Index is at, or exceeds makes any of the following prelimi-
twice the Nationwide Significant Risk nary determinations, the Associate Ad-
Threshold or that a relevant collision ministrator will provide written notice
occurred at a crossing within the quiet to the public authority, all railroads
zone, unless the public authority takes operating over public highway-rail
the actions specified in paragraph (b)(4) grade crossings within the quiet zone,
of this section. the highway or traffic control author-
(4) Actions to be taken by the public au- ity or law enforcement authority hav-
thority to retain a quiet zone. ing control over vehicular traffic at the
(i) Within six months after the date crossings within the quiet zone, the
of FRA notification, the public author- landowner having control over any pri-
ity shall provide to the Associate Ad- vate crossings within the quiet zone,
ministrator a written commitment to the State agency responsible for grade
lower the potential risk to the trav- crossing safety, and the State agency
eling public at the crossings within the responsible for highway and road safe-
quiet zone by reducing the Quiet Zone ty and will publish a notice of the de-
Risk Index to a level at, or below, the termination in the FEDERAL REGISTER:
Nationwide Significant Risk Threshold (i) Safety systems and measures im-
or the Risk Index With Horns. Included plemented within the quiet zone do not
in the commitment statement shall be fully compensate for the absence of the
297
§ 222.51 49 CFR Ch. II (10–1–07 Edition)
locomotive horn due to a substantial months after the date on which the no-
increase in risk; tice of quiet zone termination was
(ii) Documentation relied upon to es- mailed, to all parties listed in para-
tablish the quiet zone contains sub- graph (d)(2) of this section.
stantial errors that may have an ad- (ii) If any remaining quiet zone has a
verse impact on public safety; or Quiet Zone Risk Index in excess of the
(iii) Significant risk with respect to Nationwide Significant Risk Threshold
loss of life or serious personal injury and the Risk Index With Horns, the
exists within the quiet zone. public authority responsible for the
(3) After providing an opportunity for quiet zone shall submit a written com-
comment, the Associate Administrator mitment, to all parties listed in para-
may require that additional safety graph (d)(2) of this section, to reduce
measures be taken or that the quiet the Quiet Zone Risk Index to a level at
zone be terminated. The Associate Ad- or below the Nationwide Significant
ministrator will provide a copy of his/ Risk Threshold or the Risk Index With
her decision to the public authority Horns within three years. Included in
and all parties listed in paragraph (c)(2) the commitment statement shall be a
of this section. The public authority discussion of the specific steps to be
may appeal the Associate Administra- taken by the public authority to re-
tor’s decision in accordance with duce the Quiet Zone Risk Index. This
§ 222.57(c) of this part. Nothing in this commitment statement shall be pro-
section is intended to limit the Admin- vided to all parties listed in paragraph
istrator’s emergency authority under (d)(2) of this section no later than six
49 U.S.C. 20104 and 49 CFR part 211. months after the date on which the no-
(d) Termination by the public authority. tice of quiet zone termination was
(1) Any public authority that partici- mailed.
pated in the establishment of a quiet
(iii) Failure to comply with para-
zone under the provisions of this part
graphs (d)(3)(i) and (d)(3)(ii) of this sec-
may, at any time, withdraw its quiet
tion shall result in the termination of
zone status.
the remaining quiet zone(s) six months
(2) A public authority may withdraw
after the date on which the notice of
its quiet zone status by providing writ-
quiet zone termination was mailed by
ten notice of termination, by certified
mail, return receipt requested, to all the withdrawing public authority in
railroads operating the public highway- accordance with paragraph (d)(2) of
rail grade crossings within the quiet this section.
zone, the highway or traffic control au- (iv) Failure to complete implementa-
thority or law enforcement authority tion of SSMs and/or ASMs to reduce
having control over vehicular traffic at the Quiet Zone Risk Index to a level at,
the crossings within the quiet zone, the or below, the Nationwide Significant
landowner having control over any pri- Risk Index or the Risk Index With
vate crossings within the quiet zone, Horns, in accordance with the written
the State agency responsible for grade commitment provided under paragraph
crossing safety, the State agency re- (d)(3)(ii) of this section, shall result in
sponsible for highway and road safety, the termination of quiet zone status
and the Associate Administrator. three years after the date on which the
(3)(i) If the quiet zone that is being written commitment was received by
withdrawn was part of a multi-jurisdic- FRA.
tional quiet zone, the remaining quiet (e) Notification of termination. (1) In
zones may remain in effect, provided the event that a quiet zone is termi-
the public authorities responsible for nated under the provisions of this sec-
the remaining quiet zones provide tion, it shall be the responsibility of
statements to the Associate Adminis- the public authority to immediately
trator certifying that the Quiet Zone provide written notification of the ter-
Risk Index for each remaining quiet mination by certified mail, return re-
zone is at, or below, the Nationwide ceipt requested, to all railroads oper-
Significant Risk Threshold or the Risk ating over public highway-rail grade
Index With Horns. These statements crossings within the quiet zone, the
shall be provided, no later than six highway or traffic control authority or
298
law enforcement authority having con- when the Associate Administrator de-
trol over vehicular traffic at the cross- termines that such measures or stand-
ings within the quiet zone, the land- ards are an effective substitute for the
owner having control over any private locomotive horn in the prevention of
crossings within the quiet zone, the collisions and casualties at public
State agency responsible for grade highway-rail grade crossings.
crossing safety, the State agency re- (b) Interested parties may apply for
sponsible for highway and road safety, approval from the Associate Adminis-
and the Associate Administrator. trator to demonstrate proposed new
(2) Notwithstanding paragraph (e)(1) SSMs or ASMs to determine whether
of this section, if a quiet zone is termi- they are effective substitutes for the
nated under the provisions of this sec- locomotive horn in the prevention of
tion, FRA shall also provide written collisions and casualties at public
notification to all parties listed in highway-rail grade crossings.
paragraph (e)(1) of this section. (c) The Associate Administrator
(f) Requirement to sound the locomotive may, after notice and opportunity for
horn. Upon receipt of notification of comment, order railroad carriers oper-
quiet zone termination pursuant to ating over a public highway-rail grade
paragraph (e) of this section, railroads crossing or crossings to temporarily
shall, within seven days, and in accord- cease the sounding of locomotive horns
ance with the provisions of this part, at such crossings to demonstrate pro-
sound the locomotive horn when ap- posed new SSMs or ASMs, provided
proaching and passing through every that such proposed new SSMs or ASMs
public highway-rail grade crossing have been subject to prior testing and
within the former quiet zone. evaluation. In issuing such order, the
Associate Administrator may impose
§ 222.53 What are the requirements for any conditions or limitations on such
supplementary and alternative safe- use of the proposed new SSMs or ASMs
ty measures? which the Associate Administrator
(a) Approved SSMs are listed in ap- deems necessary in order to provide the
pendix A of this part. Approved SSMs level of safety at least equivalent to
can qualify for quiet zone risk reduc- that provided by the locomotive horn.
tion credit in the manner specified in (d) Upon completion of a demonstra-
appendix A of this part. tion of proposed new SSMs or ASMs,
(b) Additional ASMs that may be in- interested parties may apply to the As-
cluded in a request for FRA approval of sociate Administrator for their ap-
a quiet zone under § 222.39(b) of this proval. Applications for approval shall
part are listed in appendix B of this be in writing and shall include the fol-
part. Modified SSMs can qualify for lowing:
quiet zone risk reduction credit in the (1) The name and address of the ap-
manner specified in appendix B of this plicant;
part. (2) A description and design of the
(c) The following do not, individually proposed new SSM or ASM;
or in combination, constitute SSMs or (3) A description and results of the
ASMs: Standard traffic control device demonstration project in which the
arrangements such as reflectorized proposed SSMs or ASMs were tested;
crossbucks, STOP signs, flashing (4) Estimated costs of the proposed
lights, or flashing lights with gates new SSM or ASM; and
that do not completely block travel (5) Any other information deemed
over the line of railroad, or traffic sig- necessary.
nals. (e) If the Associate Administrator is
satisfied that the proposed safety
§ 222.55 How are new supplementary measure fully compensates for the ab-
or alternative safety measures ap- sence of the warning provided by the
proved? locomotive horn, the Associate Admin-
(a) The Associate Administrator may istrator will approve its use as an SSM
add new SSMs and standards to appen- to be used in the same manner as the
dix A of this part and new ASMs and measures listed in appendix A of this
standards to appendix B of this part part, or the Associate Administrator
299
§ 222.57 49 CFR Ch. II (10–1–07 Edition)
may approve its use as an ASM to be firm, modify, or revoke the decision of
used in the same manner as the meas- the Associate Administrator without
ures listed in appendix B of this part. further proceedings and shall notify
The Associate Administrator may im- the petitioner and other interested par-
pose any conditions or limitations on ties in writing or by publishing a no-
use of the SSMs or ASMs which the As- tice in the FEDERAL REGISTER.
sociate Administrator deems necessary (b) A public authority may request
in order to provide the level of safety reconsideration of a decision by the As-
at least equivalent to that provided by sociate Administrator to deny an appli-
the locomotive horn. cation by that authority for approval
(f) If the Associate Administrator ap- of a quiet zone, or to require additional
proves a new SSM or ASM, the Asso- safety measures, by filing a petition for
ciate Administrator will: Notify the reconsideration with the Associate Ad-
applicant, if any; publish notice of such ministrator. The petition must specify
action in the FEDERAL REGISTER; and the grounds for asserting that the As-
add the measure to the list of approved sociate Administrator improperly exer-
SSMs or ASMs. cised his/her judgment in finding that
(g) A public authority or other inter- the proposed SSMs and ASMs would
ested party may appeal to the Adminis- not result in a Quiet Zone Risk Index
trator from a decision by the Associate that would be at or below the Risk
Administrator granting or denying an Index With Horns or the Nationwide
application for approval of a proposed Significant Risk Threshold. The peti-
SSM or ASM, or the conditions or limi- tion shall be filed within 60 days of the
tations imposed on its use, in accord- date of the decision to be reconsidered
ance with § 222.57 of this part. and be served upon all parties listed in
§ 222.39(b)(3) of this part. Upon receipt
§ 222.57 Can parties seek review of the of a timely and proper petition, the As-
Associate Administrator’s actions? sociate Administrator will provide the
(a) A public authority or other inter- petitioner an opportunity to submit
ested party may petition the Adminis- additional materials and to request an
trator for review of any decision by the informal hearing. Upon review of the
Associate Administrator granting or additional materials and completion of
denying an application for approval of any hearing requested, the Associate
a new SSM or ASM under § 222.55 of this Administrator shall issue a decision on
part. The petition must be filed within the petition that will be administra-
60 days of the decision to be reviewed, tively final.
specify the grounds for the requested (c) A public authority may request
relief, and be served upon the following reconsideration of a decision by the As-
parties: All railroads ordered to tempo- sociate Administrator to terminate
rarily cease sounding of the locomotive quiet zone status by filing a petition
horn over public highway-rail grade for reconsideration with the Associate
crossings for the demonstration of the Administrator. The petition must be
proposed new SSM or ASM , the high- filed within 60 days of the date of the
way or traffic control authority or law decision, specify the grounds for the re-
enforcement authority having control quested relief, and be served upon all
over vehicular traffic at the crossings parties listed in § 222.51(c)(2) of this
affected by the new SSM/ASM dem- part. Unless the Associate Adminis-
onstration, the State agency respon- trator publishes a notice in the FED-
sible for grade crossing safety, the ERAL REGISTER that specifically stays
State agency responsible for highway the effectiveness of his/her decision,
and road safety, and the Associate Ad- the filing of a petition under this para-
ministrator. Unless the Administrator graph will not stay the termination of
specifically provides otherwise, and quiet zone status. Upon receipt of a
gives notice to the petitioner or pub- timely and proper petition, the Asso-
lishes a notice in the FEDERAL REG- ciate Administrator will provide the
ISTER, the filing of a petition under petitioner an opportunity to submit
this paragraph does not stay the effec- additional materials and to request an
tiveness of the action sought to be re- informal hearing. Upon review of the
viewed. The Administrator may reaf- additional materials and completion of
300
any hearing requested, the Associate (b) A public authority installing a

Administrator shall issue a decision on wayside horn at a grade crossing with-
the petition that will be administra- in a quiet zone shall provide written
tively final. A copy of this decision notice that a wayside horn is being in-
shall be served upon all parties listed stalled to all railroads operating over
in § 222.51(c)(2) of this part. the public highway-rail grade crossings
(d) A railroad may request reconsid- within the quiet zone, the highway or
eration of a decision by the Associate traffic control authority or law en-
Administrator to approve an applica- forcement authority having control
tion for approval of a proposed quiet over vehicular traffic at the crossings
zone under § 222.39(b) of this part by fil- within the quiet zone, the landowner
ing a petition for reconsideration with having control over any private cross-
the Associate Administrator. The peti- ings within the quiet zone, the State
tion must specify the grounds for as- agency responsible for grade crossing
serting that the Associate Adminis- safety, the State agency responsible for
trator improperly exercised his/her highway and road safety, and the Asso-
judgment in finding that the proposed ciate Administrator. This notice shall
SSMs and ASMs would result in a provide the date on which the wayside
Quiet Zone Risk Index that would be at horn will be operational and identify
or below the Risk Index With Horns or the grade crossing at which the way-
the Nationwide Significant Risk side horn shall be installed by both the
Threshold. The petition shall be filed U.S. DOT National Highway-Rail Grade
within 60 days of the date of the deci- Crossing Inventory Number and street
sion to be reconsidered, and be served or highway name. The railroad or pub-
upon all parties listed in § 222.39(b)(3) of lic authority shall provide notification
this part. Upon receipt of a timely and of the operational date at least 21 days
in advance.
proper petition, the Associate Adminis-
(c) A railroad or public authority in-
trator will provide the petitioner an
stalling a wayside horn at a grade
opportunity to submit additional mate-
crossing located outside a quiet zone
rials and to request an informal hear-
shall provide written notice that a
ing. Upon review of the additional ma-
wayside horn is being installed to all
terials and completion of any hearing
railroads operating over the public
requested, the Associate Administrator
highway-rail grade crossing, the high-
shall issue a decision that will be ad-
way or traffic control authority or law
ministratively final.
enforcement authority having control
§ 222.59 When may a wayside horn be over vehicular traffic at the crossing,
used? the State agency responsible for grade
crossing safety, the State agency re-
(a)(1) A wayside horn conforming to sponsible for highway and road safety,
the requirements of appendix E of this and the Associate Administrator. This
part may be used in lieu of a loco- notice shall provide the date on which
motive horn at any highway-rail grade the wayside horn will be operational
crossing equipped with an active warn- and identify the grade crossing at
ing system consisting of, at a min- which the wayside horn shall be in-
imum, flashing lights and gates. stalled by both the U.S. DOT National
(2) A wayside horn conforming to the Highway-Rail Grade Crossing Inven-
requirements of appendix E of this part tory Number and street or highway
may be installed within a quiet zone. name. The railroad or public authority
For purposes of calculating the length shall provide notification of the oper-
of a quiet zone, the presence of a way- ational date at least 21 days in ad-
side horn at a highway-grade crossing vance.
within a quiet zone shall be considered (d) A railroad operating over a grade
in the same manner as a grade crossing crossing equipped with an operational
treated with an SSM. A grade crossing wayside horn installed within a quiet
equipped with a wayside horn shall not zone pursuant to this section shall
be considered in calculating the Quiet cease routine locomotive horn use at
Zone Risk Index or Crossing Corridor the grade crossing. A railroad oper-
Risk Index. ating over a grade crossing that is
301
equipped with a wayside horn and lo- f. The system must be tamper and vandal
cated outside of a quiet zone shall resistant to the same extent as other traffic
cease routine locomotive horn use at control devices.
the grade crossing on the operational g. The closure system shall be equipped
date specified in the notice required by with a monitoring device that contains an
indicator which is visible to the train crew
paragraph (c) of this section.
prior to entering the crossing. The indicator
APPENDIX A TO PART 222—APPROVED shall illuminate whenever the closure device
is deployed.
SUPPLEMENTARY SAFETY MEASURES
Recommended:
A. Requirements and Effectiveness Rates for Signs for alternate highway traffic routes
Supplementary Safety Measures should be erected in accordance with MUTCD
This section provides a list of approved and State and local standards and should in-
supplementary safety measures (SSMs) that form pedestrians and motorists that the
may be installed at highway-rail grade cross- streets are closed, the period for which they
ings within quiet zones for risk reduction are closed, and that alternate routes must be
credit. Each SSM has been assigned an effec- used.
tiveness rate, which may be subject to ad- 2. Four-Quadrant Gate System: Install gates
justment as research and demonstration at a crossing sufficient to fully block high-
projects are completed and data is gathered way traffic from entering the crossing when
and refined. Sections B and C govern the the gates are lowered, including at least one
process through which risk reduction credit gate for each direction of traffic on each ap-
for pre-existing SSMs can be determined. proach.
1. Temporary Closure of a Public Highway- Effectiveness:
Rail Grade Crossing: Close the crossing to Four-quadrant gates only, no presence de-
highway traffic during designated quiet peri- tection: .82.
ods. (This SSM can only be implemented Four-quadrant gates only, with presence
within Partial Quiet Zones.)
detection: .77.
Effectiveness: 1.0.
Because an effective closure system pre- Four-quadrant gates with traffic of at least
vents vehicle entrance onto the crossing, the 60 feet (with or without presence detection):
probability of a collision with a train at the .92.
crossing is zero during the period the cross- NOTE: The higher effectiveness rate for
ing is closed. Effectiveness would therefore four-quadrant gates without presence detec-
equal 1. However, analysis should take into tion does not mean that they are inherently
consideration that traffic would need to be safer than four-quadrant gates with presence
redistributed among adjacent crossings or detection. Four-quadrant gates with pres-
grade separations for the purpose of esti- ence detection have been assigned a lower ef-
mating risk following the silencing of train fectiveness rate because motorists may learn
horns, unless the particular ‘‘closure’’ was to delay the lowering of the exit gates by
accomplished by a grade separation. driving onto the opposing lane of traffic im-
Required: mediately after an opposing car has driven
a. The closure system must completely over the grade crossing. Since the presence
block highway traffic on all approach lanes detection will keep the exit gate raised,
to the crossing. other motorists at the crossing who observe
b. The closure system must completely this scenario may also be tempted to take
block adjacent pedestrian crossings. advantage of the raised exit gate by driving
c. Public highway-rail grade crossings lo- around the lowered entrance gates, thus in-
cated within New Partial Quiet Zones shall creasing the potential for a crossing colli-
be closed from 10 p.m. until 7 a.m. every day.
sion.
Public highway-rail grade crossings located
It should, however, be noted that there are
within Pre-Rule Partial Quiet Zones may
only be closed during one period each 24 site-specific circumstances (such as nearby
hours. highway intersections that could cause traf-
d. Barricdes and signs used for closure of fic to back up and stop on the grade cross-
the roadway shall conform to the standards ing), under which the use of presence detec-
contained in the MUTCD. tion would be advisable. For this reason, the
e. Daily activation and deactivation of the various effectiveness rates assigned to four-
system is the responsibility of the public au- quadrant gate systems should not be the sole
thority responsible for maintenance of the determining factor as to whether presence
street or highway crossing the railroad detection would be advisable. A site-specific
tracks. The public authority may provide for study should be performed to determine the
third party activation and deactivation; best application for each proposed installa-
however, the public authority shall remain tion. Please refer to paragraphs (f) and (g)
fully responsible for compliance with the re- for more information.
quirements of this part. Required:
302
Four-quadrant gate systems shall conform g. A determination should be made as to
to the standards for four-quadrant gates con- whether it is necessary to provide vehicle
tained in the MUTCD and shall, in addition, presence detectors (VPDs) to open or keep
comply with the following: open the exit gates until all vehicles are
a. When a train is approaching, all high- clear of the crossing. VPD should be in-
way approach and exit lanes on both sides of stalled on one or both sides of the crossing
the highway-rail crossing must be spanned and/or in the surface between the rails clos-
by gates, thus denying to the highway user est to the field. Among the factors that
the option of circumventing the conven- should be considered are the presence of
tional approach lane gates by switching into intersecting roadways near the crossing, the
the opposing (oncoming) traffic lane in order priority that the traffic crossing the railroad
to enter the crossing and cross the tracks. is given at such intersections, the types of
b. Crossing warning systems must be acti- traffic control devices at those intersections,
vated by use of constant warning time de- and the presence and timing of traffic signal
vices unless existing conditions at the cross- preemption.
ing would prevent the proper operation of h. Highway approaches on one or both sides
the constant warning time devices. of the highway-rail crossing may be provided
c. Crossing warning systems must be with medians or channelization devices be-
equipped with power-out indicators. tween the opposing lanes. Medians should be
NOTE: Requirements b and c apply only to defined by a non-traversable curb or travers-
New Quiet Zones or New Partial Quiet Zones. able curb, or by reflectorized channelization
Constant warning time devices and power- devices, or by both.
out indicators are not required to be added i. Remote monitoring (in addition to
to existing warning systems in Pre-Rule power-out indicators, which are required) of
Quiet Zones and Pre-Rule Partial Quiet the status of these crossing systems is pref-
Zones. However, if existing automatic warn- erable. This is especially important in those
ing device systems in Pre-Rule Quiet Zones areas in which qualified railroad signal de-
and Pre-Rule Partial Quiet Zones are re- partment personnel are not readily avail-
newed, or new automatic warning device sys- able.
tems are installed, power-out indicators and 3. Gates With Medians or Channelization De-
constant warning time devices are required, vices: Install medians or channelization de-
unless existing conditions at the crossing vices on both highway approaches to a public
would prevent the proper operation of the highway-rail grade crossing denying to the
constant warning devices. highway user the option of circumventing
d. The gap between the ends of the en- the approach lane gates by switching into
trance and exit gates (on the same side of the opposing (oncoming) traffic lane and
the railroad tracks) when both are in the driving around the lowered gates to cross the
fully lowered, or down, position must be less tracks.
than two feet if no median is present. If the Effectiveness:
highway approach is equipped with a median Channelization devices—.75.
or a channelization device between the ap- Non-traversable curbs with or without
proach and exit lanes, the lowered gates channelization devices— .80.
must reach to within one foot of the median Required:
or channelization device, measured hori- a. Opposing traffic lanes on both highway
zontally across the road from the end of the approaches to the crossing must be separated
lowered gate to the median or channelization by either: (1) medians bounded by non-tra-
device or to a point over the edge of the me- versable curbs or (2) channelization devices.
dian or channelization device. The gate and b. Medians or channelization devices must
the median top or channelization device do extend at least 100 feet from the gate arm, or
not have to be at the same elevation. if there is an intersection within 100 feet of
e. ‘‘Break-away’’ channelization devices the gate, the median or channelization de-
must be frequently monitored to replace bro- vice must extend at least 60 feet from the
ken elements. gate arm.
Recommendations for new installations only: c. Intersections of two or more streets, or
f. Gate timing should be established by a a street and an alley, that are within 60 feet
qualified traffic engineer based on site spe- of the gate arm must be closed or relocated.
cific determinations. Such determination Driveways for private, residential properties
should consider the need for and timing of a (up to four units) within 60 feet of the gate
delay in the descent of the exit gates (fol- arm are not considered to be intersections
lowing descent of the conventional entrance under this part and need not be closed. How-
gates). Factors to be considered may include ever, consideration should be given to taking
available storage space between the gates steps to ensure that motorists exiting the
that is outside the fouling limits of the driveways are not able to move against the
track(s) and the possibility that traffic flows flow of traffic to circumvent the purpose of
may be interrupted as a result of nearby the median and drive around lowered gates.
intersections. This may be accomplished by the posting of
303
‘‘no left turn’’ signs or other means of notifi- configured with a non-traversable curb ex-
cation. For the purpose of this part, drive- tending at least 100 feet.
ways accessing commercial properties are c. Crossing warning systems must be acti-
considered to be intersections and are not al- vated by use of constant warning time de-
lowed. It should be noted that if a public au- vices unless existing conditions at the cross-
thority can not comply with the 60 feet or ing would prevent the proper operation of
100 feet requirement, it may apply to FRA the constant warning time devices.
for a quiet zone under § 222.39(b), ‘‘Public au- d. Crossing warning systems must be
thority application to FRA.’’ Such arrange- equipped with power-out indicators.
ment may qualify for a risk reduction credit NOTE: Requirements c and d apply only to
in calculation of the Quiet Zone Risk Index. New Quiet Zones and New Partial Quiet
Similarly, if a public authority finds that it Zones. Constant warning time devices and
is feasible to only provide channelization on power-out indicators are not required to be
one approach to the crossing, it may also added to existing warning systems in Pre-
apply to FRA for approval under § 222.39(b). Rule Quiet Zones or Pre-Rule Partial Quiet
Such an arrangement may also qualify for a Zones. If automatic warning systems are,
risk reduction credit in calculation of the however, installed or renewed in a Pre-Rule
Quiet Zone Risk Index. Quiet or Pre-Rule Partial Quiet Zone, power-
d. Crossing warning systems must be acti- out indicators and constant warning time de-
vated by use of constant warning time devices shall be installed, unless existing con-
vices unless existing conditions at the cross- ditions at the crossing would prevent the
ing would prevent the proper operation of proper operation of the constant warning
the constant warning time devices. time devices.
e. Crossing warning systems must be 5. Permanent Closure of a Public Highway-
equipped with power-out indicators. Note: Rail Grade Crossing: Permanently close the
Requirements d and e apply only to New crossing to highway traffic.
Quiet Zones and New Partial Quiet Zones. Effectiveness: 1.0.
Constant warning time devices and power- Required:
out indicators are not required to be added a. The closure system must completely
to existing warning systems in Pre-Rule block highway traffic from entering the
Quiet Zones or Pre-Rule Partial Quiet Zones. grade crossing.
However, if existing automatic warning de- b. Barricades and signs used for closure of
vice systems in Pre-Rule Quiet Zones and the roadway shall conform to the standards
Pre-Rule Partial Quiet Zones are renewed, or contained in the MUTCD.
new automatic warning device systems are c. The closure system must be tamper and
installed, power-out indicators and constant vandal resistant to the same extent as other
warning time devices are required, unless ex- traffic control devices.
isting conditions at the crossing would pre- d. Since traffic will be redistributed among
vent the proper operation of the constant adjacent crossings, the traffic counts for ad-
warning devices. jacent crossings shall be increased to reflect
f. The gap between the lowered gate and the diversion of traffic from the closed cross-
the curb or channelization device must be ing.
one foot or less, measured horizontally
B. Credit for Pre-Existing SSMs in New Quiet
across the road from the end of the lowered
Zones and New Partial Quiet Zones
gate to the curb or channelization device or
to a point over the curb edge or channeliza- A community that has implemented a pre-
tion device. The gate and the curb top or existing SSM at a public grade crossing can
channelization device do not have to be at receive risk reduction credit by inflating the
the same elevation. Risk Index With Horns as follows:
g. ‘‘Break-away’’ channelization devices 1. Calculate the current risk index for the
must be frequently monitored to replace bro- grade crossing that is equipped with a quali-
ken elements. fying, pre-existing SSM. (See appendix D.
4. One Way Street with Gate(s): Gate(s) must FRA’s web-based Quiet Zone Calculator may
be installed such that all approaching high- be used to complete this calculation.)
way lanes to the public highway-rail grade 2. Adjust the risk index by accounting for
crossing are completely blocked. the increased risk that was avoided by im-
Effectiveness: .82. plementing the pre-existing SSM at the pub-
Required: lic grade crossing. This adjustment can be
a. Gate arms on the approach side of the made by dividing the risk index by one
crossing should extend across the road to minus the SSM effectiveness rate. (For ex-
within one foot of the far edge of the pave- ample, the risk index for a crossing equipped
ment. If a gate is used on each side of the with pre-existing channelization devices
road, the gap between the ends of the gates would be divided by .25.)
when both are in the lowered, or down, posi- 3. Add the current risk indices for the
tion must be no more than two feet. other public grade crossings located within
b. If only one gate is used, the edge of the the proposed quiet zone and divide by the
road opposite the gate mechanism must be number of crossings. The resulting risk index
304
will be the new Risk Index With Horns for obtain risk reduction credit for pre-existing
the proposed quiet zone. modified SSMs under the final rule. Non-en-
gineering ASMs consist of programmed en-
C. Credit for Pre-Existing SSMs in Pre-Rule forcement, public education and awareness,
Quiet Zones and Pre-Rule Partial Quiet Zones and photo enforcement programs that may
A community that has implemented a pre- be used to reduce risk within a quiet zone.
existing SSM at a public grade crossing can Engineering ASMs consist of engineering im-
receive risk reduction credit by inflating the provements that address underlying geo-
Risk Index With Horns as follows: metric conditions, including sight distance,
1. Calculate the current risk index for the that are the source of increased risk at
grade crossing that is equipped with a quali- crossings.
fying, pre-existing SSM. (See appendix D.
FRA’s web-based Quiet Zone Calculator may I. MODIFIED SSMS
be used to complete this calculation.) A. Requirements and Effectiveness Rates for
2. Reduce the current risk index for the Modified SSMs
grade crossing to reflect the risk reduction
that would have been achieved if the loco- 1. If there are unique circumstances per-
motive horn was routinely sounded at the taining to a specific crossing or number of
crossing. The following list sets forth the es- crossings which prevent SSMs from being
timated risk reduction for certain types of fully compliant with all of the SSM require-
crossings: ments listed in appendix A, those SSM re-
a. Risk indices for passive crossings shall quirements may be adjusted or revised. In
be reduced by 43%; that case, the SSM, as modified by the public
b. Risk indices for grade crossings equipped authority, will be treated as an ASM under
with automatic flashing lights shall be re- this appendix B, and not as a SSM under ap-
duced by 27%; and pendix A. After reviewing the estimated safe-
c. Risk indices for gated crossings shall be ty effect of the modified SSM and the pro-
reduced by 40%. posed quiet zone, FRA will approve the pro-
3. Adjust the risk index by accounting for posed quiet zone if FRA finds that the Quiet
the increased risk that was avoided by im- Zone Risk Index will be reduced to a level at
plementing the pre-existing SSM at the pub- or below either the Risk Index With Horns or
lic grade crossing. This adjustment can be the Nationwide Significant Risk Threshold.
made by dividing the risk index by one 2. The public authority must provide esti-
minus the SSM effectiveness rate. (For ex- mates of effectiveness. These estimates may
ample, the risk index for a crossing equipped be based upon adjustments from the effec-
with pre-existing channelization devices tiveness levels provided in appendix A or
would be divided by .25.) from actual field data derived from the
4. Adjust the risk indices for the other crossing sites. The specific crossing and ap-
crossings that are included in the Pre-Rule plied mitigation measure will be assessed to
Quiet Zone or Pre-Rule Partial Quiet Zone determine the effectiveness of the modified
by reducing the current risk index to reflect SSM. FRA will continue to develop and
the risk reduction that would have been make available effectiveness estimates and
achieved if the locomotive horn was rou- data from experience under the final rule.
tinely sounded at each crossing. Please refer 3. If one or more of the requirements asso-
to step two for the list of approved risk re- ciated with an SSM as listed in appendix A
duction percentages by crossing type. is revised or deleted, data or analysis sup-
5. Add the new risk indices for each cross- porting the revision or deletion must be pro-
ing located within the proposed quiet zone vided to FRA for review. The following engi-
and divide by the number of crossings. The neering types of ASMs may be included in a
resulting risk index will be the new Risk proposal for approval by FRA for creation of
Index With Horns for the quiet zone. a quiet zone: (1) Temporary Closure of a Pub-
lic Highway-Rail Grade Crossing, (2) Four-
APPENDIX B TO PART 222—ALTERNATIVE Quadrant Gate System, (3) Gates With Medi-
SAFETY MEASURES ans or Channelization Devices, and (4) One-
Way Street With Gate(s).
Introduction
B. Credit for Pre-Existing Modified SSMs in
A public authority seeking approval of a
New Quiet Zones and New Partial Quiet Zones
quiet zone under public authority applica-
tion to FRA (§ 222.39(b)) may include ASMs A community that has implemented a pre-
listed in this appendix in its proposal. This existing modified SSM at a public grade
appendix addresses three types of ASMs: crossing can receive risk reduction credit by
Modified SSMs, Non-Engineering ASMs, and inflating the Risk Index With Horns as fol-
Engineering ASMs. Modified SSMs are SSMs lows:
that do not fully comply with the provisions 1. Calculate the current risk index for the
listed in appendix A. As provided in section grade crossing that is equipped with a pre-
I.B. of this appendix, public authorities can existing modified SSM. (See appendix D.
305
FRA’s web-based Quiet Zone Calculator may achieved if the locomotive horn was rou-
be used to complete this calculation.) tinely sounded at each crossing. Please refer
2. Obtain FRA approval of the estimated to step two for the list of approved risk re-
effectiveness rate for the pre-existing modi- duction percentages by crossing type.
fied SSM. Estimated effectiveness rates may 6. Add the new risk indices for each cross-
be based upon adjustments from the SSM ef- ing located within the proposed quiet zone
fectiveness rates provided in appendix A or and divide by the number of crossings. The
actual field data derived from crossing sites. resulting risk index will be the new Risk
3. Adjust the risk index by accounting for Index With Horns for the quiet zone.
the increased risk that was avoided by im-
plementing the pre-existing modified SSM at II. NON-ENGINEERING ASMS
the public grade crossing. This adjustment
can be made by dividing the risk index by A. The following non-engineering ASMs
one minus the FRA-approved modified SSM may be used in the creation of a Quiet Zone:
effectiveness rate. (The method for determining the effective-
4. Add the current risk indices for the ness of the non-engineering ASMs, the imple-
other public grade crossings located within mentation of the quiet zone, subsequent
the proposed quiet zone and divide by the monitoring requirements, and dealing with
number of crossings. The resulting risk index an unacceptable effectiveness rate is pro-
will be the new Risk Index With Horns for vided in paragraph B.)
the proposed quiet zone. 1. Programmed Enforcement: Community and
law enforcement officials commit to a sys-
C. Credit for Pre-Existing Modified SSMs in tematic and measurable crossing monitoring
Pre-Rule Quiet Zones and Pre-Rule Partial and traffic law enforcement program at the
Quiet Zones public highway-rail grade crossing, alone or
A community that has implemented a pre- in combination with the Public Education
existing modified SSM at a public grade and Awareness ASM.
crossing can receive risk reduction credit by Required:
inflating the Risk Index With Horns as fol- a. Subject to audit, a statistically valid
lows: baseline violation rate must be established
1. Calculate the current risk index for the through automated or systematic manual
grade crossing that is equipped with a pre- monitoring or sampling at the subject cross-
existing modified SSM. (See appendix D. ing(s); and
FRA’s web-based Quiet Zone Calculator may b. A law enforcement effort must be de-
be used to complete this calculation.) fined, established and continued along with
2. Reduce the current risk index for the continual or regular monitoring that pro-
grade crossing to reflect the risk reduction vides a statistically valid violation rate that
that would have been achieved if the loco- indicates the effectiveness of the law en-
motive horn was routinely sounded at the forcement effort.
crossing. The following list sets forth the es- c. The public authority shall retain records
timated risk reduction for certain types of pertaining to monitoring and sampling ef-
crossings: forts at the grade crossing for a period of not
a. Risk indices for passive crossings shall less than five years. These records shall be
be reduced by 43%; made available, upon request, to FRA as pro-
b. Risk indices for grade crossings equipped vided by 49 U.S.C. 20107.
with automatic flashing lights shall be re-
2. Public Education and Awareness: Conduct,
duced by 27%; and
c. Risk indices for gated crossings shall be alone or in combination with programmed
reduced by 40%. law enforcement, a program of public edu-
3. Obtain FRA approval of the estimated cation and awareness directed at motor vehi-
effectiveness rate for the pre-existing modi- cle drivers, pedestrians and residents near
fied SSM. Estimated effectiveness rates may the railroad to emphasize the risks associ-
be based upon adjustments from the SSM ef- ated with public highway-rail grade cross-
fectiveness rates provided in appendix A or ings and applicable requirements of state
actual field data derived from crossing sites. and local traffic laws at those crossings.
4. Adjust the risk index by accounting for Requirements:
the increased risk that was avoided by im- a. Subject to audit, a statistically valid
plementing the pre-existing modified SSM at baseline violation rate must be established
the public grade crossing. This adjustment through automated or systematic manual
can be made by dividing the risk index by monitoring or sampling at the subject cross-
one minus the FRA-approved modified SSM ing(s); and
effectiveness rate. b. A sustainable public education and
5. Adjust the risk indices for the other awareness program must be defined, estab-
crossings that are included in the Pre-Rule lished and continued along with continual or
Quiet Zone or Pre-Rule Partial Quiet Zone regular monitoring that provides a statis-
by reducing the current risk index to reflect tically valid violation rate that indicates the
the risk reduction that would have been effectiveness of the public education and
306
awareness effort. This program shall be pro- made available, upon request, to FRA as pro-
vided and supported primarily through local vided by 49 U.S.C. 20107.
resources. B. The effectiveness of an ASM will be de-
c. The public authority shall retain records termined as follows:
pertaining to monitoring and sampling ef- 1. Establish the quarterly (three months)
forts at the grade crossing for a period of not baseline violation rates for each crossing in
less than five years. These records shall be the proposed quiet zone.
made available, upon request, to FRA as pro- a. A violation in this context refers to a
vided by 49 U.S.C. 20107. motorist not complying with the automatic
3. Photo Enforcement: This ASM entails warning devices at the crossing (not stopping
automated means of gathering valid photo- for the flashing lights and driving over the
graphic or video evidence of traffic law viola- crossing after the gate arms have started to
tions at a public highway-rail grade crossing descend, or driving around the lowered gate
together with follow-through by law enforce- arms). A violation does not have to result in
ment and the judiciary. a traffic citation for the violation to be con-
Requirements: sidered.
a. State law authorizing use of photo- b. Violation data may be obtained by any
graphic or video evidence both to bring method that can be shown to provide a sta-
charges and sustain the burden of proof that tistically valid sample. This may include the
a violation of traffic laws concerning public use of video cameras, other technologies
highway-rail grade crossings has occurred, (e.g., inductive loops), or manual observa-
accompanied by commitment of administra- tions that capture driver behavior when the
tive, law enforcement and judicial officers to automatic warning devices are operating.
enforce the law; c. If data is not collected continuously dur-
b. Sanction includes sufficient minimum ing the quarter, sufficient detail must be
fine (e.g., $100 for a first offense, ‘‘points’’ to- provided in the application in order to vali-
ward license suspension or revocation) to date that the methodology used results in a
deter violations; statistically valid sample. FRA recommends
c. Means to reliably detect violations (e.g., that at least a minimum of 600 samples (one
loop detectors, video imaging technology); sample equals one gate activation) be col-
d. Photographic or video equipment de- lected during the baseline and subsequent
ployed to capture images sufficient to docu- quarterly sample periods.
ment the violation (including the face of the d. The sampling methodology must take
driver, if required to charge or convict under measures to avoid biases in their sampling
state law). technique. Potential sampling biases could
NOTE: This does not require that each include: Sampling on certain days of the
crossing be continually monitored. The ob- week but not others; sampling during certain
jective of this option is deterrence, which times of the day but not others; sampling
may be accomplished by moving photo/video immediately after implementation of an
equipment among several crossing locations, ASM while the public is still going through
as long as the motorist perceives the strong an adjustment period; or applying one sam-
possibility that a violation will lead to sanc- ple method for the baseline rate and another
tions. Each location must appear identical to for the new rate.
the motorist, whether or not surveillance e. The baseline violation rate should be ex-
equipment is actually placed there at the pressed as the number of violations per gate
particular time. Surveillance equipment activations in order to normalize for unequal
should be in place and operating at each gate activations during subsequent data col-
crossing at least 25 percent of each calendar lection periods.
quarter. f. All subsequent quarterly violation rate
e. Appropriate integration, testing and calculations must use the same methodology
maintenance of the system to provide evi- as stated in this paragraph unless FRA au-
dence supporting enforcement; thorizes another methodology.
f. Public awareness efforts designed to re-
2. The ASM should then be initiated for
inforce photo enforcement and alert motor-
each crossing. Train horns are still being
ists to the absence of train horns;
sounded during this time period.
g. Subject to audit, a statistically valid
3. In the calendar quarter following initi-
baseline violation rate must be established
ation of the ASM, determine a new quarterly
through automated or systematic manual
violation rate using the same methodology
monitoring or sampling at the subject cross-
as in paragraph (1) above.
ing(s); and
4. Determine the violation rate reduction
h. A law enforcement effort must be de-
for each crossing by the following formula:
fined, established and continued along with
continual or regular monitoring. Violation rate reduction = (new rate ¥ base-
i. The public authority shall retain records line rate)/baseline rate
pertaining to monitoring and sampling ef- 5. Determine the effectiveness rate of the
forts at the grade crossing for a period of not ASM for each crossing by multiplying the
less than five years. These records shall be violation rate reduction by .78.
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6. Using the effectiveness rates for each tistically valid sample. This may include the
grade crossing treated by an ASM, determine use of video cameras, other technologies (e.g.
the Quiet Zone Risk Index. If and when the inductive loops), or manual observations
Quiet Zone Risk Index for the proposed quiet that capture driver behavior when the auto-
zone has been reduced to a level at, or below, matic warning devices are operating.
the Risk Index With Horns or the Nationwide c. If data is not collected continuously dur-
Significant Risk Threshold, the public au- ing the quarter, sufficient detail must be
thority may apply to FRA for approval of provided in the application in order to vali-
the proposed quiet zone. Upon receiving writ- date that the methodology used results in a
ten approval of the quiet zone application statistically valid sample. FRA recommends
from FRA, the public authority may then that at least a minimum of 600 samples (one
proceed with notifications and implementa- sample equals one gate activation) be col-
tion of the quiet zone. lected during the baseline and subsequent
7. Violation rates must be monitored for quarterly sample periods.
the next two calendar quarters and every d. The sampling methodology must take
second quarter thereafter. If, after five years measures to avoid biases in their sampling
from the implementation of the quiet zone, technique. Potential sampling biases could
the violation rate for any quarter has never include: Sampling on certain days of the
exceeded the violation rate that was used to week but not others; sampling during certain
determine the effectiveness rate that was ap- times of the day but not others; sampling
proved by FRA, violation rates may be mon- immediately after implementation of an
itored for one quarter per year. ASM while the public is still going through
8. In the event that the violation rate is an adjustment period; or applying one sam-
ever greater than the violation rate used to ple method for the baseline rate and another
determine the effectiveness rate that was ap- for the new rate.
proved by FRA, the public authority may e. The baseline violation rate should be ex-
continue the quiet zone for another quarter. pressed as the number of violations per gate
If, in the second quarter the violation rate is activations in order to normalize for unequal
still greater than the rate used to determine gate activations during subsequent data col-
the effectiveness rate that was approved by lection periods.
FRA, a new effectiveness rate must be cal- f. All subsequent quarterly violation rate
culated and the Quiet Zone Risk Index re- calculations must use the same methodology
calculated using the new effectiveness rate. as stated in this paragraph unless FRA au-
If the new Quiet Zone Risk Index indicates thorizes another methodology.
that the ASM no longer fully compensates 2. The Engineering ASM should be initi-
for the lack of a train horn, or that the risk ated at the crossing. Train horns are still
level is equal to, or exceeds the National Sig- being sounded during this time period.
nificant Risk Threshold, the procedures for 3. In the calendar quarter following initi-
dealing with unacceptable effectiveness after ation of the Engineering ASM, determine a
establishment of a quiet zone should be fol-
new quarterly violation rate using the same
lowed.
methodology as in paragraph (1) above.
III. ENGINEERING ASMS 4. Determine the violation rate reduction
for the crossing by the following formula:
A. Engineering improvements, other than
Violation rate reduction = (new rate ¥ base-
modified SSMs, may be used in the creation
line rate)/baseline rate
of a Quiet Zone. These engineering improve-
ments, which will be treated as ASMs under 5. Using the Engineering ASM effectiveness
this appendix, may include improvements rate, determine the Quiet Zone Risk Index. If
that address underlying geometric condi- and when the Quiet Zone Risk Index for the
tions, including sight distance, that are the proposed quiet zone has been reduced to a
source of increased risk at the crossing. risk level at or below the Risk Index With
B. The effectiveness of an Engineering Horns or the Nationwide Significant Risk
ASM will be determined as follows: Threshold, the public authority may apply
1. Establish the quarterly (three months) to FRA for approval of the quiet zone. Upon
baseline violation rate for the crossing at receiving written approval of the quiet zone
which the Engineering ASM will be applied. application from FRA, the public authority
a. A violation in this context refers to a may then proceed with notifications and im-
motorist not complying with the automatic plementation of the quiet zone.
warning devices at the crossing (not stopping 6. Violation rates must be monitored for
for the flashing lights and driving over the the next two calendar quarters. Unless oth-
crossing after the gate arms have started to erwise provided in FRA’s notification of
descend, or driving around the lowered gate quiet zone approval, if the violation rate for
arms). A violation does not have to result in these two calendar quarters does not exceed
a traffic citation for the violation to be con- the violation rate that was used to deter-
sidered. mine the effectiveness rate that was ap-
b. Violation data may be obtained by any proved by FRA, the public authority can
method that can be shown to provide a sta- cease violation rate monitoring.
308
7. In the event that the violation rate over Section V of the Guide provides examples
either of the next two calendar quarters are of quiet zone implementation.
greater than the violation rate used to deter-
mine the effectiveness rate that was ap- SECTION I—OVERVIEW
proved by FRA, the public authority may In order for a quiet zone to be qualified
continue the quiet zone for a third calendar under this rule, it must be shown that the
quarter. However, if the third calendar quar- lack of the train horn does not present a sig-
ter violation rate is also greater than the nificant risk with respect to loss of life or se-
rate used to determine the effectiveness rate rious personal injury, or that the significant
that was approved by FRA, a new effective- risk has been compensated for by other
ness rate must be calculated and the Quiet means. The rule provides four basic ways in
Zone Risk Index re-calculated using the new which a quiet zone may be established. Cre-
effectiveness rate. If the new Quiet Zone ation of both New Quiet Zones and Pre-Rule
Risk Index exceeds the Risk Index With Quiet Zones are based on the same general
Horns and the Nationwide Significant Risk guidelines; however, there are a number of
Threshold, the procedures for dealing with differences that will be noted in the discus-
unacceptable effectiveness after establish- sion on Pre-Rule Quiet Zones.
ment of a quiet zone should be followed.
A. Qualifying Conditions
APPENDIX C TO PART 222—GUIDE TO (1) One of the following four conditions or
ESTABLISHING QUIET ZONES scenarios must be met in order to show that
the lack of the train horn does not present a
Introduction significant risk, or that the significant risk
has been compensated for by other means:
This Guide to Establishing Quiet Zones
a. One or more SSMs as identified in ap-
(Guide) is divided into five sections in order
pendix A are installed at each public cross-
to address the variety of methods and condi-
ing in the quiet zone; or
tions that affect the establishment of quiet
b. The Quiet Zone Risk Index is equal to,
zones under this rule.
or less than, the Nationwide Significant Risk
Section I of the Guide provides an overview Threshold without implementation of addi-
of the different ways in which a quiet zone tional safety measures at any crossings in
may be established under this rule. This in- the quiet zone; or
cludes a brief discussion on the safety c. Additional safety measures are imple-
thresholds that must be attained in order for mented at selected crossings resulting in the
train horns to be silenced and the relative Quiet Zone Risk Index being reduced to a
merits of each. It also includes the two gen- level equal to, or less than, the Nationwide
eral methods that may be used to reduce risk Significant Risk Threshold; or
in the proposed quiet zone, and the different d. Additional safety measures are taken at
impacts that the methods have on the quiet selected crossings resulting in the Quiet
zone implementation process. This section Zone Risk Index being reduced to at least
also discusses Partial (e.g. night time only the level of the Risk Index With Horns (that
quiet zones) and Intermediate Quiet Zones. is, the risk that would exist if train horns
An Intermediate Quiet Zone is one where were sounded at every public crossing in the
horn restrictions were in place after October quiet zone).
9, 1996, but as of December 18, 2003. (2) It is important to consider the implica-
Section II of the Guide provides informa- tions of each approach before deciding which
tion on establishing New Quiet Zones. A New one to use. If a quiet zone is qualified based
Quiet Zone is one at which train horns are on reference to the Nationwide Significant
currently being sounded at crossings. The Risk Threshold (i.e. the Quiet Zone Risk
Public Authority Designation and Public Au- Index is equal to, or less than, the Nation-
thority Application to FRA methods will be wide Significant Risk Threshold—see the
discussed in depth. second and third scenarios above), then an
Section III of the Guide provides informa- annual review will be done by FRA to deter-
tion on establishing Pre-Rule Quiet Zones. A mine if the Quiet Zone Risk Index remains
Pre-Rule Quiet Zone is one where train horns equal to, or less than, the Nationwide Sig-
were not routinely sounded as of October 9, nificant Risk Threshold. Since the Nation-
1996 and December 18, 2003. The differences wide Significant Risk Threshold and the
between New and Pre-Rule Quiet Zones will Quiet Zone Risk Index may change from year
be explained. Public Authority Designation to year, there is no guarantee that the quiet
and Public Authority Application to FRA zone will remain qualified. The cir-
methods also apply to Pre-Rule Quiet Zones. cumstances that cause the disqualification
Section IV of the Guide deals with the re- may not be subject to the control of the pub-
quired notifications that must be provided lic authority. For example, an overall na-
by public authorities when establishing both tional improvement in safety at gated cross-
New and continuing Pre-Rule or Inter- ings may cause the Nationwide Significant
mediate Quiet Zones. Risk Threshold to fall. This may cause the
309
Quiet Zone Risk Index to become greater cision making process (http://www.fra.dot.gov/
than the Nationwide Significant Risk us/content/1337). The Quiet Zone Calculator
Threshold. If the quiet zone is no longer will allow the public authority to consider a
qualified, then the public authority will have variety of options in determining which
to take additional measures, and may incur SSMs make the most sense. It will also per-
additional costs that might not have been form the necessary calculations used to de-
budgeted, to once again lower the Quiet Zone termine the existing risk level and whether
Risk Index to at least the Nationwide Sig- enough risk has been mitigated in order to
nificant Risk Threshold in order to retain create a quiet zone under this rule.
the quiet zone. Therefore, while the initial
cost to implement a quiet zone under the B. Risk Reduction Methods
second or third scenario may be lower than
FRA has established two general methods
the other options, these scenarios also carry
to reduce risk in order to have a quiet zone
a degree of uncertainty about the quiet
qualify under this rule. The method chosen
zone’s continued existence.
impacts the manner in which the quiet zone
(3) The use of the first or fourth scenarios
is implemented.
reduces the risk level to at least the level
that would exist if train horns were sounding 1. Public Authority Designation (SSMs)—The
in the quiet zone. These methods may have Public Authority Designation method
higher initial costs because more safety (§ 222.39(a)) involves the use of SSMs (see ap-
measures may be necessary in order to pendix A) at some or all crossings within the
achieve the needed risk reduction. Despite quiet zone. The use of only SSMs to reduce
the possibility of greater initial costs, there risk will allow a public authority to des-
are several benefits to these methods. The ignate a quiet zone without approval from
installation of SSMs at every crossing will FRA. If the public authority installs SSMs
provide the greatest safety benefit of any of at every crossing within the quiet zone, it
the methods that may be used to initiate a need not demonstrate that they will reduce
quiet zone. With both of these methods (first the risk sufficiently in order to qualify under
and fourth scenarios), the public authority the rule since FRA has already assessed the
will never need to be concerned about the ability of the SSMs to reduce risk. In other
Nationwide Significant Risk Threshold, an- words, the Quiet Zone Calculator does not
nual reviews of the Quiet Zone Risk Index, or need to be used. However, if only SSMs are
failing to be qualified because the Quiet installed within the quiet zone, but not at
Zone Risk Index is higher than the Nation- every crossing, the public authority must
wide Significant Risk Threshold. Public au- calculate that sufficient risk reduction will
thorities are strongly encouraged to care- be accomplished by the SSMs. Once the im-
fully consider both the pros and cons of all of provements are made, the public authority
the methods and to choose the method that must make the required notifications (which
will best meet the needs of its citizens by includes a copy of the report generated by
providing a safer and quieter community. the Quiet Zone Calculator showing that the
(4) For the purposes of this Guide, the term risk in the quiet zone has been sufficiently
‘‘Risk Index with Horns’’ is used to represent reduced), and the quiet zone may be imple-
the level of risk that would exist if train mented. FRA does not need to approve the
horns were sounded at every public crossing plan as it has already assessed the ability of
in the proposed quiet zone. If a public au- the SSMs to reduce risk.
thority decides that it would like to fully 2. Public Authority Application to FRA
compensate for the lack of a train horn and (ASMs)—The Public Authority Application
not install SSMs at each public crossing in to FRA method (§ 222.39(b)) involves the use
the quiet zone, it must reduce the Quiet ASMs (see appendix B). ASMs include modi-
Zone Risk Index to a level that is equal to, fied SSMs that do not fully comply with the
or less than, the Risk Index with Horns. The provisions found in appendix A (e.g., shorter
Risk Index with Horns is similar to the Na- than required traffic channelization devices),
tionwide Significant Risk Threshold in that non-engineering ASMs (e.g., programmed
both are targets that must be reached in law enforcement), and engineering ASMs
order to establish a quiet zone under the (i.e., engineering improvements other than
rule. Quiet zones that are established by re- modified SSMs). If the use of ASMs (or a
ducing the Quiet Zone Risk Index to at least combination of ASMs and SSMs) is elected
the level of the Nationwide Significant Risk to reduce risk, then the public authority
Threshold will be reviewed annually by FRA must provide a Notice of Intent and then
to determine if they still qualify under the apply to FRA for approval of the quiet zone.
rule to retain the quiet zone. Quiet zones The application must contain sufficient data
that are established by reducing the Quiet and analysis to confirm that the proposed
Zone Risk Index to at least the level of the ASMs do indeed provide the necessary risk
Risk Index with Horns will not be subject to reduction. FRA will review the application
annual reviews. and will issue a formal approval if it deter-
(5) The use of FRA’s web-based Quiet Zone mines that risk is reduced to a level that is
Calculator is recommended to aid in the de- necessary in order to comply with the rule.
310
Once FRA approval has been received and ing should be considered when computing the
the safety measures fully implemented, the Quiet Zone Risk Index.
public authority would then provide a Notice Example: A proposed New Quiet Zone con-
of Quiet Zone Establishment and the quiet tains four crossings: A, B, C and D streets.
zone may be implemented. The use of non- All streets are equipped with flashing lights
engineering ASMs will require continued and gates. C Street is a busy crossing with a
monitoring and analysis throughout the ex- traffic count of 25,000 vehicles per day. It is
istence of the quiet zone to ensure that risk decided that C Street will be grade separated
continues to be reduced. as part of the project and the existing at-
3. Calculating Risk Reduction—The fol- grade crossing closed. Compute the risk indi-
lowing should be noted when calculating risk ces for all four streets. Calculate the Cross-
reductions in association with the establishing Corridor Risk Index, which will also be
ment of a quiet zone. This information per- the Risk Index with Horns, by averaging the
tains to both New Quiet Zones and Pre-Rule risk indices for all four of the crossings. To
Quiet Zones and to the Public Authority calculate the Quiet Zone Risk Index, first re-
Designation and Public Authority Applica- calculate the risk indices for B and D streets
tion to FRA methods. by decreasing the traffic count for each
Crossing closures: If any public crossing crossing by 1,200. (The public authority de-
within the quiet zone is proposed to be cided that 2,400 motorists will decide to use
closed, include that crossing when calcu- the grade separation at C Street in order to
lating the Risk Index with Horns. The effec- avoid possible delays caused by passing
tiveness of a closure is 1.0. However, be sure trains.) Increase the risk indices for A, B and
to increase the traffic counts at other cross- D streets by 66.8% and divide the sum of the
ings within the quiet zone and recalculate three remaining crossings by four. This is
the risk indices for those crossings that will the initial Quiet Zone Risk Index and ac-
handle the traffic diverted from the closed counts for the risk reduction caused by the
crossing. It should be noted that crossing grade separation at C Street.
closures that are already in existence are not Pre-Existing SSMs: Risk reduction credit
considered in the risk calculations. may be taken by a public authority for a
Example: A proposed New Quiet Zone con- SSM that was previously implemented and is
tains four crossings: A, B, C and D streets. A, currently in place in the quiet zone. If an ex-
B and D streets are equipped with flashing isting improvement meets the criteria for a
lights and gates. C Street is a passive SSM as provided in appendix A, the improve-
crossbuck crossing with a traffic count of 400 ment is deemed a Pre-Existing SSM. Risk re-
vehicles per day. It is decided that C Street duction credit is obtained by inflating the
will be closed as part of the project. Compute Risk Index With Horns to show what the risk
the risk indices for all four streets. The cal- would have been at the crossing if the pre-ex-
culation for C Street will utilize flashing isting SSM had not been implemented.
lights and gates as the warning device. Cal- Crossing closures and grade separations that
culate the Crossing Corridor Risk Index by occurred prior to the implementation of the
averaging the risk indices for all four of the quiet zone are not Pre-Existing SSMs and do
crossings. This value will also be the Risk not receive any risk reduction credit.
Index with Horns since train horns are cur- Example 1—A proposed New Quiet Zone has
rently being sounded. To calculate the Quiet one crossing that is equipped with flashing
Zone Risk Index, first re-calculate the risk lights and gates and has medians 100 feet in
indices for B and D streets by increasing the length on both sides of the crossing. The me-
traffic count for each crossing by 200. (As- dians conform to the requirements in appen-
sume for this example that the public au- dix A and qualify as a Pre-Existing SSM. The
thority decided that the traffic from C risk index as calculated for the crossing is
Street would be equally divided between B 10,000. To calculate the Risk Index With
and D streets.) Increase the risk indices for Horns for this crossing, you divide the risk
A, B and D streets by 66.8% and divide the index by difference between one and the ef-
sum of the three remaining crossings by fectiveness rate of the pre-existing SSM
four. This is the initial Quiet Zone Risk (10,000 ÷ (1–0.75) = 40,000). This value (40,000)
Index and accounts for the risk reduction would then be averaged in with the risk indi-
caused by closing C Street. ces of the other crossings to determine the
Grade Separation: Grade separated cross- proposed quiet zone’s Risk Index With Horns.
ings that were in existence before the cre- To calculate the Quiet Zone Risk Index, the
ation of a quiet zone are not included in any original risk index is increased by 66.8% to
of the calculations. However, any public account for the additional risk attributed to
crossings within the quiet zone that are pro- the absence of the train horn (10,000 × 1.668 =
posed to be treated by grade separation 16,680). This value (16,680) is then averaged
should be treated in the same manner as into the risk indices of the other crossings
crossing closures. Highway traffic that may that have also been increased by 66.8%. The
be diverted from other crossings within the resulting average is the Quiet Zone Risk
quiet zone to the new grade separated cross- Index.
311
Example 2—A Pre-Rule Quiet Zone con- and D streets by 66.8% and average the re-
sisting of four crossings has one crossing sults. This is the initial Quiet Zone Risk
that is equipped with flashing lights and Index for the proposed quiet zone.
gates and has medians 100 feet in length on
both sides of the crossing. The medians con- C. Partial Quiet Zones
form to the requirements in appendix A and
qualify as a Pre-Existing SSM. The risk A Partial Quiet Zone is a quiet zone in
index as calculated for the crossing is 20,000. which locomotive horns are not routinely
To calculate the Risk Index With Horns for sounded at public crossings for a specified
this crossing, first reduce the risk index by period of time each day. For example, a quiet
40 percent to reflect the risk reduction that zone during only the nighttime hours would
would be achieved if train horns were rou- be a partial quiet zone. Partial quiet zones
tinely sounded (20,000 × 0.6 = 12,000). Next, di- may be either New or Pre-Rule and follow
vide the resulting risk index by difference the same rules as 24 hour quiet zones. New
between one and the effectiveness rate of the Partial Quiet Zones must be in effect during
pre-existing SSM (12,000 ÷ (1 ¥ 0.75) = 48,000). the hours of 10 p.m. to 7 a.m. All New Partial
This value (48,000) would then be averaged Quiet Zones must comply with all of the re-
with the adjusted risk indices of the other quirements for New Quiet Zones. For exam-
crossings to determine the pre-rule quiet ple, all public grade crossings that are open
zone’s Risk Index With Horns. To calculate during the time that horns are silenced must
the Quiet Zone Risk Index, the original risk be equipped with flashing lights and gates
index (20,000) is then averaged into the risk that are equipped with constant warning
original indices of the other crossings. The time (where practical) and power out indica-
resulting average is the Quiet Zone Risk
tors. Risk is calculated in exactly the same
Index.
manner as for New Quiet Zones. The Quiet
Pre-Existing Modified SSMs: Risk reduction Zone Risk Index is calculated for the entire
credit may be taken by a public authority 24-hour period, even though the train horn
for a modified SSM that was previously im- will only be silenced during the hours of 10
plemented and is currently in place in the
p.m. to 7 a.m.
quiet zone. Modified SSMs are Alternative
Safety Measures which must be approved by A Pre-Rule Partial Quiet Zone is a partial
FRA. If an existing improvement is approved quiet zone at which train horns were not
by FRA as a modified SSM as provided in ap- sounding as of October 9, 1996 and on Decem-
pendix B, the improvement is deemed a Pre- ber 18, 2003. All of the regulations that per-
Existing Modified SSM. Risk reduction cred- tain to Pre-Rule Quiet Zones also pertain to
it is obtained by inflating the Risk Index Pre-Rule Partial Quiet Zones. The Quiet
With Horns to show what the risk would Zone Risk Index is calculated for the entire
have been at the crossing if the pre-existing 24-hour period for Pre-Rule Partial Quiet
SSM had not been implemented. The effec- Zones, even though train horns are only si-
tiveness rate of the modified SSM will be de- lenced during the nighttime hours. Pre-Rule
termined by FRA. The public authority may Partial Quiet Zones may qualify for auto-
provide information to FRA to be used in de- matic approval in the same manner as Pre-
termining the effectiveness rate of the modi- Rule Quiet Zones with one exception. If the
fied SSM. Once an effectiveness rate has Quiet Zone Risk Index is less than twice the
been determined, follow the procedure pre- National Significant Risk Threshold, and
viously discussed for Pre-Existing SSMs to there have been no relevant collisions during
determine the risk values that will be used the time period when train horns are si-
in the quiet zone calculations. lenced, then the Pre-Rule Partial Quiet Zone
Wayside Horns: Crossings with wayside is automatically qualified. In other words, a
horn installations will be treated as a one for relevant collision that occurred during the
one substitute for the train horn and are not period of time that train horns were sounded
to be included when calculating the Crossing will not disqualify a Pre-Rule Partial Quiet
Corridor Risk Index, the Risk Index with
Zone that has a Quiet Zone Risk Index that
Horns or the Quiet Zone Risk Index.
is less than twice the National Significant
Example—A proposed New Quiet Zone con- Risk Index. Pre-Rule Partial Quiet Zones
tains four crossings: A, B, C and D streets. must provide the notification as required in
All streets are equipped with flashing lights § 222.43 in order to keep train horns silenced.
and gates. It is decided that C Street will A Pre-Rule Partial Quiet Zone may be con-
have a wayside horn installed. Compute the
verted to a 24 hour New Quiet Zone by com-
risk indices for A, B and D streets. Since C
plying with all of the New Quiet Zone regula-
Street is being treated with a wayside horn,
tions.
it is not included in the calculation of risk.
Calculate the Crossing Corridor Risk Index D. Intermediate Quiet Zones
by averaging the risk indices for A, B and D
streets. This value is also the Risk Index An Intermediate Quiet Zone is one where
with Horns. Increase the risk indices for A, B horn restrictions were in place after October
312
9, 1996, but as of December 18, 2003 (the publi- rate Inventory information for the crossings.
cation date of the Interim Final Rule). Inter- The railroad can provide information on
mediate Quiet Zones and Intermediate Par- whether the flashing lights and gates are
tial Quiet Zones will be able to keep train equipped with constant warning time and
horns silenced until June 24, 2006, provided power out indicators. Pedestrian crossings
notification is made per § 222.43. This will en- and private crossings with public access, in-
able public authority to have additional dustrial or commercial use that are within
time to make the improvement necessary to the quiet zone must have a diagnostic team
come into compliance with the rule. Inter- review and be treated according to the
mediate Quiet Zones must conform to all the team’s recommendations. Railroads and the
requirements for New Quiet Zones by June State agency responsible for grade crossing
24, 2006. Other than having the horn silenced safety must be invited to the diagnostic
for an additional year, Intermediate Quiet team review. Note: Please see Section IV for
Zones are treated exactly like New Quiet details on the requirements of a Notice of In-
Zones. tent.
2. Determine all public, private and pedes-
SECTION II—NEW QUIET ZONES trian at-grade crossings that will be included
FRA has established several approaches within the quiet zone. Also, determine any
that may be taken in order to establish a existing grade-separated crossings that fall
within the quiet zone. Each crossing must be
New Quiet Zone under this rule. Please see
identified by the U.S. DOT Crossing Inven-
the preceding discussions on ‘‘Qualifying
tory number and street or highway name. If
Conditions’’ and ‘‘Risk Reduction Methods’’
a crossing does not have a U.S. DOT Crossing
to assist in the decision-making process on
Inventory number, then contact FRA’s Of-
which approach to take. This following dis-
fice of Safety (202–493–6299) for assistance.
cussion provides the steps necessary to es-
3. Ensure that the quiet zone will be at
tablish New Quiet Zones and includes both
least one-half mile in length. (§ 222.35(a)(1)) If
the Public Authority Designation and Public
more than one New Quiet Zone or New Par-
Authority Application to FRA methods. It
tial Quiet Zone will be created within a sin-
must be remembered that in a New Quiet gle political jurisdiction, ensure that each
Zone all public crossings must be equipped New Quiet Zone or New Partial Quiet Zone
with flashing lights and gates. The require- will be separated by at least one public high-
ments are the same regardless of whether a way-rail grade crossing. (§ 222.35(a)(1)(iii))
24-hour or partial quiet zone is being created. 4. A complete and accurate Grade Crossing
A. Requirements for Both Public Authority Inventory Form must be on file with FRA
Designation and Public Authority Application for all crossings (public, private and pedes-
trian) within the quiet zone. An inspection of
The following steps are necessary when es- each crossing in the proposed quiet zone
tablishing a New Quiet Zone. This informa- should be performed and the Grade Crossing
tion pertains to both the Public Authority Inventory Forms updated, as necessary, to
Designation and Public Authority Applica- reflect the current conditions at each cross-
tion to FRA methods. ing.
1. The public authority must provide a 5. Every public crossing within the quiet
written Notice of Intent (§ 222.43(a)(1) and zone must be equipped with active warning
§ 222.43(b)) to the railroads that operate over devices comprising both flashing lights and
the proposed quiet zone, the State agency re- gates. The warning devices must be equipped
sponsible for highway and road safety and with power out indicators. Constant warning
the State agency responsible for grade cross- time circuitry is also required unless exist-
ing safety. The purpose of this Notice of In- ing conditions would prevent the proper op-
tent is to provide an opportunity for the rail- eration of the constant warning time cir-
roads and the State agencies to provide com- cuitry. FRA recommends that these auto-
ments and recommendations to the public matic warning devices also be equipped with
authority as it is planning the quiet zone. at least one bell to provide an audible warn-
They will have 60 days to provide these coming to pedestrians. If the warning devices are
ments to the public authority. The quiet already equipped with a bell (or bells), the
zone cannot be created unless the Notice of bells may not be removed or deactivated.
Intent has been provided. FRA encourages The plans for the quiet zone may be made as-
public authorities to provide the required suming that flashing lights and gates are at
Notice of Intent early in the quiet zone de- all public crossings; however the quiet zone
velopment process. The railroads and State may not be implemented until all public
agencies can provide an expertise that very crossings are actually equipped with the
well may not be present within the public flashing lights and gates. (§§ 222.35(b)(1) and
authority. FRA believes that it will be very 222.35(b)(2))
useful to include these organizations in the 6. Private crossings must have cross-bucks
planning process. For example, including and ‘‘STOP’’ signs on both approaches to the
railroads and State agencies in the inspec- crossing. Private crossings with public ac-
tions of the crossing will help ensure accu- cess, industrial or commercial use must have
313
a diagnostic team review and be treated ac- Notice of Intent, which will trigger a 60-day
cording to the team’s recommendations. The comment period. During the 60-day comment
public authority must invite the State agen- period, railroads operating within the pro-
cy responsible for grade crossing safety and posed quiet zone and State agencies respon-
all affected railroads to participate in the di- sible for grade crossing, highway and road
agnostic review. (§§ 222.25(b) and (c)) safety may submit comments on the pro-
7. Each highway approach to every public posed quiet zone improvements to the public
and private crossing must have an advance authority. Once the necessary improvements
warning sign (in accordance with the have been installed, Notice of Quiet Zone Es-
MUTCD) that advises motorists that train tablishment shall be provided and the quiet
horns are not sounded at the crossing, unless zone implemented in accordance with the
the public or private crossing is equipped rule. If SSMs are not installed at each public
with a wayside horn. (§ 222.35(c)) crossing, proceed on to Step 2 and use the
8. Each pedestrian crossing must be re- risk reduction method.
viewed by a diagnostic team and equipped or 2. To begin, calculate the risk index for
treated in accordance with the recommenda- each public crossing within the quiet zone
tion of the diagnostic team. The public au- (See appendix D. FRA’s web-based Quiet
thority must invite the State agency respon- Zone Calculator may be used to do this cal-
sible for grade crossing safety and all af- culation). If flashing lights and gates have to
fected railroads to participate in the diag- be installed at any public crossings, cal-
nostic review. At a minimum, each approach culate the risk indices for such crossings as
to every pedestrian crossing must be if lights and gates were installed. (NOTE:
equipped with a sign that conforms to the Flashing lights and gates must be installed
MUTCD and advises pedestrians that train prior to initiation of the quiet zone.) If the
horns are not sounded at the crossing. Inventory record does not reflect the actual
(§ 222.27) conditions at the crossing, be sure to use the
B. New Quiet Zones—Public Authority conditions that currently exist when calcu-
Designation lating the risk index. Note: Private crossings
and pedestrian crossings are not included
Once again it should be remembered that when computing the risk for the proposed
all public crossings must be equipped with quiet zone.
automatic warning devices consisting of 3. The Crossing Corridor Risk Index is then
flashing lights and gates in accordance with calculated by averaging the risk index for
§ 222.35(b). In addition, one of the following each public crossing within the proposed
conditions must be met in order for a public quiet zone. Since train horns are routinely
authority to designate a new quiet zone being sounded for crossings in the proposed
without FRA approval: quiet zone, this value is also the Risk Index
a. One or more SSMs as identified in ap-
with Horns.
pendix A are installed at each public crossing
in the quiet zone (§ 222.39(a)(1)); or 4. In order to calculate the initial Quiet
b. The Quiet Zone Risk Index is equal to, Zone Risk Index, first adjust the risk index
or less than, the Nationwide Significant Risk at each public crossing to account for the in-
Threshold without SSMs installed at any creased risk due to the absence of the train
crossings in the quiet zone (§ 222.39(a)(2)(i)); horn. The absence of the horn is reflected by
or an increased risk index of 66.8% at gated
c. SSMs are installed at selected crossings, crossings. The initial Quiet Zone Risk Index
resulting in the Quiet Zone Risk Index being is then calculated by averaging the increased
reduced to a level equal to, or less than, the risk index for each public crossing within the
Nationwide Significant Risk Threshold proposed quiet zone. At this point the Quiet
(§ 222.39(a)(2)(ii)); or Zone Risk Index will equal the Risk Index
d. SSMs are installed at selected crossings, with Horns multiplied by 1.668.
resulting in the Quiet Zone Risk Index being 5. Compare the Quiet Zone Risk Index to
reduced to a level of risk that would exist if the Nationwide Significant Risk Threshold.
the horn were sounded at every crossing in If the Quiet Zone Risk Index is equal to, or
the quiet zone (i.e., the Risk Index with less than, the Nationwide Significant Risk
Horns) (§ 222.39(a)(3)). Threshold, then the public authority may de-
Steps necessary to establish a New Quiet cide to designate a quiet zone and provide
Zone using the Public Authority Application the Notice of Intent, followed by the Notice
to FRA method: of Quiet Zone Establishment. With this ap-
1. If one or more SSMs as identified in approach, FRA will annually recalculate the
pendix A are installed at each public cross- Nationwide Significant Risk Threshold and
ing in the quiet zone, the requirements for a the Quiet Zone Risk Index. If the Quiet Zone
public authority designation quiet zone will Risk Index for the quiet zone rises above the
have been met. It is not necessary for the Nationwide Significant Risk Threshold, FRA
same SSM to be used at each crossing. How- will notify the Public Authority so that ap-
ever, before any improvements are imple- propriate measures can be taken. (See
mented, the public authority must provide a § 222.51(a)).
314
6. If the Quiet Zone Risk Index is greater Early in the quiet zone development process,
than the Nationwide Significant Risk a Notice of Intent should be provided by the
Threshold, then select an appropriate SSM public authority, which will trigger a 60-day
for a crossing. Reduce the inflated risk index comment period. During this 60-day com-
calculated in Step 4 for that crossing by the ment period, railroads operating within the
effectiveness rate of the chosen SSM. (See proposed quiet zone and State agencies re-
appendix A for the effectiveness rates for the sponsible for grade crossing, highway and
various SSMs). Recalculate the Quiet Zone road safety may provide comments on the
Risk Index by averaging the revised inflated proposed quiet zone improvements described
risk index with the inflated risk indices for in the Notice of Intent. Once all the nec-
the other public crossings. If this new Quiet essary safety improvements have been im-
Zone Risk Index is equal to, or less than, the plemented, Notice of Quiet Zone Establish-
Nationwide Significant Risk Threshold, the ment must be provided. One important dis-
quiet zone would qualify for public authority tinction with this option is that the public
designation. If the Quiet Zone Risk Index is authority will never need to be concerned
still higher than the Nationwide Significant with the Nationwide Significant Risk
Risk Threshold, treat another public cross- Threshold or the Quiet Zone Risk Index. The
ing with an appropriate SSM and repeat the rule’s intent is to make the quiet zone as
process until the Quiet Zone Risk Index is safe as if the train horns were sounding. If
equal to, or less than, the Nationwide Sig- this is accomplished, the public authority
nificant Risk Threshold. Once this result is may designate the crossings as a quiet zone
obtained, the quiet zone will qualify for es- and need not be concerned with possible fluc-
tablishment by public authority designation. tuations in the Nationwide Significant Risk
Early in the quiet zone development process, Threshold or annual risk reviews.
a Notice of Intent should be provided by the
public authority, which will trigger a 60-day C. New Quiet Zones—Public Authority
comment period. During this 60-day com- Application to FRA
ment period, railroads operating within the
proposed quiet zone and State agencies re- A public authority must apply to FRA for
sponsible for grade crossing, highway and approval of a quiet zone under three condi-
road safety may provide comments on the tions. First, if any of the SSMs selected for
proposed quiet zone improvements described the quiet zone do not fully conform to the
in the Notice of Intent. Once all the nec- design standards set forth in appendix A.
essary safety improvements have been im- These are referred to as modified SSMs in
plemented, Notice of Quiet Zone Establish- appendix B. Second, when programmed law
ment must be provided. With this approach, enforcement, public education and awareness
FRA will annually recalculate the Nation- programs, or photo enforcement is used to
wide Significant Risk Threshold and the reduce risk in the quiet zone, these are re-
Quiet Zone Risk Index. If the Quiet Zone ferred to as non-engineering ASMs in appen-
Risk Index for the quiet zone rises above the dix B. It should be remembered that non-en-
Nationwide Significant Risk Threshold, FRA gineering ASMs will require periodic moni-
will notify the public authority so that ap- toring as long as the quiet zone is in exist-
propriate measures can be taken. (See ence. Third, when engineering ASMs are used
§ 222.51(a)). to reduce risk. Please see appendix B for de-
7. If the public authority wishes to reduce tailed explanations of ASMs and the periodic
the risk of the quiet zone to the level of risk monitoring of non-engineering ASMs.
that would exist if the horn were sounded at The public authority is strongly encour-
every crossing within the quiet zone, the aged to submit the application to FRA for
public authority should calculate the initial review and comment before the appendix B
Quiet Zone Risk Index as in Step 4. The ob- treatments are initiated. This will enable
jective is to now reduce the Quiet Zone Risk FRA to provide comments on the proposed
Index to the level of the Risk Index with ASMs to help guide the application process.
Horns by adding SSMs at the crossings. The If non-engineering ASMs or engineering
difference between the Quiet Zone Risk ASMs are proposed, the public authority also
Index and the Risk Index with Horns is the may wish to confirm with FRA that the
amount of risk that will have to be reduced methodology it plans to use to determine the
in order to fully compensate for lack of the effectiveness rates of the proposed ASMs is
train horn. The use of the Quiet Zone Calcu- appropriate. A quiet zone that utilizes a
lator will aid in determining which SSMs combination of SSMs from appendix A and
may be used to reduce the risk sufficiently. ASMs from appendix B must make a Public
Follow the procedure stated in Step 6, except Authority Application to FRA. A complete
that the Quiet Zone Risk Index must be and thoroughly documented application will
equal to, or less than, the Risk Index with help to expedite the approval process.
Horns instead of the Nationwide Significant The following discussion is meant to pro-
Risk Threshold. Once this risk level is at- vide guidance on the steps necessary to es-
tained, the quiet zone will qualify for estab- tablish a new quiet zone using the Public Au-
lishment by public authority designation. thority Application to FRA method. Once
315
again it should be remembered that all pub- proval, the application must contain the fol-
lic crossings must be equipped with auto- lowing (§ 222.39(b)(1)):
matic warning devices consisting of flashing a. Sufficient detail concerning the present
lights and gates in accordance with safety measures at all crossings within the
§ 222.35(b). proposed quiet zone. This includes current
1. Gather the information previously men- and accurate crossing inventory forms for
tioned in the section on ‘‘Requirements for each public, private, and pedestrian grade
both Public Authority Designation and Pub- crossing.
lic Authority Application.’’
2. Calculate the risk index for each public b. Detailed information on the safety im-
crossing as directed in Step 2—Public Au- provements that are proposed to be imple-
thority Designation. mented at public, private and pedestrian
3. Calculate the Crossing Corridor Risk grade crossings within the proposed quiet
Index, which is also the Risk Index with zone.
Horns, as directed in Step 3—Public Author- c. Membership and recommendations of
ity Designation. the diagnostic team (if any) that reviewed
4. Calculate the initial Quiet Zone Risk the proposed quiet zone.
Index as directed in Step 4—Public Author- d. Statement of efforts taken to address
ity Designation. comments submitted by affected railroads,
5. Begin to reduce the Quiet Zone Risk the State agency responsible for grade cross-
Index through the use of ASMs and SSMs. ing safety, and the State agency responsible
Follow the procedure provided in Step 6— for highway and road safety, including a list
Public Authority Designation until the of any objections raised by the railroads or
Quiet Zone Risk Index has been reduced to State agencies.
equal to, or less than, either the Nationwide
e. A commitment to implement the pro-
Significant Risk Threshold or the Risk Index
posed safety measures.
with Horns. (Remember that the public au-
thority may choose which level of risk re- f. Demonstrate through data and analysis
duction is the most appropriate for its com- that the proposed measures will reduce the
munity.) Effectiveness rates for ASMs should Quiet Zone Risk Index to a level equal to, or
be provided as follows: less than, either the Nationwide Significant
a. Modified SSMs—Estimates of effective- Risk Threshold or the Risk Index with
ness for modified SSMs may be based upon Horns.
adjustments from the effectiveness rates g. A copy of the application must be pro-
provided in appendix A or from actual field vided to: All railroads operating over the
data derived from the crossing sites. The ap- public highway-rail grade crossings within
plication must provide an estimated effec- the quiet zone; the highway or traffic control
tiveness rate and the rationale for the esti- or law enforcement authority having juris-
mate. diction over vehicular traffic at grade cross-
b. Non-engineering ASMs—Effectiveness ings within the quiet zone; the landowner
rates are to be calculated in accordance with having control over any private crossings
the provisions of appendix B, paragraph II B. within the quiet zone; the State agency re-
c. Engineering ASMs—Effectiveness rates sponsible for highway and road safety; the
are to be calculated in accordance with the State agency responsible for grade crossing
provisions of appendix B, paragraph III B. safety; and the Associate Administrator.
6. Once it has been determined through (§ 222.39(b)(3))
analysis that the Quiet Zone Risk Index will
7. Upon receiving written approval from
be reduced to a level equal to, or less than,
FRA of the quiet zone application, the public
either the Nationwide Significant Risk
authority may then provide the Notice of
Threshold or the Risk Index with Horns, the
Quiet Zone Establishment and implement
public authority must provide a Notice of In-
the quiet zone. If the quiet zone is qualified
tent. The mailing of the Notice of Intent will
trigger a 60-day comment period, during by reducing the Quiet Zone Risk Index to a
which railroads operating within the pro- level at, or below, the Nationwide Signifi-
posed quiet zone and State agencies respon- cant Risk Threshold, FRA will annually re-
sible for grade crossing, highway and road calculate the Nationwide Significant Risk
safety may provide comments on the pro- Threshold and the Quiet Zone Risk Index. If
posed quiet zone improvements. After re- the Quiet Zone Risk Index for the quiet zone
viewing any comments received, the public rises above the Nationwide Significant Risk
authority may make application to FRA for Threshold, FRA will notify the public au-
a quiet zone under § 222.39(b). FRA will re- thority so that appropriate measures can be
view the application to determine the appro- taken. (See § 222.51(a))
priateness of the proposed effectiveness NOTE: The provisions stated above for
rates, and whether or not the proposed appli- crossing closures, grade separations, wayside
cation demonstrates that the quiet zone horns, pre-existing SSMs and pre-existing
meets the requirements of the rule. When modified SSMs apply for Public Authority
submitting the application to FRA for ap- Application to FRA as well.
316
SECTION III—PRE-RULE QUIET ZONES the absence of train horns. The table takes
into account that the train horn has been
Pre-Rule Quiet Zones are treated slightly
found to produce different levels of effective-
differently from New Quiet Zones in the rule.
ness in preventing collisions depending on
This is a reflection of the statutory require-
ment to ‘‘take into account the interest of the type of warning device at the crossing.
communities that have in effect restrictions (Note: FRA’s web-based Quiet Zone Calcu-
on the sounding of a locomotive horn at lator will perform this computation auto-
highway-rail grade crossings. * * *’’ (49 matically for Pre-Rule Quiet Zones.) The
U.S.C. 20153(i)) It also recognizes the histor- Risk Index with Horns is the average of the
ical experience of train horns not being revised risk indices. The difference between
sounded at Pre-Rule Quiet Zones. the calculated Risk Index with Horns and
the Quiet Zone Risk Index is the amount of
Overview risk that would have to be reduced in order
to fully compensate for the lack of train
Pre-Rule Quiet Zones that are not estab-
horns.
lished by automatic approval (see discussion
that follows) must meet the same require-
TABLE 1—RISK INDEX DIVISOR VALUES
ments as New Quiet Zones as provided in
§ 222.39. In other words, risk must be reduced Flashing Lights
through the use of SSMs or ASMs so that the Passive lights & gates
Quiet Zone Risk Index for the quiet zone has
been reduced to either the risk level which U.S ................................. 1.749 1.309 1.668
would exist if locomotive horns sounded at
all crossings in the quiet zone (i.e. the Risk (3) The third difference is that credit is
Index with Horns) or to a risk level equal to, given for the risk reduction that is brought
or less than, the Nationwide Significant Risk about through the upgrading of the warning
Threshold. There are four differences in the devices at public crossings (§ 222.35(b)(3)). For
requirements between Pre-Rule Quiet Zones New Quiet Zones, all crossings must be
and New Quiet Zones that must be noted. equipped with automatic warning devices
(1) First, since train horns have not been consisting of flashing lights and gates. Cross-
routinely sounded in the Pre-Rule Quiet ings without gates must have gates in-
Zone, it is not necessary to increase the risk stalled. The severity risk index for that
indices of the public crossings to reflect the crossing is then calculated to establish the
additional risk caused by the lack of a train risk index that is used in the Risk Index with
horn. Since the train horn has already been Horns. The Risk Index with Horns is then in-
silenced, the added risk caused by the lack of creased by 66.8% to adjust for the lack of the
a horn is reflected in the actual collision his- train horn. The adjusted figure is the initial
tory at the crossings. Collision history is an Quiet Zone Risk Index. There is no credit re-
important part in the calculation of the se- ceived for the risk reduction that is attrib-
verity risk indices. In other words, the Quiet utable to warning device upgrades in New
Zone Risk Index is calculated by averaging Quiet Zones.
the existing risk index for each public cross- For Pre-Rule Quiet Zones, the Risk Index
ing without the need to increase the risk with Horns is calculated from the initial risk
index by 66.8%. For Pre-Rule Quiet Zones, indices which use the warning devices that
the Crossing Corridor Risk Index and the ini- are currently installed. If a public authority
tial Quiet Zone Risk Index have the same elects to upgrade an existing warning device
value. as part of its quiet zone plan, the accident
(2) Second, since train horns have been si- prediction value for that crossing will be re-
lenced at the crossings, it will be necessary calculated based on the upgraded warning
to mathematically determine what the risk device. (Once again, FRA’s web-based Quiet
level would have been at the crossings if Zone Calculator can do the actual computa-
train horns had been routinely sounded. tion.) The new accident prediction value is
These revised risk levels then will be used to then used in the severity risk index formula
calculate the Risk Index with Horns. This to determine the risk index for the crossing.
calculation is necessary to determine how This adjusted risk index is then used to com-
much risk must be eliminated in order to pute the new Quiet Zone Risk Index. This
compensate for the lack of the train horn. computation allows the risk reduction at-
This will allow the public authority to have tributed to the warning device upgrades to
the choice to reduce the risk to at least the be used in establishing a quiet zone.
level of the Nationwide Significant Risk (4) The fourth difference is that Pre-Rule
Threshold or to fully compensate for the Quiet Zones have different minimum re-
lack of the train horn. quirements under § 222.35. A Pre-Rule Quiet
To calculate the Risk Index with Horns, Zone may be less than one-half mile in
the first step is to divide the existing sever- length if that was its length as of October 9,
ity risk index for each crossing by the appro- 1996 (§ 222.35(a)(2)). A Pre-Rule Quiet Zone
priate value as shown in Table 1. This proc- does not have to have automatic warning de-
ess eliminates the risk that was caused by vices consisting of flashing lights and gates
317
at every public crossing (§ 222.35(b)(3)). The Zones, it is not necessary that every public
existing crossing safety warning systems in crossing within a Pre-Rule Quiet Zone be
place as of December 18, 2003 may be retained equipped with active warning devices com-
but cannot be downgraded. It also is not nec- prising both flashing lights and gates. Exist-
essary for the automatic warning devices to ing warning devices need not be equipped
be equipped with constant warning time de- with power out indicators and constant
vices or power out indicators; however, when warning time circuitry. If warning devices
the warning devices are upgraded, constant are upgraded to flashing lights, or flashing
warning time and power out indicators will lights and gates, the upgraded equipment
be required if reasonably practical must include, as is required for New Quiet
(§ 222.35(b)(3)). Advance warning signs that Zones, power out indicators and constant
notify the motorist that train horns are not warning time devices (if reasonably prac-
sounded do not have to be installed on each tical). (§ 222.35(b)(3))
approach to public, private, and pedestrian 5. By June 24, 2008, private crossings must
grade crossings within the quiet zone until have cross-bucks and ‘‘STOP’’ signs on both
June 24, 2008. (§§ 222.27(d) and 222.35(c)) Simi- approaches to the crossing. (§ 222.25(c))
larly, STOP signs and crossbucks do not 6. By June 24, 2008, each approach to a pub-
have to be installed on each approach to pri- lic, private, and pedestrian crossing must be
vate crossings within the quiet zone until equipped with an advance warning sign that
June 24, 2008. (§ 222.25(c)). conforms to the MUTCD and advises pedes-
trians and motorists that train horns are not
A. Requirements for Both Public Authority Des- sounded at the crossing. (§§ 222.27(d),
ignation and Public Authority Application— 222.35(c))
Pre-Rule Quiet Zones 7. It will be necessary for the public au-
The following is necessary when estab- thority to provide a Notice of Quiet Zone
lishing a Pre-Rule Quiet Zone. This informa- Continuation in order to prevent the resump-
tion pertains to Automatic Approval, the tion of locomotive horn sounding when the
Public Authority Designation and Public Au- rule becomes effective. A detailed discussion
thority Application to FRA methods. of the requirements of § 222.43(c) is provided
1. Determine all public, private and pedes- in Section IV of this appendix. The Notice of
trian at-grade crossings that will be included Quiet Zone Continuation must be provided to
within the quiet zone. Also determine any the appropriate parties by all Pre-Rule Quiet
existing grade separated crossings that fall Zones that have not established quiet zones
within the quiet zone. Each crossing must be by automatic approval. This should be done
identified by the U.S. DOT Crossing Inven- no later than June 3, 2005 to ensure that
tory number and street name. If a crossing train horns will not start being sounded on
does not have a U.S. DOT crossing number, June 24, 2005. A Pre-Rule Quiet Zone may
then contact FRA for assistance. provide a Notice of Quiet Zone Continuation
2. Document the length of the quiet zone. before it has determined whether or not it
It is not necessary that the quiet zone be at qualifies for automatic approval. Once it has
least one-half mile in length. Pre-Rule Quiet been determined that the Pre-Rule Quiet
Zones may be shorter than one-half mile. Zone will be established by automatic ap-
However, the addition of a new crossing that proval, the Public Authority must provide
is not a part of an existing Pre-Rule Quiet the Notice of Quiet Zone Establishment.
Zone to a quiet zone nullifies its pre-rule sta- This must be accomplished no later than De-
tus, and the resulting New Quiet Zone must cember 24, 2005. If the Pre-Rule Quiet Zone
be at least one-half mile. The deletion of a will not be established by automatic ap-
crossing from a Pre-Rule Quiet Zone (except proval, the Notice of Quiet Zone Continu-
through closure or grade separation) must ation will enable the train horns to be si-
result in a quiet zone that is at least one- lenced until June 24, 2008. (Please refer to
half mile in length. It is the intent of the § 222.41(c) for more information.)
rule to allow adjacent Pre-Rule Quiet Zones
B. Pre-Rule Quiet Zones—Automatic Approval
to be combined into one large pre-rule quiet
zone if the respective public authorities de- In order for a Pre-Rule Quiet Zone to be es-
sire to do so. (§ 222.35(a)(2)) tablished under this rule (§ 222.41(a)), one of
3. A complete and accurate Grade Crossing the following conditions must be met:
Inventory Form must be on file with FRA a. One or more SSMs as identified in ap-
for all crossings (public, private and pedes- pendix A are installed at each public crossing
trian) within the quiet zone. An inspection of in the quiet zone;
each crossing in the proposed quiet zone b. The Quiet Zone Risk Index is equal to,
should be performed and the Grade Crossing or less than, the Nationwide Significant Risk
Inventory Forms updated, as necessary, to Threshold;
reflect the current conditions at each cross- c. The Quiet Zone Risk Index is above the
ing. Nationwide Significant Risk Threshold but
4. Pre-Rule Quiet Zones must retain, and less than twice the Nationwide Significant
may upgrade, the existing grade crossing Risk Threshold and there have been no rel-
safety warning systems. Unlike New Quiet evant collisions at any public grade crossing
318
within the quiet zone for the preceding five established by this step, proceed on to the
years; or next step.
d. The Quiet Zone Risk Index is equal to, 6. If the Quiet Zone Risk Index is above the
or less than, the Risk Index With Horns. Nationwide Significant Risk Threshold but
Additionally, the Pre-Rule Quiet Zone less than twice the Nationwide Significant
must be in compliance with the minimum re- Risk Threshold and there have been no rel-
quirements for quiet zones (§ 222.35) and the evant collisions at any public grade crossing
notification requirements in § 222.43. within the quiet zone for the preceding five
The following discussion is meant to pro- years, then the quiet zone qualifies for auto-
vide guidance on the steps necessary to de- matic approval. However, in order to qualify
termine if a Pre-Rule Quiet Zone qualifies on this basis, the public authority must pro-
for automatic approval. vide a Notice of Quiet Zone Establishment
1. All of the items listed in Requirements for by December 24, 2005. (Note: A relevant colli-
Both Public Authority Designation and Public sion means a collision at a highway-rail
Authority Application—Pre-Rule Quiet Zones grade crossing between a train and a motor
previously mentioned are to be accom- vehicle, excluding the following: a collision
plished. Remember that a Pre-Rule Quiet resulting from an activation failure of an ac-
Zone may be less than one-half mile in tive grade crossing warning system; a colli-
length if that was its length as of October 9, sion in which there is no driver in the motor
1996. Also, a Pre-Rule Quiet Zone does not vehicle; or a collision where the highway ve-
have to have automatic warning devices con- hicle struck the side of the train beyond the
sisting of flashing lights and gates at every fourth locomotive unit or rail car.) With this
public crossing. approach, FRA will annually recalculate the
2. If one or more SSMs as identified in ap- Nationwide Significant Risk Threshold and
pendix A are installed at each public cross- the Quiet Zone Risk. If the Quiet Zone Risk
ing in the quiet zone, the quiet zone qualifies Index for the quiet zone is above two times
and the public authority may provide the the Nationwide Significant Risk Threshold,
Notice of Quiet Zone Establishment. If the or a relevant collision has occurred during
Pre-Rule Quiet Zone does not qualify by this the preceding year, FRA will notify the pub-
step, proceed on to the next step. lic authority so that appropriate measures
3. Calculate the risk index for each public can be taken (See § 222.51(b)).
crossing within the quiet zone (See appendix If the Pre-Rule Quiet Zone is not estab-
D.) Be sure that the risk index is calculated lished by automatic approval, continuation
using the formula appropriate for the type of of the quiet zone may require implementa-
warning device that is actually installed at tion of SSMs or ASMs to reduce the Quiet
the crossing. Unlike New Quiet Zones, it is Zone Risk Index for the quiet zone to a risk
not necessary to calculate the risk index level equal to, or below, either the risk level
using flashing lights and gates as the warn- which would exist if locomotive horns sound-
ing device at every public crossing. (FRA’s ed at all crossings in the quiet zone (i.e. the
web-based Quiet Zone Calculator may be Risk Index with Horns) or the Nationwide
used to simplify the calculation process). If Significant Risk Threshold. This is the same
the Inventory record does not reflect the ac- methodology used to create New Quiet Zones
tual conditions at the crossing, be sure to with the exception of the four differences
use the conditions that currently exist when previously noted. A review of the previous
calculating the risk index. discussion on the two methods used to estab-
4. The Quiet Zone Risk Index is then cal- lish quiet zones may prove helpful in deter-
culated by averaging the risk index for each mining which would be the most beneficial
public crossing within the proposed quiet to use for a particular Pre-Rule Quiet Zone.
zone. (Note: The initial Quiet Zone Risk
Index and the Crossing Corridor Risk Index C. Pre-Rule Quiet Zones—Public Authority
are the same for Pre-Rule Quiet Zones.) Designation
5. Compare the Quiet Zone Risk Index to
the Nationwide Significant Risk Threshold. The following discussion is meant to pro-
If the Quiet Zone Risk Index is equal to, or vide guidance on the steps necessary to es-
less than, the Nationwide Significant Risk tablish a Pre-Rule Quiet Zone using the Pub-
Threshold, then the quiet zone qualifies, and lic Authority Designation method.
the public authority may provide the Notice 1. The public authority must provide a No-
of Quiet Zone Establishment. With this ap- tice of Intent (§§ 222.43(a)(1) and 222.43(b)) to
proach, FRA will annually recalculate the the railroads that operate within the pro-
Nationwide Significant Risk Threshold and posed quiet zone, the State agency respon-
the Quiet Zone Risk. If the Quiet Zone Risk sible for highway and road safety and the
Index for the quiet zone is found to be above State agency responsible for grade crossing
the Nationwide Significant Risk Threshold, safety. This notice must be mailed by Feb-
FRA will notify the public authority so that ruary 24, 2008, in order to continue existing
appropriate measures can be taken (See locomotive horn restrictions beyond June 24,
§ 222.51(b)). If the Pre-Rule Quiet Zone is not 2008 without interruption. The purpose of
319
this Notice of Intent is to provide an oppor- new accident prediction value in the severity
tunity for the railroads and the State agen- risk index formula. This new risk index is
cies to provide comments and recommenda- then used to compute the new Quiet Zone
tions to the public authority as it is plan- Risk Index. (Remember that FRA’s web-
ning the quiet zone. They will have 60 days based Quiet Zone Calculator will be able to
to provide these comments to the public au- do the actual computations.) Once the Quiet
thority. The Notice of Intent must be pro- Zone Risk Index has been reduced to a level
vided, if new SSMs or ASMs will be imple- equal to, or less than, either the Nationwide
mented within the quiet zone. FRA encour- Significant Risk Threshold or the Risk Index
ages public authorities to provide the re- with Horns, the quiet zone may be estab-
quired Notice of Intent early in the quiet lished by the Public Authority Designation
zone development process. The railroads and method, and the public authority may pro-
State agencies can provide an expertise that
vide the Notice of Quiet Zone Establishment
very well may not be present within the pub-
once all the necessary improvements have
lic authority. FRA believes that it will be
been installed. If the quiet zone is estab-
very useful to include these organizations in
the planning process. For example, including lished by reducing the Quiet Zone Risk Index
them in the inspections of the crossing will to a risk level equal to, or less than, the Na-
help ensure accurate Inventory information tionwide Significant Risk Threshold, FRA
for the crossings. Note: Please see Section IV will annually recalculate the Nationwide
for details on the requirements of a Notice of Significant Risk Threshold and the Quiet
Intent. Zone Risk Index. If the Quiet Zone Risk
2. All of the items listed in ‘‘Requirements Index for the quiet zone rises above the Na-
for Both Public Authority Designation and tionwide Significant Risk Threshold, FRA
Public Authority Application—Pre-Rule will notify the public authority so that ap-
Quiet Zones’’ previously mentioned are to be propriate measures can be taken (See
accomplished. Remember that a Pre-Rule § 222.51(b)).
Quiet Zone may be less than one-half mile in 7. If the Pre-Rule Quiet Zone will not be es-
length if that was its length as of October 9, tablished before June 24, 2008, the public au-
1996. Also, a Pre-Rule Quiet Zone does not thority must file a detailed plan for quiet
have to have automatic warning devices con- zone improvements with the Associate Ad-
sisting of flashing lights and gates at every ministrator by June 24, 2008. By providing a
public crossing. Notice of Intent (see Step 1 above) and a de-
3. Calculate the risk index for each public tailed plan for quiet zone improvements, ex-
crossing within the quiet zone as in Step 3— isting locomotive horn restrictions may con-
Pre-Rule Quiet Zones—Automatic Approval. tinue until June 24, 2010. (If a comprehensive
4. The Crossing Corridor Risk Index is then State-wide implementation plan and funding
calculated by averaging the risk index for
commitment are also provided and safety
each public crossing within the proposed
improvements are initiated within at least
quiet zone. Since train horns are not being
one Pre-Rule Quiet Zone or Pre-Rule Partial
sounded for crossings, this value is actually
Quiet Zone, existing locomotive horn restric-
the initial Quiet Zone Risk Index.
5. Calculate Risk Index with Horns by the tions may continue until June 24, 2013.) (See
following: § 222.41(c) for more information.)
a. For each public crossing, divide the risk NOTE: The provisions stated above for
index that was calculated in Step 2 by the crossing closures, grade separations, wayside
appropriate value in Table 1. This produces horns, pre-existing SSMs and pre-existing
the risk index that would have existed had modified SSMs apply for Public Authority
the train horn been sounded. Application to FRA as well.
b. Average these reduced risk indices to-
gether. The resulting average is the Risk D. Pre-Rule Quiet Zones—Public Authority
Index with Horns. Application to FRA
6. Begin to reduce the Quiet Zone Risk
Index through the use of SSMs or by upgrad- The following discussion is meant to pro-
ing existing warning devices. Follow the provide guidance on the steps necessary to es-
cedure provided in Step 6—Public Authority tablish a Pre-Rule Quiet Zone using the Pub-
Designation until the Quiet Zone Risk Index lic Authority Application to FRA method.
has been reduced to a level equal to, or less 1. The public authority must provide a No-
than, either the Nationwide Significant Risk tice of Intent (§§ 222.43(a)(1) and 222.43(b)) to
Threshold or the Risk Index with Horns. A the railroads that operate within the pro-
public authority may elect to upgrade an exposed quiet zone, the State agency respon-
isting warning device as part of its Pre-Rule sible for highway and road safety and the
Quiet Zone plan. When upgrading a warning State agency responsible for grade crossing
device, the accident prediction value for that safety. This notice must be mailed by Feb-
crossing must be re-calculated for the new ruary 24, 2008, in order to continue existing
warning device. Determine the new risk locomotive horn restrictions beyond June 24,
index for the upgraded crossing by using the 2008 without interruption. The purpose of
320
this Notice of Intent is to provide an oppor- Quiet Zone plan. When upgrading a warning
tunity for the railroads and the State agen- device, the accident prediction value for that
cies to provide comments and recommenda- crossing must be re-calculated for the new
tions to the public authority as it is plan- warning device. Determine the new risk
ning the quiet zone. They will have 60 days index for the upgraded crossing by using the
to provide these comments to the public au- new accident prediction value in the severity
thority. The Notice of Intent must be pro- risk index formula. (Remember that FRA’s
vided, if new SSMs or ASMs will be imple- web-based quiet zone risk calculator will be
mented within the quiet zone. FRA encour- able to do the actual computations.) This
ages public authorities to provide the renew risk index is then used to compute the
quired Notice of Intent early in the quiet new Quiet Zone Risk Index. Effectiveness
zone development process. The railroads and rates for ASMs should be provided as follows:
State agencies can provide an expertise that a. Modified SSMs—Estimates of effective-
very well may not be present within the pub- ness for modified SSMs may be based upon
lic authority. FRA believes that it will be adjustments from the benchmark levels pro-
very useful to include these organizations in vided in appendix A or from actual field data
the planning process. For example, including derived from the crossing sites. The applica-
them in the inspections of the crossing will tion must provide an estimated effectiveness
help ensure accurate Inventory information rate and the rationale for the estimate.
for the crossings. Note: Please see Section IV b. Non-engineering ASMs—Effectiveness
for details on the requirements of a Notice of rates are to be calculated in accordance with
Detailed Plan. the provisions of appendix B, section II B.
2. All of the items listed in ‘‘Requirements c. Engineering ASMs—Effectiveness rates
for both Public Authority Designation and are to be calculated in accordance with the
Public Authority Application—Pre-Rule provisions of appendix B, section III B.
Quiet Zones’’ previously mentioned are to be 7. Once it has been determined through
accomplished. Remember that a Pre-Rule analysis that the Quiet Zone Risk Index will
Quiet Zone may be less than one-half mile in be reduced to a level equal to, or less than,
length if that was its length as of October 9, either the Nationwide Significant Risk
1996. Also, a Pre-Rule Quiet Zone does not Threshold or the Risk Index with Horns, the
have to have automatic warning devices con- public authority may make application to
sisting of flashing lights and gates at every FRA for a quiet zone under § 222.39(b). FRA
public crossing. will review the application to determine the
3. Calculate the risk index for each public appropriateness of the proposed effectiveness
crossing within the quiet zone (See appendix rates, and whether or not the proposed appli-
D. FRA’s web-based Quiet Zone Calculator cation demonstrates that the quiet zone
may be used to simplify the calculation meets the requirements of the rule. When
process). If the Inventory record does not re- submitting the application to FRA for ap-
flect the actual conditions at the crossing, proval, it should be remembered that the ap-
be sure to use the conditions that currently plication must contain the following
exist when calculating the risk index. (§ 222.39(b)(1)):
4. The Crossing Corridor Risk Index is then a. Sufficient detail concerning the present
calculated by averaging the risk index for safety measures at all crossings within the
each public crossing within the proposed proposed quiet zone to enable the Associate
quiet zone. Since train horns are not being Administrator to evaluate their effective-
sounded for crossings, this value is actually ness. This includes current and accurate
the initial Quiet Zone Risk Index. crossing Inventory forms for each public, pri-
5. Calculate Risk Index with Horns by the vate and pedestrian grade crossing.
following: b. Detailed information on the safety im-
a. For each public crossing, divide its risk provements, including upgraded warning de-
index that was calculated in Step 2 by the vices that are proposed to be implemented at
appropriate value in Table 1. This produces public, private, and pedestrian grade cross-
the risk index that would have existed had ings within the proposed quiet zone.
the train horn been sounded. c. Membership and recommendations of
b. Average these reduced risk indices to- the diagnostic team (if any) that reviewed
gether. The resulting average is the Risk the proposed quiet zone.
Index with Horns. d. Statement of efforts taken to address
6. Begin to reduce the Quiet Zone Risk comments submitted by affected railroads,
Index through the use of ASMs and/or SSMs. the State agency responsible for grade cross-
Follow the procedure provided in Step 6— ing safety, and the State agency responsible
New Quiet Zones Public Authority Designa- for highway and road safety, including a list
tion—until the Quiet Zone Risk Index has of any objections raised by the railroads or
been reduced to a level equal to, or less than, State agencies.
either the Nationwide Significant Risk e. A commitment to implement the pro-
Threshold or the Risk Index with Horns. A posed safety measures.
public authority may elect to upgrade an ex- f. Demonstrate through data and analysis
isting warning device as part of its Pre-Rule that the proposed measures will reduce the
321
Quiet Zone Risk Index to a level at, or below, B. Notice of Intent—§ 222.43(b)
either the Nationwide Significant Risk
The purpose of the Notice of Intent is to
Threshold or the Risk Index with Horns.
provide notice to the railroads and State
g. A copy of the application must be pro- agencies that the public authority is plan-
vided to all railroads operating over the pub- ning on creating a New Quiet Zone or imple-
lic highway-rail grade crossings within the menting new SSMs or ASMs within a Pre-
quiet zone; the highway or traffic control or Rule Quiet Zone. The Notice of Intent pro-
law enforcement authority having jurisdic- vides an opportunity for the railroad and the
tion over vehicular traffic at grade crossings State agencies to give input to the public au-
within the quiet zone; the landowner having thority during the quiet zone development
control over any private crossings within the process. The State agencies and railroads
quiet zone; the State agency responsible for will be given sixty days to provide informa-
highway and road safety; the State agency tion and comments to the public agency.
responsible for grade crossing safety; and the The Notice of Intent must be provided
Associate Administrator. (§ 222.39(b)(3)) under the following circumstances:
8. Upon receiving written approval from 1. A New Quiet Zone or New Partial Quiet
FRA of the quiet zone application, the public Zone is under consideration.
authority may then provide the Notice of 2. An Intermediate Quiet Zone or Inter-
Quiet Zone Establishment and implement mediate Partial Quiet Zone that will be con-
the quiet zone. If the quiet zone is estab- verted into a New Quiet Zone or New Partial
lished by reducing the Quiet Zone Risk Index Quiet Zone. Please note that Notice of Intent
to a level equal to, or less than, the Nation- must be mailed by April 3, 2006, in order pre-
vent the resumption of locomotive horn
wide Significant Risk Threshold, FRA will
sounding on June 24, 2006.
annually recalculate the Nationwide Signifi-
3. The implementation of SSMs or ASMs
cant Risk Threshold and the Quiet Zone
within a Pre-Rule Quiet Zone or Pre-Rule
Risk. If the Quiet Zone Risk Index for the
Partial Quiet Zone is under consideration.
quiet zone is above the Nationwide Signifi- Please note that Notice of Intent must be
cant Risk Threshold, FRA will notify the mailed by February 24, 2008, in order to con-
public authority so that appropriate meas- tinue existing restrictions on locomotive
ures can be taken (See § 222.51(b)). horn sounding beyond June 24, 2008 without
NOTE: The provisions stated above for interruption. Each public authority that is
crossing closures, grade separations, wayside creating a New Quiet Zone must provide
horns, pre-existing SSMs and pre-existing written notice, by certified mail, return re-
modified SSMs apply for Public Authority ceipt requested, to the following:
Application to FRA as well. 1. All railroads operating within the pro-
posed quiet zone
SECTION IV—REQUIRED NOTIFICATIONS 2. State agency responsible for highway
and road safety
A. Introduction 3. State agency responsible for grade cross-
The public authority is responsible for pro- ing safety
viding notification to parties that will be af- The Notice of Intent must contain the fol-
fected by the quiet zone. There are several lowing information:
different types of notifications and a public 1. A list of each public highway-rail grade
crossing, private highway-rail grade cross-
authority may have to make more than one
ing, and pedestrian crossings within the pro-
notification during the entire process of
posed quiet zone. The crossings are to be
complying with the regulation. The notifica- identified by both the U.S. DOT Crossing In-
tion process is to ensure that interested par- ventory Number and the street or highway
ties are made aware in a timely manner of name.
the establishment or continuation of quiet 2. A statement of the time period within
zones. It will also provide an opportunity for which the restrictions would be in effect on
State agencies and affected railroads to pro- the routine sounding of train horns (i.e., 24
vide input to the public authority during the hours or from 10 p.m. to 7 a.m.).
development of quiet zones. Specific infor- 3. A brief explanation of the public
mation is to be provided so that the cross- authority’s tentative plans for implementing
ings in the quiet zone can be identified. Pro- improvements within the proposed quiet
viding the appropriate notification is impor- zone.
tant because once the rule becomes effective, 4. The name and title of the person who
railroads will be obligated to sound train will act as the point of contact during the
horns when approaching all public crossings quiet zone development process and how that
unless notified in accordance with the rule person can be contacted.
that a New Quiet Zone has been established 5. A list of the names and addresses of each
or that a Pre-Rule or Intermediate Quiet party that will receive a copy of the Notice
Zone is being continued. of Intent.
322
The parties that receive the Notice of In- 2. A specific reference to the regulatory
tent will be able to submit information or provision that provides the basis for quiet
comments to the public authority for 60 zone continuation, citing as appropriate,
days. The public authority will not be able § 222.41 or 222.42.
to establish the quiet zone during the 60 day 3. A statement of the time period within
comment period unless each railroad and which restrictions on the routine sounding of
State agency that receives the Notice of In- the locomotive horn will be imposed (i.e., 24
tent provides either written comments to hours or nighttime hours only.)
the public authority or a written statement 4. An accurate and complete Grade Cross-
waiving its right to provide comments on the ing Inventory Form for each public highway-
Notice of Intent. The public authority must rail grade crossing, private highway-rail
provide an affirmation in the Notice of Quiet grade crossing, and pedestrian crossing with-
Zone Establishment that each of the rein the quiet zone that reflects conditions
quired parties was provided the Notice of In- currently existing at the crossing.
tent and the date it was mailed. If the quiet 5. The name and title of the person respon-
zone is being established within 60 days of sible for monitoring compliance with the re-
the mailing of the Notice of Intent, the pub- quirements of this part and the manner in
lic authority also must affirm each of the which that person can be contacted.
parties have provided written comments or 6. A list of the names and addresses of each
waived its right to provide comments on the party that will receive the Notice of Quiet
Notice of Intent. Zone Continuation.
C. Notice of Quiet Zone Continuation— 7. A statement signed by the chief execu-
§ 222.43(c) tive officer of each public authority partici-
pating in the continuation of the quiet zone,
The purpose of the Notice of Quiet Zone in which the chief executive officer certifies
Continuation is to provide a means for the that the information submitted by the public
public authority to formally advise affected authority is accurate and complete to the
parties that an existing quiet zone is being best of his/her knowledge and belief.
continued after the effective date of the rule. Public authorities should remember that
All Pre-Rule, Pre-Rule Partial, Intermediate this notice is required to ensure that train
and Intermediate Partial Quiet Zones must horns will remain silent. Even if a public au-
provide this Notice of Quiet Zone Continu- thority has not been able to determine
ation no later than June 3, 2005 to ensure whether its Pre-Rule or Pre-Rule Partial
that train horns are not sounded at public Quiet Zone qualifies for automatic approval
crossings when the rule becomes effective on under the rule, it should issue a Notice of
June 24, 2005. This will enable railroads to Quiet Zone Continuation to keep the train
properly comply with the requirements of horns silent after the effective date of the
the Final Rule. rule.
Each public authority that is continuing
an existing Pre-Rule, Pre-Rule Partial, In- E. Notice of Quiet Zone Establishment—
termediate and Intermediate Partial Quiet § 222.43(d)
Zone must provide written notice, by cer-
tified mail, return receipt requested, to the The purpose of the Notice of Quiet Zone
following: Establishment is to provide a means for the
1. All railroads operating over the public public authority to formally advise affected
highway-rail grade crossings within the parties that a quiet zone is being established.
quiet zone; Notice of Quiet Zone Establishment must be
2. The highway or traffic control or law en- provided under the following circumstances:
forcement authority having jurisdiction over 1. A New Quiet Zone or New Partial Quiet
vehicular traffic at grade crossings within Zone is being created.
the quiet zone; 2. A Pre-Rule Quiet Zone or a Pre-Rule
3. The landowner having control over any Partial Quiet Zone that qualifies for auto-
private crossings within the quiet zone; matic approval under the rule is being estab-
4. The State agency responsible for high- lished.
way and road safety; 3. An Intermediate Quiet Zone or Inter-
5. The State agency responsible for grade mediate Partial Quiet Zone that is creating
crossing safety; and a New Quiet Zone under the rule. Please note
6. The Associate Administrator. that Notice of Quiet Zone Establishment
The Notice of Quiet Zone Continuation must be provided by June 3, 2006, in order to
must contain the following information: prevent the resumption of locomotive horn
1. A list of each public highway-rail grade sounding on June 24, 2006.
crossing, private highway-rail grade cross- 4. A Pre-Rule Quiet Zone or a Pre-Rule
ing, and pedestrian crossing within the quiet Partial Quiet Zone that was not established
zone, identified by both U.S. DOT National by automatic approval and has since imple-
Highway-Rail Grade Crossing Inventory mented improvements to establish a quiet
Number and street or highway name. zone in accordance to the rule.
323
Each public authority that is establishing in the quiet zone that reflects the conditions
a quiet zone under the above circumstances existing at the crossing before any new SSMs
must provide written notice, by certified or ASMs were implemented.
mail, return receipt requested, to the fol- 6. An accurate, complete and current
lowing: Grade Crossing Inventory Form for each pub-
1. All railroads operating over the public lic highway-rail grade crossing, private high-
highway-rail grade crossings within the way-rail grade crossing, and pedestrian
quiet zone; crossing within the quiet zone that reflects
2. The highway or traffic control or law en- SSMs and ASMs in place upon establishment
forcement authority having jurisdiction over of the quiet zone. SSMs and ASMs that can-
vehicular traffic at grade crossings within not be fully described on the Inventory Form
the quiet zone; shall be separately described.
3. The landowner having control over any 7. If the public authority was required to
private crossings within the quiet zone; provide a Notice of Intent:
4. The State agency responsible for high- (a) The Notice of Quiet Zone Establish-
way and road safety; ment shall contain a statement affirming
5. The State agency responsible for grade that the Notice of Intent was provided in ac-
crossing safety; and cordance with the rule. This statement shall
6. The Associate Administrator. also state the date on which the Notice of In-
The Notice of Quiet Establishment must tent was mailed.
contain the following information: (b) If the Notice of Quiet Zone Establish-
1. A list of each public highway-rail grade ment will be mailed less than 60 days after
crossing, private highway-rail grade cross- the date on which the Notice of Intent was
ing, and pedestrian crossing within the quiet mailed, the Notice of Quiet Zone Establish-
zone, identified by both U.S. DOT National ment shall also contain a written statement
Highway-Rail Grade Crossing Inventory affirming that comments and/or written
Number and street or highway name. waiver statements have been received from
2. A specific reference to the regulatory each railroad operating over public grade
provision that provides the basis for quiet crossings within the proposed quiet zone, the
zone establishment, citing as appropriate, State agency responsible for grade crossing
§ 222.39(a)(1), 222.39(a)(2)(i), 222.39(a)(2)(ii), safety, and the State agency responsible for
222.39(a)(3), 222.39(b), 222.41(a)(1)(i), highway and road safety.
222.41(a)(1)(ii), 222.41(a)(1)(iii), 222.41(a)(1)(iv),
8. The name and title of the person respon-
222.41(b)(1)(i), 222.41(b)(1)(ii), 222.41(b)(1)(iii),
sible for monitoring compliance with the re-
or 222.41(b)(1)(iv).
quirements of this part and the manner in
(a) If the Notice of Quiet Establishment
which that person can be contacted.
contains a specific reference to
§ 222.39(a)(2)(i), 222.39(a)(2)(ii), 222.39(a)(3), 9. A list of the names and addresses of each
222.41(a)(1)(ii), 222.41(a)(1)(iii), 222.41(a)(1)(iv), party that is receiving a copy of the Notice
222.41(b)(1)(ii), 222.41(b)(1)(iii), or of Quiet Establishment.
222.41(b)(1)(iv), it shall include a copy of the 10. A statement signed by the chief execu-
FRA web page that contains the quiet zone tive officer of each public authority partici-
data upon which the public authority is rely- pating in the establishment of the quiet
ing. zone, in which the chief executive officer
(b) If the Notice of Quiet Establishment shall certify that the information submitted
contains a specific reference to § 222.39(b), it by the public authority is accurate and com-
shall include a copy of FRA’s notification of plete to the best of his/her knowledge and be-
approval. lief.
3. If a diagnostic team review was required
under § 222.25 (private crossings) or § 222.27 SECTION V—EXAMPLES OF QUIET ZONE
(pedestrian crossings), the Notice of Quiet IMPLEMENTATIONS
Establishment shall include a statement af- Example 1—New Quiet Zone
firming that the State agency responsible for
grade crossing safety and all affected rail- (a) A public authority wishes to create a
roads were provided an opportunity to par- New Quiet Zone over four public crossings.
ticipate in the diagnostic team review. The All of the crossings are equipped with flash-
Notice of Quiet Establishment shall also ining lights and gates, and the length of the
clude a list of recommendations made by the quiet zone is 0.75 mile. There are no private
diagnostic team. crossings within the proposed zone.
4. A statement of the time period within (b) The tables that follow show the street
which restrictions on the routine sounding of name in the first column, and the existing
the locomotive horn will be imposed (i.e., 24 risk index for each crossing with the horn
hours or from 10 p.m. until 7 a.m.) sounding (‘‘Crossing Risk Index w/ Horns’’) in
5. An accurate and complete Grade Cross- the second. The third column, ‘‘Crossing
ing Inventory Form for each public highway- Risk Index w/o Horns’’, is the risk index for
rail grade crossing, private highway-rail each crossing after it has been inflated by
grade crossing, and pedestrian crossing with- 66.8% to account for the lack of train horns.
324
The fourth column, ‘‘SSM Eff’’, is the effec- of train horns and the reductions in risk at-
tiveness of the SSM at the crossing. A zero tributable to the installation of SSMs. For
indicates that no SSM has been applied. The this example it is assumed that the Nation-
last column, ‘‘Crossing Risk Index w/o Horns wide Significant Risk Threshold is 17,030. In
Plus SSM’’, is the inflated risk index for the order for the proposed quiet zone to qualify
crossing after being reduced by the imple- under the rule, the Quiet Zone Risk Index
mentation of the SSM. At the bottom of the must be reduced to a level at, or below, the
table are two values. The first is the Risk Nationwide Significant Risk Threshold
Index with Horns (‘‘RIWH’’) which represents (17,030) or the Risk Index with Horns.
the average initial amount of risk in the pro- (c) Table 2 shows the existing conditions in
posed quiet zone with the train horn sound- the proposed quiet zone. SSMs have not yet
ing. The second is the Quiet Zone Risk Index been installed. The Risk Index with Horns
(‘‘QZRI’’), which is the average risk in the for the proposed quiet zone is 11,250. The
proposed quiet zone taking into consider- Quiet Zone Risk Index without any SSMs is
ation the increased risk caused by the lack 18,765.
TABLE 2
Crossing
Crossing Crossing risk index
Street risk index risk index SSM EFF w/o horns
w/horns w/o horns plus SSM
A ............................................................................................ 12000 20016 0 20016

B ............................................................................................ 10000 16680 0 16680
C ............................................................................................ 8000 13344 0 13344
D ............................................................................................ 15000 25020 0 25020
RIWH ........................ ........................ QZRI
11250 ........................ ........................ 18765
(d) The public authority decides to install quiet zone corridor that would occur when
traffic channelization devices at D Street. traffic channelization devices are installed
Reducing the risk at the crossing that has at D Street. The Quiet Zone Risk Index has
the highest severity risk index will provide been reduced to 14,073.75. This reduction in
the greatest reduction in risk. The effective- risk would qualify the quiet zone as the risk
ness of traffic channelization devices is 0.75. has been reduced lower than the Nationwide
Table 3 shows the changes in the proposed Significant Risk Threshold which is 17,030.
TABLE 3
Crossing
A ............................................................................................ 12000 20016 0 20016

B ............................................................................................ 10000 16680 0 16680
C ............................................................................................ 8000 13344 0 13344
D ............................................................................................ 15000 25020 0.75 6255
RIWH ........................ ........................ QZRI
11250 ........................ ........................ 14073.75
(e) The public authority realizes that re- fied and additional steps would have to be
ducing the Quiet Zone Risk Index to a level taken to keep the quiet zone. Therefore, the
below the Nationwide Significant Risk public authority decides to reduce the risk
Threshold will result in an annual re-cal- further by the use of traffic channelization
culation of the Quiet Zone Risk Index and devices at A Street. Table 4 shows the re-
comparison to the Nationwide Significant sults of this change. The Quiet Zone Risk
Risk Threshold. As the Quiet Zone Risk Index is now 10,320.75 which is less than the
Index is close to the Nationwide Significant
Risk Index with Horns of 11,250. The quiet
Risk Threshold (14,074 to 17,030), there is a
zone now qualifies by fully compensating for
reasonable chance that the Quiet Zone Risk
Index may some day exceed the Nationwide the loss of train horns and will not have to
Significant Risk Threshold. This would re- undergo annual reviews of the Quiet Zone
sult in the quiet zone no longer being quali- Risk Index.
325
TABLE 4
Crossing
A ............................................................................................ 12000 20016 0.75 5004

B ............................................................................................ 10000 16680 0 16680
C ............................................................................................ 8000 13344 0 13344
D ............................................................................................ 15000 25020 0.75 6255
RIWH ........................ ........................ QZRI
11250 ........................ ........................ 10320.75
Example 2—Pre-Rule Quiet Zone crossing. A zero indicates that no SSM has
been applied. The last column, ‘‘Crossing
(a) A public authority wishes to qualify a
Pre-Rule Quiet Zone which did not meet the Risk Index w/o Horns Plus SSM’’, is the risk
requirements for Automatic Approval be- index without horns for the crossing after
cause the Quiet Zone Risk Index is greater being reduced for the implementation of the
than twice the Nationwide Significant Risk SSM. At the bottom of the table are two val-
Threshold. There are four public crossings in ues. The first is the Risk Index with Horns
the Pre-Rule Quiet Zone. Three of the cross- (RIWH), which represents the average initial
ings are equipped with flashing lights and amount of risk in the proposed quiet zone
gates, and the fourth (Z Street) is passively with the train horn sounding. The second is
signed with a STOP sign. The length of the the Quiet Zone Risk Index (‘‘QZRI’’), which
quiet zone is 0.6 mile, and there are no pri- is the average risk in the proposed quiet zone
vate crossings within the proposed zone. taking into consideration the increased risk
(b) The tables that follow are very similar caused by the lack of train horns and reduc-
to the tables in Example 1. The street name tions in risk attributable to the installation
is shown in the first column, and the exist- of SSMs. Once again it is assumed that the
ing risk index for each crossing (‘‘Crossing Nationwide Significant Risk Threshold is
Risk Index w/o Horns’’) in the second. This is 17,030. The Quiet Zone Risk Index must be re-
a change from the first example because the duced to either the Nationwide Significant
risk is calculated without train horns sound- Risk Threshold (17,030) or to the Risk Index
ing because of the existing ban on whistles. with Horns in order to qualify under the
The third column, ‘‘Crossing Risk Index w/ rule.
Horns’’, is the risk index for each crossing (c) Table 5 shows the existing conditions in
after it has been adjusted to reflect what the the proposed quiet zone. SSMs have not yet
risk would have been had train horns been been installed. The Risk Index with Horns
sounding. This is mathematically done by di- for the proposed quiet zone is 18,705.83. The
viding the existing risk index for the three Quiet Zone Risk Index without any SSMs is
gated crossing by 1.668. The risk at the pas- 31,375. Since the Nationwide Significant Risk
sive crossing at Z Street is divided by 1.749. Threshold is less than the calculated Risk
(See the above discussion in ‘‘Pre-Rule Quiet Index with Horns, the public authority’s goal
Zones—Establishment Overview’’ for more will be to reduce the risk to at least value of
information.) The fourth column, ‘‘SSM the Risk Index with Horns. This will qualify
Eff’’, is the effectiveness of the SSM at the the Pre-Rule Quiet Zone under the rule.
TABLE 5
Crossing
w/o horns w/ horns plus SSM
W ........................................................................................... 35,000 20,983.21 0 35,000

X ............................................................................................ 42,000 25,179.86 0 42,000
Y ............................................................................................ 33,500 20,083.93 0 33,500
Z ............................................................................................ 15,000 8,576.33 0 15,000
RIWH ........................ ........................ QZRI
18,705.83 ........................ ........................ 31,375
(d) The Z Street crossing is scheduled to While this upgrade is not directly a part of
have flashing lights and gates installed as the plan to authorize a quiet zone, the public
part of the state’s highway-rail grade cross- authority may take credit for the risk reduc-
ing safety improvement plan (Section 130). tion achieved by the improvement from a
326
Federal Railroad Administration, DOT Pt. 222, App. D
passive STOP sign crossing to a crossing qualify under the rule. Table 6 shows the
equipped with flashing lights and gates. Un- quiet zone corridor after including the warn-
like New Quiet Zones, upgrades to warning ing device upgrade at Z Street. The Quiet
devices in Pre-Rule Quiet Zones do con- Zone Risk Index has been reduced to 29,500.
tribute to the risk reduction necessary to
TABLE 6
Crossing
W ........................................................................................... 35,000 20,983.21 0 35,000

X ............................................................................................ 42,000 25,179.86 0 42,000
Y ............................................................................................ 33,500 20,083.93 0 33,500
Z ............................................................................................ 7,500 8,576.33 0 7,500
RIWH ........................ ........................ QZRI
18,705.83 ........................ ........................ 29,500
(e) The public authority elects to install this reduces the Quiet Zone Risk Index to
four-quadrant gates without vehicle presence 20,890. This risk reduction is not sufficient to
detection at X Street. As shown in Table 7, quality as quiet zone under the rule.
TABLE 7
Crossing
W ....................................................................................... 35,000 20,983.21 0 35,000

X ........................................................................................ 42,000 25,179.86 0.82 7,560
Y ........................................................................................ 33,500 20,083.93 0 33,500
Z ........................................................................................ 7,500 8,576.33 0 7,500
RIWH ........................ .......................... QZRI
18,705.83 ........................ .......................... 20,890
(f) The public authority next decides to use duction fully compensates for the loss of the
traffic channelization devices at W Street. train horn as it is less than the Risk Index
Table 8 shows that the Quiet Zone Risk with Horns. The quiet zone is qualified under
Index is now reduced to 14,327.5. This risk re- the rule.
TABLE 8
Crossing
W ........................................................................................... 35000 20983.21 0.75 8750

X ............................................................................................ 42000 25179.86 0.82 7560
Y ............................................................................................ 33500 20083.93 0 33500
Z ............................................................................................ 7500 8576.33 0 7500
RIWH ........................ ........................ QZRI
18705.83 ........................ ........................ 14327.5
APPENDIX D TO PART 222—DETERMINING of the associated casualties. Each crossing

RISK LEVELS can be assigned a risk index.
(a) The Nationwide Significant Risk Thresh-
INTRODUCTION old represents the average severity weighted
collision risk for all public highway-rail
The Nationwide Significant Risk Thresh-
grade crossings equipped with lights and
old, the Crossing Corridor Risk Index, and
gates nationwide where train horns are rou-
the Quiet Zone Risk Index are all measures
tinely sounded. FRA developed this index to
of collision risk at public highway-rail grade
serve as a threshold of permissible risk for
crossings that are weighted by the severity
quiet zones established under this rule.
327
(b) The Crossing Corridor Risk Index rep- fatal injury collision is found by subtracting
resents the average severity weighted colli- the probability of a fatal collision from the
sion risk for all public highway-rail grade probability of a casualty collision. To con-
crossings along a defined rail corridor. vert the probability of a fatal or casualty
(c) The Quiet Zone Risk Index represents collision to the number of expected fatal or
the average severity weighted collision risk casualty collisions, that probability is mul-
for all public highway-rail grade crossings tiplied by the number of predicted collisions
that are part of a quiet zone. (PC).
(f) For the prediction and severity index
THE PREDICTION FORMULAS formulas, please see the following DOT pub-
(a) The Prediction Formulas were devel- lications: Summary of the DOT Rail-Highway
oped by DOT as a guide for allocating scarce Crossings Resource Allocation Procedure—Re-
traffic safety budgets at the State level. vised, June 1987, and the Rail-Highway Cross-
They allow users to rank candidate crossings ing Resource Allocation Procedure: User’s
for safety improvements by collision prob- Guide, Third Edition, August 1987. Both docu-
ability. There are three formulas, one for ments are in the docket for this rulemaking
each warning device category: and also available through the National
1. automatic gates with flashing lights; Technical Information Service located in
2. flashing lights with no gates; and Springfield, Virginia 22161.
3. passive warning devices.
(b) The prediction formulas can be used to RISK INDEX
derive the following for each crossing:
(a) The risk index is basically the pre-
1. the predicted collisions (PC)
dicted cost to society of the casualties that
2. the probability of a fatal collision given
are expected to result from the predicted col-
that a collision occurs (P(FC|C))
lisions at a crossing. It incorporates three
3. the probability of a casualty collision
outputs of the DOT prediction formulas. The
given that a collision occurs (P(CC|C))
(c) The following factors are the deter- two components of a risk index are:
minants of the number of predicted colli- 1. Predicted Cost of Fatalities = PC × P(FC|C)
sions per year: × (Average Number of Fatalities Ob-
1. average annual daily traffic served In Fatal Collisions) × $3 million
2. total number of trains per day 2. Predicted Cost of Injuries = PC ×
3. number of highway lanes (P(CC|C)—P(FC|C)) × (Average Number of
4. number of main tracks Injuries in Collisions Involving Injuries)
5. maximum timetable train speed × $1,167,000
6. whether the highway is paved or not PC, P(CC|C), and P(FC|C) are direct outputs
7. number of through trains per day during of the DOT prediction formulas.
daylight hours (b) The average number of fatalities ob-
(d) The resulting basic prediction is im- served in fatal collisions and the average
proved in two ways. It is enriched by the par- number of injuries in collisions involving in-
ticular crossing’s collision history for the
juries were calculated by FRA as follows.
previous five years and it is calibrated by re-
(c) The highway-rail incident files from
setting normalizing constants. The normal-
1999 through 2003 were matched against a
izing constants are reset so that the sum of
data file containing the list of whistle ban
the predicted accidents in each warning de-
crossings in existence from January 1, 1999
vice group (passive, flashing lights, gates)
through December 31, 2003 to identify two
for the top twenty percent most hazardous
types of collisions involving trains and
crossings exactly equals the number of acci-
dents which occurred in a recent period for motor vehicles: (1) Those that occurred at
the top twenty percent of that group. This crossings where a whistle ban was in place
adjustment factor allows the formulas to during the period, and (2) those that oc-
stay current with collision trends. The cali- curred at crossings equipped with automatic
bration also corrects for errors such as data gates where a whistle ban was not in place.
entry errors. The final output is the pre- Certain records were excluded. These were
dicted number of collisions (PC). incidents where the driver was not in the
(e) The severity formulas answer the ques- motor vehicle, or the motor vehicle struck
tion, ‘‘What is the chance that a fatality (or the train beyond the 4th locomotive or rail
casualty) will happen, given that a collision car that entered the crossing. FRA believes
has occurred?’’ The fatality formula cal- that sounding the train horn would not be
culates the probability of a fatal collision very effective at preventing such incidents.2
given that a collision occurs (i.e., the prob-
ability of a collision in which a fatality oc- 2 The data used to make these exclusions is
curs) P(FC|C). Similarly, the casualty for- contained in blocks 18—Position of Car Unit
mula calculates the probability of a casualty in Train; 19—Circumstance: Rail Equipment
collision given that a collision occurs Struck/Struck By Highway User; 28—Number
P(CC|C). As casualties consist of both fatali- of Locomotive Units; and 29—Number of Cars
ties and injuries, the probability of a non- of the current FRA Form 6180–57 Highway-
328
(d) Collisions in the group containing the crossings for input to the Nationwide Sig-
gated crossings nationwide where horns are nificant Risk Threshold.
routinely sounded were then identified as ei- The Nationwide Significant Risk Thresh-
ther fatal, injury only, or no casualty. Colli- old rounds to 17,030. This value is recal-
sions were identified as fatal if one or more culated annually.
deaths occurred, regardless of whether or not
injuries were also sustained. Collisions were CROSSING CORRIDOR RISK INDEX
identified as injury only when injuries, but
no fatalities, resulted. The Crossing Corridor Risk Index is the av-
(e) The collisions (incidents) selected were erage of the risk indexes of all the crossings
summarized by year from 1999 through 2003. in a defined rail corridor. Communities seek-
The total number of collisions for the period ing to establish ‘‘Quiet Zones’’ should ini-
was 2,161. The fatality rate for each year was tially calculate this average for potential
calculated by dividing the number of fatali- corridors.
ties (‘‘Deaths’’) by the number of fatal inci-
dents (‘‘Number’’). The injury rates were cal- QUIET ZONE RISK INDEX
culated by dividing the number of injuries in
The Quiet Zone Risk Index is the average
injury only incidents (‘‘Injured’’) by the
of the risk indexes of all the public crossings
number of injury only incidents (‘‘Number’’).
in a Quiet Zone. It takes into consideration
There were 274 fatal incidents resulting in
324 fatalities and yielding a fatality rate the absence of the horn sound and any safety
1.1825 for the period. There were 551 injury- measures that may have been installed.
only incidents resulting in 733 injuries and EFFECTIVE DATE NOTE: At 72 FR 44792, Aug.
yielding an injury rate 1.3303 for the period. 9, 2007, appendix D was amended by revising
(f) Per guidance from DOT, $3 million is paragraphs (b) through (e) in the section ti-
the value placed on preventing a fatality. tled ‘‘RISK INDEX,’’ the section titled, ‘‘Na-
The Abbreviated Injury Scale (AIS) devel- tionwide Significant Risk Threshold,’’ and
oped by the Association for the Advance-
the section titled, ‘‘Crossing Corridor Risk
ment of Automotive Medicine categorizes in-
Index’’, effective Oct. 9, 2007. For the conven-
juries into six levels of severity. Each AIS
ience of the user, the revised text is set forth
level is assigned a value of injury avoidance
as follows:
as a fraction of the value of avoiding a fatal-
ity . FRA rates collisions that occur at train
speeds in excess of 25 mph as an AIS level 5 APPENDIX D TO PART 222—DETERMINING
($2,287,500) and injuries that result from col- RISK LEVELS
lisions involving trains traveling under 25
mph as an AIS level 2 ($46,500). About half of * * * * *
grade crossing collisions occur at speeds
greater than 25 mph. Therefore, FRA esti- Risk Index
mates that the value of preventing the aver-
age injury resulting from a grade crossing
collision is $1,167,000 (the average of an AIS– * * * * *
5 injury and an AIS–2 injury).
(b) The average number of fatalities ob-
(g) Notice that the quantity [PC*P(FC|C)]
served in fatal collisions and the average
represents the expected number of fatal col-
lisions. Similarly, {PC*[P(CC|C)–P(FC|C)]} number of injuries in collisions involving in-
represents the expected number of injury juries are calculated by FRA as described in
collisions. These are then multiplied by their paragraphs (c) through (e).
respective average number of fatalities and (c) FRA will match the highway-rail inci-
injuries (from the table above) to develop the dent files for the past five years against a
number of expected casualties. The final data file containing the list of grade cross-
parts of the expressions attach the dollar ings where the train horn was not routinely
values for these casualties. sounded over that five-year period to iden-
(h) The Risk Index for a Crossing is the in- tify two types of collisions involving trains
teger sum of the Predicted Cost of Fatalities and motor vehicles: (1) Those that occurred
and the Predicted Cost of Injuries. at crossings where the train horn was not
routinely sounded during the period, and (2)
NATIONWIDE SIGNIFICANT RISK THRESHOLD those that occurred at crossings equipped
The Nationwide Significant Risk Thresh- with automatic gates where the train horn
old is simply an average of the risk indexes was routinely sounded. Certain records will
for all of the gated crossings nationwide be excluded, including records pertaining to
where train horns are routinely sounded. incidents where the driver was not in the
FRA identified 35,803 gated non-whistle ban motor vehicle or where the motor vehicle
struck the train beyond the fourth loco-
Rail Grade Crossing Accident/Incident Re- motive or rail car that entered the crossing.
FRA believes that sounding the train horn
port.
329
Pt. 222, App. E 49 CFR Ch. II (10–1–07 Edition)
would not be very effective at preventing sound the locomotive horn for at least 15 sec-
such incidents.1 onds prior to arrival at the crossing in the
(d) Collisions in the group containing the event the wayside horn is not operating as
gated crossings nationwide where horns were intended;
routinely sounded will then be identified as 3. The railroad must adopt an operating
fatal, injury only or no casualty. Collisions rule, bulletin or special instruction requiring
will be identified as fatal if one or more that the train horn be sounded if the wayside
deaths occurred, regardless of whether inju- horn indicator is not visible approaching the
ries were also sustained. Collisions will be crossing or if the wayside horn indicator, or
identified as injury only when injuries, but an equivalent system, indicates that the sys-
no fatalities, resulted. tem is not operating as intended;
(e) The collisions (incidents) will be sum- 4. Horn system must provide a minimum
marized by year for the five-year period pre- sound level of 92 dB(A) and a maximum of 110
ceding the year in which the risk index is dB(A) when measured 100 feet from the cen-
being updated. The fatality rate for each terline of the nearest track;
year will be calculated by dividing the num- 5. Horn system must sound at a minimum
ber of fatalities by the number of fatal inci- of 15 seconds prior to the train’s arrival at
dents. The injury rate will be calculated by the crossing and while the lead locomotive is
dividing the number of injuries in injury traveling across the crossing. It is permis-
only incidents by the number of injury only sible for the horn system to begin to sound
incidents. FRA will publish updated fatality simultaneously with activation of the flash-
and injury rates on an annual basis in the ing lights or descent of the crossing arm;
FEDERAL REGISTER. arm
6. Horn shall be directed toward approach-
* * * * * ing traffic.
Nationwide Significant Risk Threshold APPENDIX F TO PART 222—DIAGNOSTIC

The Nationwide Significant Risk Thresh- TEAM CONSIDERATIONS
old is simply an average of the risk indexes
for all of the gated public crossings nation- For purposes of this part, a diagnostic
wide where train horns are routinely sound- team is a group of knowledgeable representa-
ed. This value will be recalculated annually tives of parties of interest in a highway-rail
and published in a notice in the FEDERAL grade crossing, organized by the public au-
REGISTER. For the most recent value of the thority responsible for that crossing who,
Nationwide Significant Risk Threshold, using crossing safety management prin-
please visit FRA’s public Web site at http:// ciples, evaluate conditions at a grade cross-
www.fra.dot.gov. ing to make determinations or recommenda-
tions for the public authority concerning the
Crossing Corridor Risk Index safety needs at that crossing. Crossings pro-
The Crossing Corridor Risk Index is the av- posed for inclusion in a quiet zone should be
erage of the risk indexes of all the public reviewed in the field by a diagnostic team
crossings in a defined rail corridor. composed of railroad personnel, public safety
or law enforcement, engineering personnel
APPENDIX E TO PART 222— from the State agency responsible for grade
crossing safety, and other concerned parties.
REQUIREMENTS FOR WAYSIDE HORNS
This diagnostic team, using crossing safety
This appendix sets forth the following min- management principles, should evaluate con-
imum requirements for wayside horn use at ditions at a grade crossing to make deter-
highway-rail grade crossings: minations and recommendations concerning
1. Highway-rail crossing must be equipped safety needs at that crossing. The diagnostic
with constant warning time device, if rea- team can evaluate a crossing from many per-
sonably practical, and power-out indicator; spectives and can make recommendations as
2. Horn system must be equipped with an to what safety measures authorized by this
indicator or other system to notify the loco- part might be utilized to compensate for the
motive engineer as to whether the wayside silencing of the train horns within the pro-
horn is operating as intended in sufficient posed quiet zone.
time to enable the locomotive engineer to
ALL CROSSINGS WITHIN A PROPOSED QUIET
1 The
ZONE
data used to make these exclusions is
contained in blocks 18—Position of Car Unit The diagnostic team should obtain and re-
in Train; 19—Circumstance: Rail Equipment view the following information about each
Struck/Struck by Highway User; 28—Number crossing within the proposed quiet zone:
of Locomotive Units; and 29—Number of Cars 1. Current highway traffic volumes and
on the current FRA Form 6180–57 Highway- percent of trucks;
Rail Grade Crossing Accident/Incident Re- 2. Posted speed limits on all highway ap-
port. proaches;
330
Federal Railroad Administration, DOT Pt. 222, App. F
3. Maximum allowable train speeds, both ble and in good condition for both day and
passenger and freight; night time visibility?
4. Accident history for each crossing under 10. What kind of train detection is in place
consideration; at each crossing? Are these systems old or
5. School bus or transit bus use at the outmoded; are they in need of replacement,
crossing; and upgrading, or refurbishment?
6. Presence of U.S. DOT grade crossing in- 11. Are there sidings or other tracks adja-
ventory numbers clearly posted at each of cent to the crossing that are often used to
the crossings in question. store railroad cars, locomotives, or other
The diagnostic team should obtain all in- equipment that could obscure the vision of
ventory information for each crossing and road users as they approach the crossings in
should check, while in the field, to see that the quiet zone? Clear visibility may help to
inventory information is up-to-date and ac- reduce automatic warning device violations.
curate. Outdated inventory information 12. Are motorists currently violating the
should be updated as part of the quiet zone warning devices at any of the crossings at an
development process. excessive rate?
When in the field, the diagnostic team 13. Do collision statistics for the corridor
should take note of the physical characteris- indicate any potential problems at any of
tics of each crossing, including the following the crossings?
14. If school buses or transit buses use
items:
crossings within the proposed quiet zone cor-
1. Can any of the crossings within the pro-
ridor, can they be rerouted to use a single
posed quiet zone be closed or consolidated
crossing within or outside of the quiet zone?
with another adjacent crossing? Crossing
elimination should always be the preferred PRIVATE CROSSINGS WITHIN A PROPOSED
alternative and it should be explored for QUIET ZONE
crossings within the proposed quiet zone.
2. What is the number of lanes on each In addition to the items discussed above, a
highway approach? Note the pavement con- diagnostic team should note the following
dition on each approach, as well as the con- issues when examining any private crossings
dition of the crossing itself. within a proposed quiet zone:
1. How often is the private crossing used?
3. Is the grade crossing surface smooth,
2. What kind of signing or pavement mark-
well graded and free draining?
ings are in place at the private crossing?
4. Does the alignment of the railroad
3. What types of vehicles use the private
tracks at the crossing create any problems
crossing?
for road users on the crossing? Are the School buses
tracks in superelevation (are they banked on Large trucks
a curve?) and does this create a conflict with Hazmat carriers
the vertical alignment of the crossing road- Farm equipment
way? 4. What is the volume, speed and type of
5. Note the distance to the nearest inter- train traffic over the crossing?
section or traffic signal on each approach (if 5. Do passenger trains use the crossing?
within 500 feet or so of the crossing or if the 6. Do approaching trains sound the horn at
signal or intersection is determined to have the private crossing?
a potential impact on highway traffic at the State or local law requires it?
crossing because of queuing or other special Railroad safety rule requires it?
problems). 7. Are there any nearby crossings where
6. If a roadway that runs parallel to the train horns sound that might also provide
railroad tracks is within 100 feet of the rail- some warning if train horns were not sound-
road tracks when it crosses an intersecting ed at the private crossing?
road that also crosses the tracks, the appro- 8. What are the approach (corner) sight dis-
priate advance warning signs should be post- tances?
ed as shown in the MUTCD. 9. What is the clearing sight distance for
7. Is the posted highway speed (on each ap- all approaches?
proach to the crossing) appropriate for the 10. What are the private roadway approach
alignment of the roadway and the configura- grades?
tion of the crossing? 11. What are the private roadway pavement
8. Does the vertical alignment of the cross- surfaces?
ing create the potential for a ‘‘hump cross-
ing’’ where long, low-clearance vehicles PEDESTRIAN CROSSINGS WITHIN A PROPOSED
might get stuck on the crossing? QUIET ZONE
9. What are the grade crossing warning de- In addition to the items discussed in the
vices in place at each crossing? Flashing section titled, ‘‘All crossings within a pro-
lights and gates are required for each public posed quiet zone’’, a diagnostic team should
crossing in a New Quiet Zone. Are all re- note the following issues when examining
quired warning devices, signals, pavement any pedestrian crossings within a proposed
markings and advance signing in place, visi- quiet zone:
331
Pt. 222, App. G 49 CFR Ch. II (10–1–07 Edition)
1. How often is the pedestrian crossing 5. Are there any crossings where train
used? horns sound that might also provide some
2. What kind of signing or pavement mark- warning if train horns were not sounded at
ings are in place at the pedestrian crossing? the pedestrian crossing?
3. What is the volume, speed, and type of 6. What are the approach sight distances?
train traffic over the crossing? 7. What is the clearing sight distance for
4. Do approaching trains sound the horn at all approaches?
the pedestrian crossing?
State or local law requires it? APPENDIX G TO PART 222—SCHEDULE OF
Railroad safety rule requires it? CIVIL PENALTIES 1
Willful
Subpart B—Use of Locomotive Horns

§ 222.21 Use of locomotive horn
(a) Failure to sound horn at grade crossing ................................................................................. $5,000 $7,500
Failure to sound horn in proper pattern .......................................................................... 1,000 3,000
(b) Failure to sound horn at least 15 seconds and less than 1⁄4-mile before crossing ................ 5,000 7,500
Sounding the locomotive horn more than 25 seconds before crossing ......................... 1,000 2,000
Sounding the locomotive horn more than 1⁄4-mile in advance of crossing .................... 1,000 2,000
§ 222.33 Failure to sound horn when conditions of § 222.33 are not met 5,000 7,500
§ 222.45 Routine sounding of the locomotive horn at quiet zone crossing 5,000 7,500
§ 222.49 (b) Failure to provide Grade Crossing Inventory Form information 2,500 5,000
§ 222.59 (d) Routine sounding of the locomotive horn at a grade crossing equipped with
wayside horn 5,000 7,500
PART 223—SAFETY GLAZING Subpart A—General

STANDARDS—LOCOMOTIVES,
PASSENGER CARS AND CA- § 223.1 Scope.
BOOSES This part provides minimum require-
ments for glazing materials in order to
Subpart A—General protect railroad employees and rail-
road passengers from injury as a result
Sec. of objects striking the windows of loco-
223.1 Scope. motives, caboose and passenger cars.
223.3 Application.
223.5 Definitions. [44 FR 77352, Dec. 31, 1979]
223.7 Responsibility.
§ 223.3 Application.
Subpart B—Specific Requirements (a) This part applies to railroads that
223.8 Additional requirements for passenger operate rolling equipment on standard
equipment. gauge track that is a part of the gen-
223.9 Requirements for new or rebuilt equip- eral railroad system of transportation.
ment. (b) This part does not apply to—
223.11 Requirements for existing loco- (1) Locomotives, cabooses, and pas-
motives.
senger cars that operate only on track
223.13 Requirements for existing cabooses.
223.15 Requirements for existing passenger
inside an installation that is not part
cars. of the general railroad system of trans-
223.17 Identification of equipped loco- portation;
motives, passenger cars and cabooses. (2) Rapid transit operations in an
APPENDIX A TO PART 223—CERTIFICATION OF urban area that are not connected with
GLAZING MATERIALS the general railroad system of trans-
APPENDIX B TO PART 223—SCHEDULE OF CIVIL portation.
PENALTIES (3) Locomotives, passenger cars and
AUTHORITY: 49 U.S.C. 20102–03, 20133, 20701– cabooses that are historical or anti-
20702, 21301–02, 21304; 28 U.S.C. 2461, note; and quated equipment and are used only for
49 CFR 1.49. excursion, educational, recreational
1 A penalty may be assessed against an in- penalty of up to $27,000 for any violation
dividual only for a willful violation. The Ad- where circumstances warrant. See 49 CFR
ministrator reserves the right to assess a Part 209, appendix A.
332
purposes or private transportation pur- side facing location shall be considered

poses. a front facing location.
(4) Locomotives that are used exclu- FRA means the Federal Railroad Ad-
sively in designated service as defined ministration.
in § 223.5(m). Locomotive means a self-propelled
[44 FR 77352, Dec. 31, 1979, as amended at 53 unit of equipment designed primarily
FR 28600, July 28, 1988] for moving other equipment. It does
not include self-propelled passenger
§ 223.5 Definitions. cars.
As used in this part— Locomotive cab means that portion of
Administrator means the Adminis- the superstructure designed to be occu-
trator of the Federal Railroad Admin- pied by the crew while operating the
istration or the Administrator’s dele- locomotive.
gate. Passenger car means a unit of rail
Caboose means a car in a freight train rolling equipment intended to provide
intended to provide transportation for transportation for members of the gen-
crewmembers. eral public and includes self-propelled
Certified glazing means a glazing ma- cars designed to carry baggage, mail,
terial that has been certified by the express or passengers. This term in-
manufacturer as having met the test- cludes a passenger coach, cab car, and
ing requirements set forth in Appendix an MU locomotive. This term does not
A of this part and that has been in- include a private car.
stalled in such a manner that it will Passenger train service means the
perform its intended function. transportation of persons (other than
Designated service means exclusive op- employees, contractors, or persons
eration of a locomotive under the fol- riding equipment to observe or monitor
lowing conditions: railroad operations) in intercity pas-
(1) The locomotive is not used as an senger service or commuter or other
independent unit or the controlling short-haul passenger service in a met-
unit is a consist of locomotives except ropolitan or suburban area.
when moving for the purpose of serv- Person includes all categories of enti-
icing or repair within a single yard ties covered under 1 U.S.C. 1, including,
area; but not limited to, a railroad; any
(2) The locomotive is not occupied by manager, supervisor, official, or other
operating or deadhead crews outside a employee or agent of a railroad; any
single yard area; and owner, manufacturer, lessor, or lessee
(3) The locomotive is stenciled ‘‘Des- of railroad equipment, track, or facili-
ignated Service—DO NOT OCCUPY’’. ties; any passenger, any trespasser or
Emergency responder means a member nontrespasser; any independent con-
of a police or fire department, or other tractor providing goods or services to a
organization involved with public safe- railroad; and any employee of such
ty charged with providing or coordi- owner, manufacturer, lessor, lessee, or
nating emergency services, who re- independent contractor.
sponds to a passenger train emergency. Railroad means:
Emergency window means that seg- (1) Any form of non-highway ground
ment of a side facing glazing location transportation that runs on rails or
which has been designed to permit electromagnetic guideways, including
rapid and easy removal during a crisis (i) Commuter or other short-haul rail
situation. passenger service in a metropolitan or
End facing glazing location means any suburban area and commuter railroad
location where a line perpendicular to service that was operated by the Con-
the plane of the glazing material solidated Rail Corporation on January
makes a horizontal angle of 50 degrees 1, 1979, and
or less with the centerline of the loco- (ii) High speed ground transportation
motive, caboose or passenger car. Any systems that connect metropolitan
location which, due to curvature of the areas, without regard to whether those
glazing material, can meet the criteria systems use new technologies not asso-
for either a front facing location or a ciated with traditional railroads, but
333
§ 223.7 49 CFR Ch. II (10–1–07 Edition)
does not include rapid transit oper- assessed against individuals only for
ations in an urban area that are not willful violations, and, where a grossly
connected to the general railroad sys- negligent violation or a pattern of re-
tem of transportation and peated violations has created an immi-
(2) A person that provides railroad nent hazard of death or injury to per-
transportation, whether directly or by sons, or has caused death or injury, a
contracting out operation of the rail- penalty not to exceed $27,000 per viola-
road to another person. tion may be assessed. Each day a viola-
Rebuilt locomotive, caboose or passenger tion continues shall constitute a sepa-
car means a locomotive, caboose or rate offense. See appendix B to this
passenger car that has undergone over- part for a statement of agency civil
haul which has been identified by the penalty policy.
railroad as a capital expense under
Surface Transportation Board account- [53 FR 28601, July 28, 1988, as amended at 53
FR 52930, Dec. 29, 1988; 63 FR 11621, Mar. 10,
ing standards. 1998; 69 FR 30595, May 28, 2004]
Side facing glazing location means any
location where a line perpendicular to EFFECTIVE DATE NOTE: At 72 FR 51197,
the plane of the glazing material Sept. 6, 2007, § 223.7 was amended by removing
makes an angle of more than 50 degrees the numerical amount ‘‘$11,000’’ and adding
with the centerline of the locomotive, effective October 9, 2007.
caboose or passenger car.
Windshield means the combination of
individual units of glazing material of Subpart B—Specific Requirements
the locomotive, passenger car, or ca-
§ 223.8 Additional requirements for
boose that are positioned in an end fac- passenger equipment.
ing glazing location.
Yard is a system of auxiliary tracks In addition to the requirements con-
used exclusively for the classification tained in this part, requirements for
of passenger or freight cars according emergency window exits and window
to commodity or destination; assem- safety glazing on passenger equipment,
bling of cars for train movement; stor- as defined in § 238.5 of this chapter, are
age of cars; or repair of equipment. also found in part 238 of this chapter.
Yard caboose means a caboose that is [64 FR 25659, May 12, 1999]
used exclusively in a single yard area.
Yard locomotive means a locomotive § 223.9 Requirements for new or re-
that is operated only to perform built equipment.
switching functions within a single (a) Locomotives, including yard loco-
yard area. motives, built or rebuilt after June 30,
[63 FR 24675, May 4, 1998; 63 FR 36376, July 6, 1980, must be equipped with certified
1998] glazing in all locomotive cab windows.
(b) Cabooses, including yard ca-
§ 223.7 Responsibility. booses, built or rebuilt after June 30,
Any person (an entity of any type 1980, must be equipped with certified
covered under 1 U.S.C. 1, including but glazing in all windows.
not limited to the following: a railroad; (c) Passenger cars, including self-pro-
a manager, supervisor, official, or pelled passenger cars, built or rebuilt
other employee or agent of a railroad; after June 30, 1980, must be equipped
any owner, manufacturer, lessor, or with certified glazing in all windows
lessee of railroad equipment, track, or and at least four emergency opening
facilities; any independent contractor windows.
providing goods or services to a rail- (d) Marking. Each railroad providing
road; and any employee of such owner, passenger train service shall ensure
manufacturer, lessor, lessee, or inde- that for each passenger car, except for
pendent contractor) who violates any self-propelled cars designed to carry
requirement of this part or causes the baggage, mail, or express:
violation of any such requirement is (1) Each emergency window is con-
subject to a civil penalty of at least spicuously and legibly marked with lu-
$550 and not more than $11,000 per vio- minescent material on the inside of
lation, except that: Penalties may be each car to facilitate passenger egress.
334
Each such railroad shall post clear and (1) Shall be placed in Designated
legible operating instructions at or Service within 48 hours of the time of
near each such exit. breakage or damage or
(2) Each window intended for emer- (2) Shall be removed from service
gency access by emergency responders until equipped with certified glazing in
for extrication of passengers is marked the following manner:
with a retroreflective, unique, and eas- (i) If the broken or damaged window
ily recognizable symbol or other clear is a part of the windshield of the loco-
marking. Each such railroad shall post motive cab, all of the forward and rear-
clear and understandable window-ac- ward end facing glazing locations of
cess instructions either at each such the locomotive cab must be replaced
window or at each end of the car. with certified glazing.
(ii) If the broken or damaged window
FR 49271, July 24, 1980; 63 FR 24675, May 4, is a part of the sidefacing window of
1998] the locomotive cab, all of the
sidefacing glazing locations of the loco-
§ 223.11 Requirements for existing lo- motive cab must be replaced with cer-
comotives. tified glazing.
(a) Locomotives, other than yard lo- (Sec. 209 of the Federal Railroad Safety Act,
comotives, built or rebuilt prior to 94 Stat. 957 (45 U.S.C. 438); sec. 1.49(m) of the
July 1, 1980, which are equipped in the regulations of the Office of the Secretary of
forward and rearward end facing glaz- Transportation, 49 CFR 1.49(m))
ing locations of the locomotive cab [45 FR 49271, July 24, 1980, as amended at 48
windshield with a glazing material that FR 24083, May 31, 1983; 48 FR 56956, Dec. 27,
meets the criteria for either portion of 1983]
the impact testing required for a Type
I test under the provisions of appendix § 223.13 Requirements for existing ca-
A of this part, will not require the in- booses.
stallation of certified glazing in the (a) Cabooses, other than yard ca-
windshield location except to replace booses, built or rebuilt prior to July 1,
windshield glazing material that is bro- 1980, which are equipped in the forward
ken or damaged. and rearward end facing glazing loca-
(b) Locomotives, other than yard lo- tions of the windshield with a glazing
comotives, built or rebuilt prior to material that meets the criteria for ei-
July 1, 1980, which are equipped in all ther portion of the impact testing re-
locomotive cab side facing glazing lo- quired for a Type I test under the pro-
cations with a glazing material that visions of appendix A of this part, will
meets the criteria for either portion of not require the installation of certified
the impact testing required for a Type glazing in the windshield location ex-
II test under the provisions of appendix cept to replace windshield glazing ma-
A of this part, will not require the in- terial that is broken or damaged.
stallation of certified glazing in the (b) Cabooses, other than yard ca-
sidefacing glazing location except to booses, built or rebuilt prior to July 1,
replace sidefacing glazing material 1980, which are equipped in all side fac-
that is broken or damaged. ing glazing locations with a glazing
(c) Except for yard locomotives and material that meets the criteria for ei-
locomotives equipped as described in ther portion of the impact testing re-
paragraphs (a) and (b), of this section, quired for a Type II test under the pro-
locomotives built or rebuilt prior to visions of appendix A of this part, will
July 1, 1980, shall be equipped with cer- not require the installation of certified
tified glazing in all locomotive cab glazing in the sidefacing glazing loca-
windows after June 30, 1984. tions except to replace sidefacing glaz-
(d) Each locomotive subject to the ing material that is broken or dam-
provisions of paragraph (c) of this sec- aged.
tion which, as a result of an act of van- (c) Except for yard cabooses and ca-
dalism has a locomotive cab window booses equipped as described in para-
that is broken or damaged so that the graphs (a) and (b), cabooses built or re-
window fails to permit good visibility— built prior to July 1, 1980, shall be
335
§ 223.15 49 CFR Ch. II (10–1–07 Edition)
equipped with certified glazing in all tified glazing in all windows and a min-
windows after June 30, 1984. imum of four emergency windows after
(d) Each caboose subject to the provi- June 30, 1984.
sion of paragraph (c) of this section, (d) Each passenger car subject to the
which, as a result of an act of van- provisions of paragraph (c) of this sec-
dalism, has a window that is broken or tion which as a result of an act of van-
damaged so that the window fails to dalism, has a window that is broken or
permit good visibility shall be equipped damaged so that the window fails to
with certified glazing in the following permit good visibility shall be equipped
manner: with certified glazing in the following
(1) If the broken window is a part of manner:
the windshield, all of the forward and (1) When the broken window is a part
rearward end facing glazing locations of the windshield, all of the forward
must be replaced with certified glazing and rearward end facing glazing loca-
within 30 days of the date of breakage tions shall be replaced with certified
or damage. glazing within 30 days of breakage.
(2) If the broken window is a part of (2) When the broken window is a part
the sidefacing window, all of the of the sidefacing window, the glazing in
sidefacing glazing locations must be re- that individual sidefacing glazing loca-
placed with certified glazing within 30 tion shall be replaced with certified
days of the date of breakage. glazing within 30 days of the date of
breakage.
(Sec. 209 of the Federal Railroad Safety Act,
94 Stat. 957 (45 U.S.C. 438); § 1.49(m) of the (Sec. 209 of the Federal Railroad Safety Act,
regulations of the Office of the Secretary of 94 Stat. 957 (45 U.S.C. 438); sec. 1.49(m) of the
Transportation, 49 CFR 1.49(m)) regulations of the Office of the Secretary of
Transportation, 49 CFR 1.49(m))
FR 24083, May 31, 1983; 48 FR 56956, Dec. 27, [44 FR 77352, Dec. 31, 1979, as amended at 48
1983] FR 24083, May 31, 1983; 48 FR 56956, Dec. 27,
1983]
§ 223.15 Requirements for existing pas-
senger cars. § 223.17 Identification of equipped lo-
comotives, passenger cars and ca-
(a) Passenger cars built or rebuilt booses.
prior to July 1, 1980, which are
equipped in the forward and rearward Each locomotive, passenger car and
end facing glazing locations of the caboose that is fully equipped with
windshield with a glazing material that glazing materials that meet the re-
meets the criteria for either portion of quirements of this part shall be sten-
the impact testing required for a Type cilled on an interior wall as follows:
I test under the provisions of appendix ‘‘Fully Equipped FRA Part 223 glazing’’
A of this part will not require the in- or similar words conveying that mean-
stallation of certified glazing in the ing in letters at least 3⁄8 inch high.
windshield location except to replace [45 FR 49271, July 24, 1980]
windshield glazing material that is bro-
ken or damaged. APPENDIX A TO PART 223—
(b) Passenger cars built or rebuilt CERTIFICATION OF GLAZING MATERIALS
prior to July 1, 1980, which are
As provided in this part, certified glazing
equipped in the sidefacing glazing loca-
materials installed in locomotives, passenger
tions with a glazing material that cars, or cabooses must be certified by the
meets the criteria for either portion of glazing manufacturer in accordance with the
the impact testing required for a Type following procedures:
II test under the provisions of appendix a. General Requirements
A of this part, will not require the in- (1) Each manufacturer that provides glaz-
stallation of certified glazing except to ing materials, intended by the manufacturer
replace sidefacing glazing material for use in achieving compliance with the re-
quirements of this part, shall certify that
that is broken or damaged. each type of glazing material being supplied
(c) Except for passenger cars de- for this purpose has been succcessfully tested
scribed in paragraphs (a) and (b), pas- in accordance with this appendix and that
senger cars built or rebuilt prior to test verification data is available to a rail-
July 1, 1980, shall be equipped with cer-
road or to FRA upon request.
336
(2) The test verification data shall contain (11) The Test Specimen for glazing mate-
all pertinent original data logs and docu- rial that is intended for use only in side fac-
mentation that the selection of material ing glazing locations shall be subjected to a
samples, test set-ups, test measuring de- Type II test regimen consisting of the fol-
vices, and test procedures were performed by lowing tests:
qualified personnel using recognized and ac- (i) Ballistic Impact in which a standard 22
ceptable practices and in accordance with caliber long rifle lead bullet of 40 grains in
this appendix. weight impacts at a minimum of 960 feet per
b. Testing Requirements second velocity.
(1) The material to be tested (Target Mate- (ii) Large Object Impact in which a cinder
rial) shall be a full scale sample of the larg- block of 24 lbs minimum weight with dimen-
est dimension intended to be produced and sions of 8 inches by 8 inches by 16 inches
installed. nominally impacts at the corner of the block
(2) The Target Material shall be represent- at a minimum of 12 feet per second velocity.
ative of production material and shall be se- The cinder block must be of the composition
lected on a documented random choice basis. referenced in ASTM C33L or ASTM C90.
(3) The Target Material shall be securely (12) Three different test specimens must be
and rigidly attached in a fixture so that the subjected to the ballistic impact portion of
fixture’s own characteristics will not induce these tests.
test errors. (13) Two different test specimens must be
subjected to the large object impact portion
(4) The Target Material so selected and at-
of these tests.
tached shall constitute a Test Specimen.
(14) A material so tested must perform so
(5) The Test Specimen will then be
that:
equipped with a Witness Plate that shall be (i) there shall be no penetration of the
mounted parallel to and at a distance of six back surfaces (side closest to Witness Plate)
inches in back of the Target Material. The of the Target Material by the projectile. Par-
Witness Plate shall have at least an area tial penetration of the impact (front) surface
which will cover the full map of the Target of the Target Material does not constitute a
Material. failure; and
(6) The Witness Plate shall be an unbacked (ii) there shall be no penetration of par-
sheet of maximum 0.006 inch, alloy 1100 tem- ticles from the back side of the Target Mate-
per O, aluminum stretched within the perim- rial through the back side of the prescribed
eter of a suitable frame to provide a taut Witness Plate.
surface. (15) Test specimens must consecutively
(7) The Test Specimen will be positioned so pass the required number of tests at the re-
that the defined projectile impacts it at an quired minimum velocities. Individual tests
angle of 90 degrees to the Test Specimen sur- resulting in failures at greater than the re-
face. quired minimum velocities may be repeated
(8) The point of impact of the defined pro- but a failure of an individual test at less
jectile will be within a radius of 3″ of the than the minimum velocity shall result in
centroid of the Target Material. termination of the total test and failure of
(9) Velocity screens or other suitable ve- the material.
locity measuring devices will be positioned (16) After successful completion of the pre-
so as to measure the impact velocity of the scribed set of required consecutive tests, a
defined projectile within a 10% accuracy tol- manufacturer may certify in writing that a
erance, with test modifications made to particular glazing material meets the re-
guarantee that the stipulated minimum ve- quirements of these standards.
locity requirements are met. c. Material Identification
(10) The Test Specimen for glazing mate- (1) Each individual unit of glazing material
rial that is intended for use in end facing shall be permanently marked, prior to in-
glazing locations shall be subjected to a stallation, to indicate that this type of ma-
Type I test regimen consisting of the fol- terial has been successfully tested as set
lowing tests: forth in this appendix and that marking
(i) Ballistic Impact in which a standard 22 shall be done in such a manner that it is
caliber long rifle lead bullet of 40 grains in clearly visible after the material has been
weight impacts at a minimum of 960 feet per installed.
second velocity. (2) Each individual unit of a glazing mate-
(ii) Large Object Impact in which a cinder rial that has successfully passed the Type I
block of 24 lbs minimum weight with dimen- testing regimen shall be marked to indicate:
sions of 8 inches by 8 inches by 16 inches (i) ‘‘FRA Type I’’ material;
nominally impacts at the corner of the block (ii) the manufacturer of the material;
at a minimum of 44 feet per second velocity. (iii) the type or brand identification of the
The cinder block must be of composition ref- material.
erenced in American Society for Testing and (3) Each individual unit of a glazing mate-
Materials (ASTM) Specification C33L or rial that has successfully passed the Type II
ASTM C90. testing regimen shall be marked to indicate:
337
(i) ‘‘FRA Type II’’ material; 224.15 Special approval procedures.
(ii) the manufacturer of the material;
(iii) the type or brand identification of the Subpart B—Application, Inspection, and
material. Maintenance of Retroreflective Material
APPENDIX B TO PART 223—SCHEDULE OF 224.101 General requirements.
CIVIL PENALTIES 1 224.103 Characteristics of retroreflective
sheeting.
Section Violation Willful viola- 224.105 Sheeting dimensions and quantity.
tion 224.106 Location of retroreflective sheeting.
224.107 Implementation schedule.
223.9 New or rebuilt Equip-
ment: 224.109 Inspection, repair, and replacement.
(a) Locomotives ........... $2,500 $5,000 224.111 Renewal.
(b) Cabooses .............. 2,500 5,000 APPENDIX A TO PART 224—SCHEDULE OF CIVIL
(c) Passenger cars ...... 2,500 5,000 PENALTIES
(d) (1), (d)(2):.
(i) Window not
APPENDIX B TO PART 224—FORM
marked or REFLECTORIZATION IMPLEMENTATION COM-
instructions PLIANCE REPORT
not posted 2,500 5,000 APPENDIX C TO PART 224—GUIDELINES FOR
(ii) Window SUBMITTING REFLECTORIZATION IMPLE-
improperly MENTATION COMPLIANCE REPORTS
marked or
instructions AUTHORITY: 49 U.S.C. 20103, 20107, 20148 and
improperly 21301; 28 U.S.C. 2461; and 49 CFR 1.49.
posted ....... 1,000 2,000
223.11(c) Existing locomotives 2,500 5,000 SOURCE: 70 FR 62176, Oct. 28, 2005, unless
(d) Repair of window ................. 1,000 2,000 otherwise noted.
223.13(c) Existing cabooses ..... 2,500 5,000
(d) Repair of window ................. 1,000 2,000
223.15(c) Existing passenger Subpart A—General
cars ........................................ 2,500 5,000
(d) Repair of window ................. 1,000 2,000 § 224.1 Purpose and scope.
223.17 Identification of units ... 1,000 1,500
(a) The purpose of this part is to re-
duce highway-rail grade crossing acci-
[63 FR 24676, May 4, 1998, as amended at 69 dents and deaths, injuries, and prop-
FR 30594, May 28, 2004]
erty damage resulting from those acci-
dents, by enhancing the conspicuity of
PART 224—REFLECTORIZATION OF rail freight rolling stock so as to in-
RAIL FREIGHT ROLLING STOCK crease its detectability by motor vehi-
cle operators at night and under condi-
Subpart A—General tions of poor visibility.
Sec.
(b) In order to achieve cost-effective
224.1 Purpose and scope. mitigation of collision risk at high-
224.3 Applicability. way-rail grade crossings, this part es-
224.5 Definitions. tablishes the duties of freight rolling
224.7 Waivers. stock owners (including those who
224.9 Responsibility for compliance. manage maintenance of freight rolling
224.11 Penalties. stock, supply freight rolling stock for
transportation, or offer freight rolling
stock in transportation) and railroads
1 A penalty may be assessed against an in-
to progressively apply retroreflective
dividual only for a willful violation. The Ad-
ministrator reserves the right to assess a
material to freight rolling stock, and
penalty of up to $27,000 for any violation to periodically inspect and maintain
where circumstances warrant. See 49 U.S.C. that material. Freight rolling stock
21301, 21304, and 49 CFR part 209, appendix A. owners, however, are under no duty to
Further designations, not found in the CFR install, clean or otherwise maintain, or
citation for certain provisions are FRA Of- repair reflective material except as
fice of Chief Counsel computer codes added specified in this part.
as a suffix to the CFR citation and used to (c) This part establishes a schedule
expedite imposition of civil penalties for vio-
lations. FRA reserves the right, should liti-
for the application of retroreflective
gation become necessary, to substitute in its material to rail freight rolling stock
complaint the CFR citation in place of the and prescribes standards for the appli-
combined designation cited in the penalty cation, inspection, and maintenance of
retroreflective material to rail freight
demand letter.
338
rolling stock for the purpose of enhanc- freight rolling stock on behalf of an
ing its detectability at highway-rail owner or one or more lessors or lessees,
grade crossings. This part does not re- or otherwise controls the maintenance
strict a freight rolling stock owner or or use of freight rolling stock.
railroad from applying retroreflective Locomotive has the meaning assigned
material to freight rolling stock for by § 229.5 of this chapter, but for pur-
other purposes if not inconsistent with poses of this part applies only to a lo-
the recognizable pattern required by comotive used in the transportation of
this part. freight or the operation of a work
train.
§ 224.3 Applicability. Obscured means concealed or hidden
This part applies to all railroad (i.e., covered up, as where a layer of
freight cars and locomotives that oper- paint or dense chemical residue blocks
ate over a public or private highway- all incoming light); this term does not
rail grade crossing and are used for rev- refer to ordinary accumulations of dirt,
enue or work train service, except: grime, or ice resulting from the normal
(a) Freight rolling stock that oper- railroad operating environment.
ates only on track inside an installa- Person means an entity of any type
tion that is not part of the general rail- covered under 1 U.S.C. 1, including but
road system of transportation; not limited to the following: A rail-
(b) Rapid transit operations in an road; a manager, supervisor, official, or
urban area that are not connected to other employee or agent of a railroad;
the general railroad system of trans- any owner, manufacturer, lessor, or
portation; lessee of railroad equipment, track or
(c) Locomotives and passenger cars facilities; any independent contractor
used exclusively in passenger service; providing goods or services to a rail-
or road; and any employee of such an
(d) Freight rolling stock that is sub- owner, manufacturer, lessor, lessee, or
ject to a reflectorization requirement independent contractor.
promulgated by another Federal agen- Railroad means all forms of non-high-
cy. way ground transportation that run on
rails or electromagnetic guideways, in-
§ 224.5 Definitions. cluding high speed ground transpor-
Administrator means the Adminis- tation systems that connect metropoli-
trator of the Federal Railroad Admin- tan areas, without regard to whether
istration or the Administrator’s dele- they use new technologies not associ-
gate. ated with traditional railroads.
Associate Administrator means the As- Railroad freight car has the meaning
sociate Administrator for Safety, Fed- assigned by § 215.5 of this chapter.
eral Railroad Administration, or the Tank car means a rail car, the body of
Associate Administrator’s delegate. which consists of a tank for trans-
Damaged means scratched, broken, porting liquids.
chipped, peeled, or delaminated. Universal Machine Language Equip-
Flat car means a car having a flat ment Register means the database con-
floor or deck on the underframe with taining information on rail equipment
no sides, ends or roof (including spine maintained by the Association of
cars, articulated and mult-unit inter- American Railroads.
modal cars). Unqualified Retroreflective Sheeting
Freight rolling stock means: means engineering grade sheeting,
(1) Any locomotive subject to Part super engineering grade sheeting (en-
229 of this chapter used to haul or closed lens) or high-intensity type
switch freight cars (whether in revenue sheeting (ASTM Type I, II, III, or IV
or work train service); and Sheeting) as described in ASTM Inter-
(2) Any railroad freight car (whether national Standard D–4956–04, ‘‘Standard
used in revenue or work train service). Specification for Retroreflective Sheet-
Freight rolling stock owner means any ing for Traffic Control.’’
person who owns freight rolling stock, Work train means a non-revenue serv-
is a lessee of freight rolling stock, ice train used for the maintenance and
manages the maintenance or use of upkeep service of the railroad.
339
§ 224.7 49 CFR Ch. II (10–1–07 Edition)
§ 224.7 Waivers. tion or a pattern of repeated violations

(a) Any person subject to a require- has created an imminent hazard of
ment of this part may petition the Ad- death or injury to persons, or has
ministrator for a waiver of compliance caused death or injury, a penalty not
with such requirement. The filing of to exceed $27,000 per violation may be
such a petition does not affect that assessed. Each day a violation con-
person’s responsibility for compliance tinues shall constitute a separate of-
with that requirement while the peti- fense. Appendix A to this part contains
tion is being considered. a schedule of civil penalty amounts
(b) Each petition for waiver under used in connection with this part.
this section shall be filed in the man- (b) Any person who knowingly and
ner and contain the information re- willfully falsifies a record or report re-
quired by part 211 of this chapter. quired by this part is subject to crimi-
(c) If the Administrator finds that a nal penalties under 49 U.S.C. 21311.
waiver of compliance is in the public EFFECTIVE DATE NOTE: At 72 FR 51197,
interest and is consistent with railroad Sept. 6, 2007, § 224.11 was amended by remov-
safety, the Administrator may grant ing the numerical amount ‘‘$11,000’’ and add-
the waiver subject to any conditions ing in its place the numerical amount
that the Administrator deems nec- ‘‘$16,000’’, effective October 9, 2007.
essary.
§ 224.13 Preemptive effect.
§ 224.9 Responsibility for compliance. Under 49 U.S.C. 20106, issuance of this
(a) Freight rolling stock owners, rail- part preempts any State law, rule, reg-
roads, and (with respect to certifi- ulation, or order covering the same
cation of material) manufacturers of subject matter, except an additional or
retroreflective material, are primarily more stringent law, rule, regulation, or
responsible for compliance with this order that is necessary to eliminate or
part. However, any person that per- reduce an essentially local safety haz-
forms any function or task required by ard; that is not incompatible with a
this part (including any employee, law, rule, regulation, or order of the
agent, or contractor of the aforemen- United States Government; and that
tioned), must perform that function in does not unreasonably burden inter-
accordance with this part. state commerce.
(b) Any person performing any func-
tion or task required by this part shall § 224.15 Special approval procedures.
be deemed to have consented to FRA (a) General. The following procedures
inspection of the person’s facilities and govern consideration and action upon
records to the extent necessary to de- requests for special approval of alter-
termine whether the function or task native standards under § 224.103(e).
is being performed in accordance with (b) Petitions. (1) Each petition for spe-
the requirements of this part. cial approval of an alternative stand-
ard shall contain—
§ 224.11 Penalties. (i) The name, title, address, and tele-
(a) Any person (including but not phone number of the primary person to
limited to a railroad; any manager, su- be contacted with regard to the peti-
pervisor, official, or other employee or tion;
agent of a railroad; any owner, manu- (ii) The alternative proposed, in de-
facturer, lessor, or lessee of railroad tail, to be substituted for the par-
equipment, track, or facilities; any em- ticular requirements of this part; and
ployee of such owner, manufacturer, (iii) Appropriate data and analysis
lessor, lessee, or independent con- establishing that the alternative will
tractor) who violates any requirement provide at least an equivalent level of
of this part or causes the violation of safety and meet the requirements of
any such requirement is subject to a § 224.103(e).
civil penalty of at least $550, but not (2) Three copies of each petition for
more than $11,000 per violation, except special approval of an alternative
that: Penalties may be assessed against standard shall be submitted to the
individuals only for willful violations, Docket Clerk, Office of Chief Counsel,
and, where a grossly negligent viola- Federal Railroad Administration, RCC–
340
10, Mail Stop 10, 1120 Vermont Ave., ternative standard is not acceptable or
NW., Washington, DC 20590. that the proposed changes are not jus-
(c) Notice. FRA will publish a notice tified, or both, the petition will be de-
in the FEDERAL REGISTER concerning nied, normally within 90 days of its re-
each petition under paragraph (b) of ceipt.
this section. (3) When FRA grants or denies a peti-
(d) Public comment. FRA will provide tion, or reopens consideration of a peti-
a period of not less than 30 days from tion, written notice is sent to the peti-
the date of publication of the notice in tioner and other interested parties and
the FEDERAL REGISTER during which a copy of the notice is placed in the
any person may comment on the peti- electronic docket of the proceeding.
tion.
(1) Each comment shall set forth spe- Subpart B—Application, Inspec-
cifically the basis upon which it is tion, and Maintenance of
made, and contain a concise statement Retroreflective Material
of the interest of the commenter in the
proceeding. § 224.101 General requirements.
(2) Each comment shall be submitted All rail freight rolling stock subject
to the DOT Central Docket Manage- to this part shall be equipped with
ment System, Nassif Building, Room retroreflective sheeting that conforms
PL–401, 400 Seventh Street, SW., Wash- to the requirements of this part. Not-
ington, DC 20590, and shall contain the withstanding any other provision of
assigned docket number which appears this chapter, the application, inspec-
in the FEDERAL REGISTER for that pro- tion, and maintenance of that sheeting
ceeding. The form of such submission shall be conducted in accordance with
may be in written or electronic form this subpart or in accordance with an
consistent with the standards and re- alternative standard providing at least
quirements established by the Central an equivalent level of safety after spe-
Docket Management System and post- cial approval of FRA under § 224.15.
ed on its Web site at http://dms.dot.gov.
(3) In the event FRA determines that § 224.103 Characteristics of
it requires additional information to retroreflective sheeting.
appropriately consider the petition, (a) Construction. Retroreflective
FRA will conduct a hearing on the pe- sheeting applied pursuant to this part
tition in accordance with the proce- shall consist of a smooth, flat, trans-
dures provided in § 211.25 of this chap- parent exterior film with micropris-
ter. matic retroreflective elements embed-
(e) Disposition of petitions. (1) If FRA ded in or suspended beneath the film so
finds that the petition complies with as to form a non-exposed
the requirements of this section and retroreflective optical system.
that the proposed alternative standard (b) Color. Retroreflective sheeting ap-
is acceptable or changes are justified, plied pursuant to this part shall be yel-
or both, the petition will be granted, low, fluorescent yellow, or white as
normally within 90 days of its receipt. specified by the chromaticity coordi-
The Associate Administrator may de- nates of ASTM International’s Stand-
termine the applicability of other tech- ard D 4956–04, ‘‘Standard Specification
nical requirements of this part when for Retroreflective Sheeting for Traffic
rendering a decision on the petition. If Control.’’ The Director of the Federal
the petition is neither granted nor de- Register approves the incorporation by
nied within 90 days, the petition re- reference of this standard in this sec-
mains pending for decision. FRA may tion in accordance with 5 U.S.C. 552(a)
attach special conditions to the ap- and 1 CFR part 51. You may obtain a
proval of the petition. Following the copy of the incorporated standard from
approval of a petition, FRA may re- ASTM International, 100 Barr Harbor
open consideration of the petition for Drive, P.O. Box C700, West
cause stated. Conshohocken, PA 19428–2959 or at
(2) If FRA finds that the petition http://www.astm.org. You may inspect a
does not comply with the requirements copy of the incorporated standard at
of this section, or that the proposed al- the Federal Railroad Administration,
341
§ 224.105 49 CFR Ch. II (10–1–07 Edition)
Docket Clerk, 1120 Vermont Ave., NW., shall meet the requirements of ASTM
Suite 7000, or at the National Archives D 4956–04, for Type V Sheeting if metal-
and Records Administration (NARA). ized or Type VII Sheeting if non-metal-
For information on the availability of ized, except for the initial minimum
this material at NARA, call 202–741– values of the coefficient of
6030, or go to http://www.archives.gov/ retroreflection, and shall, as initially
federallregister/codeloflfederall regu- applied, meet the minimum values for
lations/ibrllocations.html. the coefficient of retroreflection speci-
(c) Performance. Retroreflective
fied in Table 1 of this subpart.
sheeting applied pursuant to this part
TABLE 1 OF SUBPART B—MINIMUM COEFFICIENT OF RETROREFLECTION (RA) (IN CANDELA/LUX/
METER2) REQUIREMENT FOR RETROREFLECTIVE SHEETING (MINIMUM PHOTOMETRIC PERFORMANCE
REQUIREMENTS)
Observation angle
0.2 Degree 0.5 Degree

Entrance angle
Yellow or fluo- Yellow or fluo-
White White
rescent yellow rescent yellow
¥4° ....................................................................................... 400 600 100 160

30° ......................................................................................... 220 350 45 75
(d) Certification. The characters technical requirements of this part to

‘‘FRA–224’’, constituting the manufac- provide the intended warning to motor-
turer’s certification that the ists.
retroreflective sheeting conforms to
the requirements of paragraphs (a) § 224.105 Sheeting dimensions and
through (c) of this section, shall appear quantity.
at least once on the exposed surface of Retroreflective sheeting shall be ap-
each piece of sheeting in the final applied along the length of each railroad
plication. The characters shall be a freight car and locomotive side as de-
minimum of three millimeters high, scribed in § 224.106. Unless otherwise
and shall be permanently stamped, specified, retroreflective sheeting ap-
etched, molded, or printed within the plied under this part shall be applied in
product and each certification shall be strips 4 inches wide and 18 or 36 inches
spaced no more than four inches apart. long, as practicable. The amount of
(e) Alternative standards. Upon peti- retroreflective sheeting to be applied
tion by a freight rolling stock owner or to each car or locomotive subject to
railroad under § 224.15, the Associate this part is dependent on the length of
Administrator may approve an alter- the car or locomotive and the color of
native technology as providing equiva- the sheeting. For purposes of this part,
lent safety. Any such petition shall the length of a railroad freight car or
provide data and analysis sufficient to locomotive is measured from endsill to
establish that the technology will re- endsill, exclusive of the coupler and
sult in conspicuity and durability at draft gear. Each side of a railroad
least equal to sheeting described in freight car subject to this part, includ-
paragraphs (a) through (c) applied in ing each unit of multi-unit cars, and
accordance with this part and will each side of a locomotive subject to
present a recognizable visual target this part must be equipped with at
that is suitably consistent with freight least the minimum amount of
rolling stock equipped with retroreflective sheeting specified in
retroreflective sheeting meeting the Table 2 of this subpart.
342
TABLE 2 OF SUBPART B—MINIMUM QUANTITY REQUIREMENT FOR RETROREFLECTIVE SHEETING ON

FREIGHT ROLLING STOCK
Minimum area of retroreflective Minimum area of retroreflective
sheeting required (per car/lo- sheeting required (per car/lo-
Freight car or locomotive length comotive side)—yellow comotive side)—white sheeting
sheeting (ft 2) (ft 2)
Less than 50 ft. 3.5 4.0

Over 50 ft. to 60 ft. 4.0 5.0
Over 60 ft. to 70 ft. 4.5 5.5
Over 70 ft. to 80 ft. 5.0 6.0
Over 80 ft. to 90 ft. 5.5 7.0
Over 90 ft. to 100 ft. 1 ................................................................ 6.0 7.5
1 Freight cars or locomotives over 100 ft. in length must be equipped with an additional one-half a square foot of sheeting on
each side for every additional 10 feet of length.
§ 224.106 Location of retroreflective into 4x9 inch strips and applied on ei-
sheeting. ther side of the appurtenance, dis-
(a) Railroad freight cars. The continuous surface, or car markings or
retroreflective sheeting shall be ap- stencils, as practicable. Unless other-
plied along the length of each railroad wise specified, retroreflective sheeting
freight car side in the manner provided shall be applied along the sides of
by a uniform industry standard accept- freight rolling stock at intervals not to
ed by the Associate Administrator that exceed every 12 feet, as practicable. If
provides for distribution of material it is not practicable to apply
along the length of each car and as retroreflective sheeting every 12 feet
close as practicable to 42 inches above because of existing stencils, appur-
the top of rail. In the event such a tenances, or discontinuous surfaces,
standard is not proffered by industry or the sheeting shall be applied at the
accepted by the Associate Adminis- next smallest interval practicable.
trator, the criteria set forth in this (1) General rule. On railroad freight
subpart shall apply. Retroreflective cars other than flat cars and tank cars,
sheeting applied under this part must retroreflective sheeting shall be ap-
be located clear of appurtenances and plied in either a vertical or horizontal
devices such as ladders and other safe- pattern along the length of the car
ty appliances, pipes, or other attach- sides, with the bottom edge of the
ments that may obscure its visibility. sheeting as close as practicable to 42
Retroreflective sheeting need not be inches above the top of rail.
applied to discontinuous surfaces such Retroreflective sheeting shall not be
as bolts, rivets, door hinges, or other applied below the side sill.
irregularly shaped areas that may pre- (i) Vertical application. If
vent the sheeting from adhering to the retroreflective sheeting is applied in a
car sides. In addition, retroreflective vertical pattern, at least one 4x36 inch
sheeting need not be applied over exist- strip or two 4x18 inch strips, one above
ing or required car stencils and mark- the other, shall be applied as close to
ings. If necessary to avoid appur- each end of the car as practicable. Be-
tenances, discontinuous surfaces, or ex- tween these two vertical end strips, a
isting or required car markings or minimum of one 4x18 inch strip shall be
stencils, 4x18 and 4x36 inch strips of applied at least every 12 feet, as prac-
retroreflective material may be divided ticable. See Figures 1, 2 and 3.
343
§ 224.106 49 CFR Ch. II (10–1–07 Edition)
344
ER28OC05.000</GPH>
345
ER28OC05.001</GPH>
§ 224.106 49 CFR Ch. II (10–1–07 Edition)
(ii) Horizontal application. If above or next to the other, shall be ap-

retroreflective sheeting is applied in a plied as close to each end of the car as
horizontal pattern, at least one 4x36 practicable. Between these end strips, a
inch strip, or two 4x18 inch strips, one minimum of one 4x18 inch strip shall be
346
ER28OC05.002</GPH>
applied at least every 12 feet, as prac-

ticable. See Figures 4, 5, and 6.
347
ER28OC05.003</GPH>
§ 224.106 49 CFR Ch. II (10–1–07 Edition)
348
ER28OC05.004</GPH>
(2) Tank cars. On tank cars, of the tank, or as near as practicable.

retroreflective sheeting shall be ap- If it is not practicable to safely apply
plied vertically to each car side and the sheeting centered vertically about
centered on the horizontal centerline the horizontal centerline of the tank,
349
ER28OC05.005</GPH>
§ 224.106 49 CFR Ch. II (10–1–07 Edition)
the sheeting may be applied vertically 4x18 inch strip shall be applied at least
with its top edge no lower than the every 12 feet, as practicable.
horizontal centerline of the tank. A Retroreflective sheeting applied under
minimum of either one 4x36 inch strip this part shall not be located in the
or two 4x18 inch strips, one above the spillage area directly beneath the
other, shall be applied as close to each manway used to load and unload the
end of the car as practicable. Between tank. See Figures 7 and 8.
these two end strips, a minimum of one
350
351
ER28OC05.006</GPH>
§ 224.106 49 CFR Ch. II (10–1–07 Edition)
(3) Flat cars. On flat cars, edge of the sheeting no lower than the
retroreflective sheeting shall be ap- bottom of the side sill and the top edge
plied in a horizontal pattern along the of the sheeting no higher than the top
length of the side sill with the bottom of the car deck or floor. At least two
352
ER28OC05.007</GPH>
4x18 inch strips, one above the other, every 12 feet, as practicable. See Figure
shall be applied as close to each end of 9. If a car has a separate rack struc-
the car as practicable. If the side sill is ture, retroreflective sheeting may be
less than 8 inches wide, one 4x36 inch applied to the flat car portion only in
strip, or two 4x18 inch strips may be accordance with the requirements of
applied one next to the other, dividing this section. For cars without contin-
the strips into nine inch segments as uous side sills, retroreflective sheeting
necessary in accordance with para- may be applied to other surfaces in-
graph (a) of this section. Between the board of the sides, such as the center
two end strips, a minimum of one 4x18 sill, provided that the sheeting is not
inch strip shall be applied at least obscured by other components.
353
§ 224.106 49 CFR Ch. II (10–1–07 Edition)
(4) Cars of special construction. This vided in this section. Retroreflective

paragraph applies to any car the design sheeting shall conform as closely as
of which is not compatible with the practicable to the requirements of
patterns of application otherwise pro- paragraphs (a)(1) through (a)(3) of this
354
ER28OC05.008</GPH>
section and shall have the minimum completed Reflectorization Implemen-

amount of sheeting described in tation Compliance Report certifying
§ 224.105 distributed along the length of that the cars in the owner’s fleet sub-
each car side. ject to this part will be equipped with
(b) Locomotives. Locomotives subject retroreflective sheeting as required by
to this part shall be equipped with at this part in accordance with the sched-
least the minimum amounts of ule specified in Table 3 of this section.
retroreflective sheeting required by See Appendix B of this part for
§ 224.105 either in strips four inches Reflectorization Implementation Com-
wide and 18 or 36 inches long and pliance Report form.
spaced as uniformly as practicable
along the length of the locomotive TABLE 3 OF SUBPART B—ALTERNATIVE SCHED-
sides, or in one continuous strip, at ULE FOR APPLICATION OF RETROREFLECTIVE
least four inches wide, along the length MATERIAL TO FREIGHT CARS PER
of the locomotive. Retroreflective § 224.107(A)(2)(II)
sheeting applied to locomotive sides (B)
shall be applied as close as practicable (A) 1 (percent)
to 42 inches from the top of the rail.
November 28, 2007 ........................................... 20
November 28, 2008 ........................................... 30
§ 224.107 Implementation schedule.
November 28, 2009 ........................................... 40
(a) Railroad freight cars. All railroad November 28, 2010 ........................................... 50
freight cars subject to this part must November 28, 2011 ........................................... 60
November 28, 2012 ........................................... 70
be equipped with retroreflective sheet- November 28, 2013 ........................................... 80
ing conforming to this part by Novem- November 28, 2014 ........................................... 90
ber 28, 2015. If a car already has reflec- November 28, 2015 ........................................... 100
tive material applied that does not 1 Column (A) indicates the date by which the minimum per-
meet the standards of this part, it is centage of an owner’s freight cars specified in column (B)
must be equipped with retroreflective sheeting conforming to
not necessary to remove the material this part.
unless its placement interferes with
the placement of the sheeting required Thereafter,
by this part. (A) The designated fleet shall be
(1) New cars. Retroreflective sheeting equipped with retroreflective sheeting
conforming to this part must be ap- according to the schedule specified in
plied to all cars constructed after Jan- Table 3 of this section;
uary 26, 2006, before the cars are placed (B) No later than January 28, 2008,
in service. the freight rolling stock owner shall
(2) Existing cars without retroreflective submit to FRA an updated
sheeting. (i) If, as of October 28, 2005, a Reflectorization Implementation Com-
car subject to this part is not equipped pliance Report showing which cars of
on each side with at least one square the fleet subject to this part were
foot of retroreflective sheeting as spec- equipped with retroreflective sheeting
ified in paragraph (a)(3) of this section, as required by this part during the ini-
retroreflective sheeting conforming to tial 24-month implementation period.
this part must be applied to the car at Thereafter, updated Reflectorization
the earliest of the following two occa- Implementation Compliance Reports
sions occurring after November 28, 2005 shall be submitted annually, no later
or in accordance with paragraph than December 31 of each year for the
(a)(2)(ii) of this section: duration of the 10-year implementation
(A) When the car is repainted or re- period. See Appendix B of this part.
built; or (C) If, following the conclusion of the
(B) Within nine months (270 calendar initial 24-month period or any 12-
days) after the car first undergoes a month period thereafter, the percent-
single car air brake test as prescribed age requirements of this section have
by 49 CFR 232.305. not been met—
(ii) A freight rolling stock owner may (1) The freight rolling stock owner
elect not to follow the schedule in shall be considered in violation of this
paragraph (a)(2)(i) of this section if, not part;
later than January 26, 2006 the freight (2) The freight rolling stock owner
rolling stock owner submits to FRA a shall, within 60 days after the close of
355
§ 224.107 49 CFR Ch. II (10–1–07 Edition)
the period, report the failure to the As- formed pursuant to 49 CFR 229.29 occur-
sociate Administrator; ring after November 28, 2005.
(3) The requirements of paragraph (ii) A freight rolling stock owner may
(a)(2)(i) shall apply to all railroad elect not to follow the schedule in
freight cars subject to this part in the paragraph (b)(2)(i) of this section, if not
freight rolling stock owner’s fleet; and later than January 26, 2006, the freight
(4) The fleet owner shall take such rolling stock owner submits to FRA a
additional action as may be necessary Reflectorization Implementation Com-
to achieve future compliance. pliance Report certifying that the loco-
motives in the owner’s fleet subject to
(D) Cars to be retired shall be in-
this part will be equipped with
cluded in the fleet total until they are
retroreflective sheeting as required by
retired.
this part in accordance with the sched-
(3) Existing cars with retroreflective ule specified in Table 4 of this section.
sheeting. If as of October 28, 2005, a car See Appendix B of this part.
is equipped on each side with at least
one square foot of retroreflective TABLE 4 OF SUBPART B—ALTERNATIVE SCHED-
sheeting, uniformly distributed over ULE FOR APPLICATION OF RETROREFLECTIVE
the length of each side, that car shall MATERIAL TO LOCOMOTIVES PER
be considered in compliance with this § 224.107(B)(2)(II)
part through November 28, 2015, pro-
(B)
vided the sheeting is not unqualified (A) 1 (percent)
retroreflective sheeting, and provided
the freight rolling stock owner files a November 28, 2007 ........................................... 40
November 28, 2008 ........................................... 60
completed Reflectorization Implemen- November 28, 2009 ........................................... 80
tation Compliance Report with FRA no November 28, 2010 ........................................... 100
later than January 26, 2006 identifying 1Column (A) indicates the date by which the minimum per-
the cars already so equipped. See Ap- centage of an owner’s locomotives specified in column (B)
must be equipped with retroreflective sheeting conforming to
pendix B of this part for this part.
Reflectorization Implementation Com-
Thereafter,
pliance form.
(A) The designated locomotive fleet
(b) Locomotives. Except as provided in shall be equipped with retroreflective
paragraph (b)(4) of this section, all lo- sheeting according to the requirements
comotives subject to this part must be of this paragraph (b)(2)(ii);
equipped with conforming (B) No later than January 28, 2008,
retroreflective sheeting by November the freight rolling stock owner shall
28, 2010. If a locomotive already has resubmit to FRA an updated
flective material applied that does not Reflectorization Implementation Com-
meet the standards of this part, it is pliance Report showing which loco-
not necessary to remove the material motives of the fleet subject to this part
unless its placement interferes with were equipped with retroreflective
the placement of the sheeting required sheeting as required by this part dur-
by this part. ing the initial 24 month implementa-
(1) New locomotives. Retroreflective tion period. Updated Reflectorization
sheeting conforming to this part must Implementation Compliance Reports
be applied to all locomotives con- shall be submitted annually, no later
structed after January 26, 2006, before than December 31 of each year, for the
they are placed in service. duration of the 5-year implementation
(2) Existing locomotives without period. See Appendix B of this part.
retroreflective sheeting. (C) If, following the conclusion of the
(i) If as of October 28, 2005 a loco- initial 24-month period or any 12-
motive subject to this part is not month period thereafter, the percent-
equipped with the minimum amount of age requirements of this section have
retroreflective sheeting specified in not been met—
paragraph (b)(3) of this section, (1) The freight rolling stock owner
retroreflective sheeting conforming to shall be considered in violation of this
this part must be applied to the loco- part;
motive not later than nine months (2) The freight rolling stock owner
after the first biennial inspection per- shall, within 60 days after the close of
356
the period, report the failure to the As- employee work hours, the smaller rail-
sociate Administrator; road must comply with the require-
(3) The requirements of paragraph ments of paragraphs (b)(2) and (3) of
(b)(2)(i) shall apply to all locomotives this section.
subject to this part in the freight roll-
ing stock owner’s fleet; and § 224.109 Inspection, repair, and re-
(4) The fleet owner shall take such placement.
additional action as may be necessary (a) Railroad freight cars.
to achieve future compliance. Retroreflective sheeting on railroad
(D) Locomotives to be retired shall freight cars subject to this part must
be included in the fleet total until they be visually inspected for presence and
are retired. condition whenever a car undergoes a
(3) Existing locomotives with single car air brake test required under
retroreflective sheeting. If as of October 49 CFR 232.305. If at the time of inspec-
28, 2005, a locomotive is equipped on tion less than 80 percent of the amount
each side with at least one square foot of sheeting required under § 224.105
of retroreflective sheeting, that loco- (§ 224.107 in the case of freight cars sub-
motive shall be considered in compli- ject to § 224.107(a)(3)) on either side of a
ance with this part for through Novem- car is present, not damaged, and not
ber 28, 2015, provided the existing mate- obscured, the inspecting railroad or
rial is not unqualified retroreflective contractor shall promptly notify the
sheeting, and provided the freight roll- person responsible for the reporting
ing stock owner files a Reflectorization mark, as indicated in the Universal
Implementation Compliance Report Machine Language Equipment Reg-
with FRA no later than January 26, ister, of the damaged, obscured, or
2006, identifying the cars already so missing sheeting (unless the inspecting
equipped.See Appendix B of this part. railroad or contractor is the person re-
If, as of October 28, 2005, a locomotive sponsible for the reporting mark). The
is equipped with unqualified inspecting railroad or contractor shall
retroreflective sheeting, the loco- retain a written or electronic copy of
motive will be considered in compli- each such notification made for at
ance with this part through November least two years from the date of the no-
28, 2015, provided the locomotive is tice and shall make these records
equipped with a minimum of 3 square available for inspection and copying by
feet of retroreflective material on each the FRA upon request. Any person no-
side and provided the freight rolling tified of a defect under this section
stock owner files a Reflectorization shall have nine months (270 calendar
Implementation Compliance Report days) from the date of notification to
with FRA no later than January 26, repair or replace the damaged, ob-
2006, identifying the locomotives al- scured, or missing sheeting. Where the
ready so equipped. See Appendix B of inspecting railroad or contractor is the
this part. person responsible for the reporting
(4) Each railroad that has fewer than mark, the person shall have nine
400,000 annual employee work hours as months (270 calendar days) from the
of the end of calendar year 2004, and date of the inspection to repair or re-
does not share locomotive power with place the damaged, obscured, or miss-
another railroad with 400,000 or more ing sheeting.
annual employee work hours, may (b) Locomotives. Retroreflective sheet-
bring its locomotive fleet into compli- ing must be visually inspected for pres-
ance according to the following sched- ence and condition when the loco-
ule: fifty percent of the railroad’s locomotive receives the annual inspection
motives must be retrofitted pursuant required under 49 CFR 229.27. If at the
to § 224.106(b) by October 28, 2010, and time of inspection less than 80 percent
one hundred percent must be retro- of the amount of sheeting required
fitted pursuant to § 224.106(b) by Octo- under § 224.105 (§ 224.107 in the case of
ber 28, 2015. If a railroad with fewer locomotives subject to § 224.107(b)(3)) on
than 400,000 annual employee work either side of a locomotive is present,
hours shares locomotive power with a not damaged, and not obscured, the
railroad with 400,000 or more annual damaged, obscured, or missing sheeting
357
§ 224.111 49 CFR Ch. II (10–1–07 Edition)
must be repaired or replaced within less it interferes with the placement of

nine months (270 calendar days) from the new sheeting, but the old sheeting
the date of inspection, provided a shall not be considered in calculating
record of the defect is maintained in the amount of retroreflective material
the locomotive cab or in a secure and required under this part. For purposes
accessible electronic database to which of this section, November 28, 2005, shall
FRA is provided access on request. be considered the initial date of instal-
lation for freight cars and locomotives
§ 224.111 Renewal. covered by § 224.107(a)(3) or
Regardless of condition, 224.107(b)(3). 1
retroreflective sheeting required under
this part must be replaced with new APPENDIX A TO PART 224—SCHEDULE OF
sheeting no later than ten years after CIVIL PENALTIES
the date of initial installation. At the SUBPART B—APPLICATION, INSPECTION, AND
time of replacement, it is not nec- MAINTENANCE OF RETROREFLECTIVE MATE-
essary to remove the old sheeting un- RIAL
Willful
§ 224.103 Characteristics of retroreflective sheeting:

(a)–(d) Retroreflective sheeting applied does not meet the requirements of § 224.103 ........ $2,500 $5,000
§ 224.105 Sheeting dimensions and quantity:
Failure to apply minimum amount of retroreflective sheeting in accordance with Table 2 ... 2,500 5,000
Applying retroreflective sheeting of wrong dimensions .......................................................... 2,500 5,000
§ 224.106 Location of retroreflective sheeting:
(a), (b)Applying retroreflective sheeting in nonconforming pattern ........................................ 2,000 4,000
§ 224.107 Implementation schedule:
(a)(1), (b)(1) Failure to apply retroreflective sheeting to new freight car or locomotive be-
fore equipment placed in service ........................................................................................ 5,000 7,500
(a)(2), (b)(2), (b)(4) Failure to apply retroreflective sheeting to existing freight car or loco-
motive in accordance with minimum schedule of paragraphs (a)(2), (b)(2), or (b)(4) ....... 5,000 7,500
§ 224.109 Inspection, repair, and replacement:
(a) Failure to perform inspection ............................................................................................ 5,000 7,500
Failure to properly notify car owner of defect ......................................................................... 2,500 5,000
Failure to retain written notification of defect for two years ................................................... 1,500 2,500
Failure to repair defect after notification ................................................................................. 5,000 7,500
(b) Failure to perform inspection ............................................................................................ 5,000 7,500
Failure to repair defect ............................................................................................................ 5,000 7,500
APPENDIX B TO PART 224—

REFLECTORIZATION IMPLEMENTATION
COMPLIANCE REPORT
1 A penalty may be assessed against an in- penalty of up to $27,000 for any violation
dividual only for a willful violation. The Ad- where circumstances warrant. See 49 CFR
ministrator reserves the right to assess a Part 209, Appendix A.
358
359
ER28OC05.009</GPH>
APPENDIX C TO PART 224—GUIDELINES

FOR ELECTRONIC SUBMISSION OF
REFLECTORIZATION IMPLEMENTATION
COMPLIANCE REPORTS
360
ER28OC05.010</GPH>
361
ER28OC05.011</GPH>
ER28OC05.013</GPH>
362
ER28OC05.012</GPH>
PART 225—RAILROAD ACCIDENTS/ tions preempts States from prescribing

INCIDENTS: REPORTS CLASSI- accident/incident reporting require-
ments. Any State may, however, re-
FICATION, AND INVESTIGA- quire railroads to submit to it copies of
TIONS accident/incident and injury/illness re-
ports filed with FRA under this part,
Sec.
for accidents/incidents and injuries/ill-
225.1 Purpose.
225.3 Applicability. nesses which occur in that State.
225.5 Definitions. [61 FR 30967, June 18, 1996]
225.7 Public examination and use of reports.
225.9 Telephonic reports of certain acci- § 225.3 Applicability.
dents/incidents.
225.11 Reporting of accidents/incidents. (a) Except as provided in paragraphs
225.12 Rail Equipment Accident/Incident (b), (c), and (d), this part applies to all
Reports alleging employee human factor railroads except—
as cause; Employee Human Factor At- (1) A railroad that operates freight
tachment; notice to employee; employee trains only on track inside an installa-
supplement. tion which is not part of the general
225.13 Late reports.
railroad system of transportation or
225.15 Accidents/incidents not to be re-
ported. that owns no track except for track
225.17 Doubtful cases; alcohol or drug in- that is inside an installation that is
volvement. not part of the general railroad system
225.19 Primary groups of accidents/inci- of transportation and used for freight
dents. operations.
225.21 Forms. (2) Rail mass transit operations in an
225.23 Joint operations. urban area that are not connected with
225.25 Recordkeeping.
225.27 Retention of records.
225.29 Penalties. portation.
225.31 Investigations. (3) A railroad that exclusively hauls
225.33 Internal Control Plans. passengers inside an installation that
225.35 Access to records and reports. is insular or that owns no track except
225.37 Magnetic media transfer and elec- for track used exclusively for the haul-
tronic submission. ing of passengers inside an installation
225.39 FRA policy on covered data. that is insular. An operation is not
APPENDIX A TO PART 225—SCHEDULE OF CIVIL considered insular if one or more of the
PENALTIES following exists on its line:
APPENDIX B TO PART 225—PROCEDURE FOR DE-
(i) A public highway-rail grade cross-
TERMINING REPORTING THRESHOLD
ing that is in use;
AUTHORITY: 49 U.S.C. 103, 322(a), 20103, (ii) An at-grade rail crossing that is
20107, 20901–02, 21301, 21302, 21311; 28 U.S.C. in use;
2461, note; and 49 CFR 1.49.
(iii) A bridge over a public road or
SOURCE: 39 FR 43224, Dec. 11, 1974, unless waters used for commercial navigation;
otherwise noted. or
(iv) A common corridor with a rail-
§ 225.1 Purpose. road, i.e., its operations are within 30
The purpose of this part is to provide feet of those of any railroad.
the Federal Railroad Administration (b) The Internal Control Plan re-
with accurate information concerning quirements in § 225.33(a)(3) through (10)
the hazards and risks that exist on the do not apply to—
Nation’s railroads. FRA needs this in- (1) Railroads that operate or own
formation to effectively carry out its track on the general railroad system of
regulatory responsibilities under 49 transportation that have 15 or fewer
U.S.C. chapters 201–213. FRA also uses employees covered by the hours of
this information for determining com- service law (49 U.S.C. 21101–21107) and
parative trends of railroad safety and (2) Railroads that operate or own
to develop hazard elimination and risk track exclusively off the general sys-
reduction programs that focus on pre- tem.
venting railroad injuries and accidents. (c) The recordkeeping requirements
Issuance of these regulations under the regarding accountable injuries and ill-
federal railroad safety laws and regula- nesses and accountable rail equipment
363
§ 225.5 49 CFR Ch. II (10–1–07 Edition)
accidents/incidents found in § 225.25(a) (B) Restricted work activity or job

through (g) do not apply to— transfer;
(1) Railroads that operate or own (C) Loss of consciousness; or
track on the general railroad system of (D) Medical treatment;
transportation that have 15 or fewer (v) Significant injury to or signifi-
employees covered by the hours of cant illness of a railroad employee di-
service law (49 U.S.C. 21101–21107) and agnosed by a physician or other li-
(2) Railroads that operate or own censed health care professional even if
track exclusively off the general sys- it does not result in death, a day away
tem. from work, restricted work activity or
(d) All requirements in this part to job transfer, medical treatment, or loss
record or report an injury or illness in- of consciousness;
curred by any classification of person (vi) Illness or injury that meets the
that results from a non-train incident application of any of the following spe-
do not apply to railroads that operate cific case criteria:
or own track exclusively off the gen- (A) Needlestick or sharps injury to a
eral railroad system of transportation, railroad employee;
unless the non-train incident involves (B) Medical removal of a railroad em-
in- service on-track equipment. ployee;
[61 FR 30967, June 18, 1996, as amended at 61 (C) Occupational hearing loss of a
FR 67490, Dec. 23, 1996] railroad employee;
(D) Occupational tuberculosis of a
§ 225.5 Definitions. railroad employee; or
As used in this part— (E) Musculoskeletal disorder of a
Accident/incident means: railroad employee if this disorder is
(1) Any impact between railroad on- independently reportable under one or
track equipment and an automobile, more of the general reporting criteria.
bus, truck, motorcycle, bicycle, farm (4) Occupational illness.
vehicle or pedestrian at a highway-rail Accountable injury or illness means
grade crossing; any condition, not otherwise report-
(2) Any collision, derailment, fire, ex- able, of a railroad employee that is
plosion, act of God, or other event in- discernably caused by an event, expo-
volving operation of railroad on-track sure, or activity in the work environ-
equipment (standing or moving) that ment which condition causes or re-
results in reportable damages greater quires the railroad employee to be ex-
than the current reporting threshold to amined or treated by a qualified health
railroad on-track equipment, signals, care professional.
track, track structures, and roadbed; Accountable rail equipment accident/in-
(3) Any event or exposure arising cident means any event not otherwise
from the operation of a railroad, if the reportable, involving the operation of
event or exposure is a discernable on-track equipment that causes phys-
cause of one or more of the following ical damage to either the on-track
outcomes, and this outcome is a new equipment or the track upon which
case or a significant aggravation of a such equipment was operated and that
pre-existing injury or illness: requires the removal or repair of rail
(i) Death to any person; equipment from the track before any
(ii) Injury to any person that results rail operations over the track can con-
in medical treatment; tinue. An accountable rail equipment
(iii) Injury to a railroad employee accident/incident, if not tended to, thus
that results in: would disrupt railroad service. Exam-
(A) A day away from work; ples of ‘‘disruption of service’’ would
(B) Restricted work activity or job include: loss of main track; one or
transfer; or more derailed wheels; any train failing
(C) Loss of consciousness; to arrive or depart at its scheduled
(iv) Occupational illness of a railroad time; one or more cars or locomotives
employee that results in any of the fol- taken out of service; or rerouting
lowing: trains due to a damaged car or loco-
(A) A day away from work; motive.
364
Covered data means information that (ii) A railroad’s instructions not to

must be reported to FRA under this work, if the injury or illness is other-
part concerning a railroad employee wise reportable; or
injury or illness case that is reportable (2) A minimum of one calendar day if
exclusively because a physician or a PLHCP, for reasons associated with
other licensed health care profes- the employee’s condition, recommends
sional— in writing that the employee take one
(1) Recommended in writing that— or more days away from work, but the
(i) The employee take one or more employee instead reports to work (or
days away from work when the em- would have reported had he or she been
ployee instead reports to work (or scheduled). This paragraph is intended
would have reported had he or she been to take into account ‘‘covered data’’
scheduled) and takes no days away cases and also those non-covered data
from work in connection with the in- cases that are independently reportable
jury or illness, for some other reason (e.g., ‘‘medical
(ii) The employee work restricted treatment’’ or ‘‘day of restricted work
duty for one or more days when the activity’’). The requirement to report
employee instead works unrestricted ‘‘a minimum of one calendar day’’ is
(or would have worked unrestricted intended to give a railroad the discre-
had he or she been scheduled) and tion to report up to the total number
takes no days of restricted work activ- of days recommended by the PLHCP.
ity in connection with the injury or ill- Day of restricted work activity means a
ness, or day of restricted work activity as de-
(iii) The employee take over-the- scribed in paragraph (1) of this defini-
counter medication at a dosage equal tion or, if paragraph (1) does not apply,
to or greater than the minimum pre- a day of restricted work activity solely
scription strength, whether or not the for reporting purposes as described in
employee actually takes the medica- paragraph (2) of this definition; in both
tion; or cases, the work restriction must affect
(2) Made a one-time topical applica- one or more of the employee’s routine
tion of a prescription-strength medica- job functions (i.e., those work activi-
tion to the employee’s injury. ties regularly performed at least once
Day away from work means a day per week) or prevent the employee
away from work as described in para- from working the full workday that he
graph (1) of this definition or, if para- or she would otherwise have worked.
graph (1) does not apply, a day away For purposes of this definition, the
from work solely for reporting pur- count of days includes all calendar
poses as described in paragraph (2) of days, regardless of whether the em-
this definition. For purposes of this ployee would normally be scheduled to
definition, the count of days includes work on those days (e.g., weekend days,
all calendar days, regardless of whether holidays, rest days, and vacation days),
the employee would normally be sched- and begins on the first calendar day
uled to work on those days (e.g., week- after the railroad employee has been
end days, holidays, rest days, and vaca- examined by a physician or other li-
tion days), and begins on the first cal- censed health care professional
endar day after the railroad employee (PLHCP) and diagnosed with a work-re-
has been examined by a physician or lated injury or illness. In particular,
other licensed health care professional the term means—
(PLHCP) and diagnosed with a work-re- (1) Each calendar day that the em-
lated injury or illness. In particular, ployee, for reasons associated with his
the term means— or her condition, works restricted duty
(1) Each calendar day that the em- (or would have worked restricted duty
ployee, for reasons associated with his had he or she been scheduled) if the re-
or her condition, does not report to striction results from:
work (or would have been unable to re- (i) A PLHCP’s written recommenda-
port had he or she been scheduled) if tion to work restricted duty, or
not reporting results from: (ii) A railroad’s instructions to work
(i) A PLHCP’s written recommenda- restricted duty, if the injury or illness
tion not to work, or is otherwise reportable; or
365
§ 225.5 49 CFR Ch. II (10–1–07 Edition)
(2) A minimum of one calendar day if erty owned, leased, or maintained by

a PLHCP, for reasons associated with the railroad), an activity of the rail-
the employee’s condition, recommends road that is related to the performance
in writing that the employee work re- of its rail transportation business or an
stricted duty for one or more days, but exposure related to the activity; and
the employee instead works unre- (3) With respect to a person who is
stricted (or would have worked unre- not an employee of the railroad and
stricted had he or she been scheduled). not on property owned, leased, or
This paragraph is intended to take into maintained by the railroad—an event
account ‘‘covered data’’ cases and also or exposure directly resulting from one
those non-covered data cases that are or more of the following railroad oper-
independently reportable for some ations:
other reason (e.g., ‘‘medical treatment’’
(i) A train accident, a train incident,
or ‘‘day of restricted work activity’’).
or a highway-rail crossing accident or
The requirement to report ‘‘a min-
imum of one calendar day’’ is intended incident involving the railroad; or
to give a railroad the discretion to re- (ii) A release of a hazardous material
port up to the total number of days from a railcar in the possession of the
recommended by the PLHCP. railroad or of another dangerous com-
Employee human factor includes any modity that is related to the perform-
of the accident causes signified by the ance of the railroad’s rail transpor-
train accident cause codes listed under tation business.
‘‘Train Operation—Human Factors’’ in FRA representative means the Asso-
the current ‘‘FRA Guide for Preparing ciate Administrator for Safety, FRA;
Accidents/Incidents Reports,’’ except the Associate Administrator’s delegate
for those train accident cause codes (including a qualified State inspector
pertaining to non-railroad workers. acting under part 212 of this chapter);
For purposes of this definition ‘‘em- the Chief Counsel, FRA; or the Chief
ployee’’ includes the classifications of Counsel’s delegate.
Worker on Duty—Employee, Employee General reporting criteria means the
not on Duty, Worker on Duty—Con- criteria listed in § 225.19(d)(1), (2), (3),
tractor, and Worker on Duty—Volun- (4), and (5).
teer. Highway-rail grade crossing means a
Establishment means a single physical location where a public highway, road,
location where workers report to work, street, or private roadway, including
where railroad business is conducted, associated sidewalks and pathways,
or where services or operations are per- crosses one or more railroad tracks at
formed. Examples are: a division office, grade.
general office, repair or maintenance
Joint operations means rail operations
facility, major switching yard or ter-
conducted on a track used jointly or in
minal. For employees who are engaged
common by two or more railroads sub-
in dispersed operations, such as signal
ject to this part or operation of a train,
or track maintenance workers, an ‘‘es-
locomotive, car, or other on-track
tablishment’’ is typically a location
where work assignments are initially equipment by one railroad over the
made and oversight responsibility ex- track of another railroad.
ists, e.g., the establishment where the Medical removal means medical re-
signal supervisor or roadmaster is lo- moval under the medical surveillance
cated. requirements of the Occupational Safe-
Event or exposure arising from the oper- ty and Health Administration standard
ation of a railroad includes— in 29 CFR part 1910 in effect during cal-
(1) With respect to a person who is on endar year 2002, even if the case does
property owned, leased, or maintained not meet one of the general reporting
by the railroad, an activity of the rail- criteria.
road that is related to the performance Medical treatment means any medical
of its rail transportation business or an care or treatment beyond ‘‘first aid’’
exposure related to the activity; regardless of who provides such treat-
(2) With respect to an employee of ment. Medical treatment does not in-
the railroad (whether on or off prop- clude diagnostic procedures, such as X-
366
rays and drawing blood samples. Med- Occupational illness means any abnor-
ical treatment also does not include mal condition or disorder, as diagnosed
counseling. by a physician or other licensed health
Musculoskeletal disorder (MSD) means care professional, of any person who
a disorder of the muscles, nerves, ten- falls under the definition for the classi-
dons, ligaments, joints, cartilage, and fication of Worker on Duty—Employee,
spinal discs. The term does not include other than one resulting from injury,
disorders caused by slips, trips, falls, discernably caused by an environ-
motor vehicle accidents, or other simi- mental factor associated with the per-
lar accidents. Examples of MSDs in- son’s railroad employment, including,
clude: Carpal tunnel syndrome, Rota- but not limited to, acute or chronic ill-
tor cuff syndrome, De Quervain’s dis- nesses or diseases that may be caused
ease, Trigger finger, Tarsal tunnel syn- by inhalation, absorption, ingestion, or
drome, Sciatica, Epicondylitis, Tendi- direct contact.
nitis, Raynaud’s phenomenon, Carpet Occupational tuberculosis means the
layers knee, Herniated spinal disc, and occupational exposure of an employee
Low back pain. to anyone with a known case of active
Needlestick or sharps injury means a tuberculosis if the employee subse-
cut, laceration, puncture, or scratch quently develops a tuberculosis infec-
from a needle or other sharp object tion, as evidenced by a positive skin
that involves contamination with an- test or diagnosis by a physician or
other person’s blood or other poten- other licensed health care professional,
tially infectious material, even if the even if the case does not meet one of
case does not meet one of the general the general reporting criteria.
reporting criteria. Privacy concern case is any occupa-
tional injury or illness in the following
New case means a case in which ei-
list:
ther the employee has not previously
(1) Any injury or illness to an inti-
experienced a reported injury or illness
mate body part or the reproductive
of the same type that affects the same
system;
part of the body, or the employee pre- (2) An injury or illness resulting from
viously experienced a reported injury a sexual assault;
or illness of the same type that af- (3) Mental illnesses;
fected the same part of the body but (4) HIV infection, hepatitis, or tuber-
had recovered completely (all signs had culosis;
disappeared) from the previous injury (5) Needlestick and sharps injuries;
or illness and an event or exposure in and
the work environment caused the signs (6) Other injuries or illnesses, if the
or symptoms to reappear. employee independently and volun-
Non-train incident means an event tarily requests in writing to the rail-
that results in a reportable casualty, road reporting officer that his or her
but does not involve the movement of injury or illness not be posted.
on-track equipment nor cause report- Person includes all categories of enti-
able damage above the threshold estab- ties covered under 1 U.S.C. 1, including,
lished for train accidents. but not limited to, a railroad; any
Occupational hearing loss means a di- manager, supervisor, official, or other
agnosis of occupational hearing loss by employee or agent of a railroad; any
a physician or other licensed health owner, manufacturer, lessor, or lessee
care professional, where the employee’s of railroad equipment, track, or facili-
audiogram reveals a work-related ties; any passenger; any trespasser or
Standard Threshold Shift (STS) (i.e., at nontrespasser; any independent con-
least a 10-decibel change in hearing tractor providing goods or services to a
threshold, relative to the baseline railroad; any volunteer providing goods
audiogram for that employee) in hear- or services to a railroad; and any em-
ing in one or both ears, and the employee of such owner, manufacturer,
ployee’s total hearing level is 25 deci- lessor, lessee, or independent con-
bels or more above audiometric zero tractor.
(averaged at 2000, 3000, and 4000 Hz) in Qualified health care professional is a
the same ear(s) as the STS. health care professional operating
367
§ 225.7 49 CFR Ch. II (10–1–07 Edition)
within the scope of his or her license, medical treatment, or loss of con-
registration, or certification. For ex- sciousness.
ample, an otolaryngologist is qualified Train accident means any collision,
to diagnose a case of noise-induced derailment, fire, explosion, act of God,
hearing loss and identify potential or other event involving operation of
causal factors, but may not be quali- railroad on-track equipment (standing
fied to diagnose a case of repetitive or moving) that results in damages
motion injuries. In addition to licensed greater than the current reporting
physicians, the term qualified health threshold to railroad on-track equip-
care professional includes members of ment, signals, track, track structures,
other occupations associated with pa- and roadbed.
tient care and treatment such as chiro- Train incident means any event in-
practors, podiatrists, physician’s as- volving the movement of on-track
sistants, psychologists, and dentists. equipment that results in a reportable
Railroad means a person providing casualty but does not cause reportable
railroad transportation. damage above the current threshold es-
Railroad transportation means any tablished for train accidents.
form of non-highway ground transpor- Work environment is the physical lo-
tation that run on rails or electro-mag- cation, equipment, materials processed
netic guideways, including commuter or used, and activities of a railroad em-
or other short-haul railroad passenger ployee associated with his or her work,
service in a metropolitan or suburban whether on or off the railroad’s prop-
area, as well as any commuter railroad erty.
service that was operated by the Con- Work related means related to any in-
solidated Rail Corporation as of Janu- cident, activity, exposure, or the like
ary 1, 1979, and high speed ground occurring within the work environ-
transportation systems that connect ment.
metropolitan areas, without regard to [61 FR 30968, June 18, 1996, as amended at 61
whether they use new technologies not FR 59371, Nov. 22, 1996; 61 FR 67490, Dec. 23,
associated with traditional railroads. 1996; 68 FR 10136, Mar. 3, 2003]
Such term does not include rapid tran-
sit operations within an urban area § 225.7 Public examination and use of
that are not connected to the general reports.
railroad system of transportation. (a) Accident/Incident reports made by
Significant change in the damage costs railroads in compliance with these
for reportable rail equipment accidents/in- rules shall be available to the public in
cidents means at least a ten-percent the manner prescribed by part 7 of this
variance between the damage amount title. Accident/Incident reports may be
reported to FRA and current cost fig- inspected at the Office of Safety, Fed-
ures. eral Railroad Administration, 400 Sev-
Significant change in the number of re- enth Street, SW., Washington, DC
portable days away from work or days re- 20590. Written requests for a copy of a
stricted means at least a ten-percent report should be addressed to the Free-
variance in the number of actual re- dom of Information Officer, Office of
portable days away from work or days Chief Counsel, FRA, 400 Seventh
restricted compared to the number of Street, SW., Washington, DC 20590, and
days already reported. be accompanied by the appropriate fee
Significant illness means an illness in- prescribed in part 7 of this title. To fa-
volving cancer or a chronic irreversible cilitate expedited handling, each re-
disease such as byssinosis or silicosis, quest should be clearly marked ‘‘Re-
if the disease does not result in death, quest for Accident/Incident Report.’’
a day away from work, restricted work, (b) 49 U.S.C. 20903 provides that
job transfer, medical treatment, or loss monthly reports filed by railroads
of consciousness. under § 225.11 may not be admitted as
Significant injury means an injury in- evidence or used for any purpose in any
volving a fractured or cracked bone or action for damages growing out of any
a punctured eardrum, if the injury does matters mentioned in these monthly
not result in death, a day away from reports. The Employee Human Factor
work, restricted work, job transfer, Attachment, Notice, and Employee
368
Supplement under § 225.12 are part of train, including railroad and nonrail-
the reporting railroad’s accident report road property.
to FRA pursuant to the 49 U.S.C. 20901 (3) Train accidents on or fouling pas-
and, as such, shall not ‘‘be admitted as senger service main lines. The dis-
evidence or used for any purpose in any patching railroad must report imme-
suit or action for damages growing out diately, as prescribed in paragraphs (b)
of any matter mentioned in said report through (d) of this section, whenever it
* * *.’’ 49 U.S.C. 20903. learns of the occurrence of any train
accident reportable as a rail equipment
FR 47019, Dec. 30, 1986; 53 FR 28601, July 28,
accident/incident under §§ 225.11 and
1988; 55 FR 37827, Sept. 13, 1990; 55 FR 52487, 225.19(c)—
Dec. 21, 1990; 61 FR 30969, June 18, 1996] (i) That involves a collision or derail-
ment on a main line that is used for
§ 225.9 Telephonic reports of certain scheduled passenger service; or
accidents/incidents and other (ii) That fouls a main line used for
events. scheduled passenger service.
(a) Types of accidents/incidents and (b) Method of reporting. (1) Telephonic
other events to be reported—(1) Certain reports required by this section shall
deaths or injuries. Each railroad must be made by toll-free telephone to the
report immediately, as prescribed in National Response Center, Area Code
paragraphs (b) through (d) of this sec- 800–424–8802 or 800–424–0201.
tion, whenever it learns of the occur- (2) Through one of the same tele-
rence of an accident/incident arising phone numbers (800–424–0201), the Na-
from the operation of the railroad, or tional Response Center (NRC) also re-
an event or exposure that may have ceives notifications of rail accidents
arisen from the operation of the rail- for the National Transportation Safety
road, that results in the— Board (49 CFR part 840) and the Re-
(i) Death of a rail passenger or a rail- search and Special Programs Adminis-
road employee; tration of the U.S. Department of
Transportation (Hazardous Materials
(ii) Death of an employee of a con-
Regulations, 49 CFR 171.15). FRA Loco-
tractor to a railroad performing work
motive Safety Standards require cer-
for the railroad on property owned,
tain locomotive accidents to be re-
leased, or maintained by the con-
ported by telephone to the NRC at the
tracting railroad; or
same toll-free number (800–424–0201). 49
(iii) Death or injury of five or more
CFR 229.17.
persons.
(c) Contents of report. Each report
(2) Certain train accidents or train inci- must state the:
dents. Each railroad must report imme- (1) Name of the railroad;
diately, as prescribed in paragraphs (b) (2) Name, title, and telephone num-
through (d) of this section, whenever it ber of the individual making the re-
learns of the occurrence of any of the port;
following events that arose from the (3) Time, date, and location of the ac-
operation of the railroad: cident/incident;
(i) A train accident that results in se- (4) Circumstances of the accident/in-
rious injury to two or more train crew- cident;
members or passengers requiring their (5) Number of persons killed or in-
admission to a hospital; jured; and
(ii) A train accident resulting in (6) Available estimates of railroad
evacuation of a passenger train; and non-railroad property damage.
(iii) A fatality at a highway-rail (d) Timing of report. (1) To the extent
grade crossing as a result of a train ac- that the necessity to report an acci-
cident or train incident; dent/incident depends upon a deter-
(iv) A train accident resulting in mination of fact or an estimate of
damage (based on a preliminary gross property damage, a report will be con-
estimate) of $150,000, to railroad and sidered immediate if made as soon as
nonrailroad property; or possible following the time that the de-
(v) A train accident resulting in dam- termination or estimate is made, or
age of $25,000 or more to a passenger could reasonably have been made,
369
§ 225.11 49 CFR Ch. II (10–1–07 Edition)
whichever comes first, taking into con- (b) Notice to identified implicated em-
sideration the health and safety of ployees. Except as provided in para-
those affected by the accident/incident, graphs (e) and (f) of this section, for
including actions to protect the envi- each employee whose act, omission, or
ronment. physical condition was alleged by the
(2) NTSB has other specific require- railroad as the employee human factor
ments regarding the timeliness of re- that was the primary cause or a con-
porting. See 49 CFR part 840. tributing cause of a rail equipment ac-
cident/incident and whose name was
[68 FR 10138, Mar. 3, 2003]
listed in the Employee Human Factor
§ 225.11 Reporting of accidents/inci- Attachment for the accident and for
dents. each such railroad employee of whose
identity the railroad has actual knowl-
Each railroad subject to this part edge, the alleging railroad shall—
shall submit to FRA a monthly report (1) Complete part I, ‘‘Notice to Rail-
of all railroad accidents/incidents de- road Employee Involved in Rail Equip-
scribed in § 225.19. The report shall be ment Accident/Incident Attributed to
made on the forms prescribed in § 225.21 Employee Human Factor,’’ of Form
in hard copy or, alternatively, by FRA F 6180.78 with information regard-
means of magnetic media or electronic ing the accident, in accordance with in-
submission, as prescribed in § 225.37, structions on the form and in the cur-
and shall be submitted within 30 days rent ‘‘FRA Guide for Preparing Acci-
after expiration of the month during dent/Incident Reports’’; and
which the accidents/incidents occurred. (2) Hand deliver or send by first class
Reports shall be completed as required mail (postage prepaid) to that em-
by the current ‘‘FRA Guide for Pre- ployee, within 45 days after the end of
paring Accidents/Incidents Reports.’’ A the month in which the rail equipment
copy of this guide may be obtained accident/incident occurred—
from the Office of Safety, RRS–22, Fed- (i) A copy of Form FRA F 6180.78,
eral Railroad Administration, 400 Sev- ‘‘Notice to Railroad Employee Involved
enth Street, S.W., Washington, D.C. in Rail Equipment Accident/Incident
20590. Attributed to Employee Human Fac-
[61 FR 30969, June 18, 1996] tor; Employee Statement
Supplementing Railroad Accident Re-
§ 225.12 Rail Equipment Accident/Inci- port,’’ with part I completed as to the
dent Reports alleging employee applicable employee and accident;
human factor as cause; Employee (ii) A copy of the railroad’s Rail
Human Factor Attachment; notice Equipment Accident/Incident Report
to employee; employee supplement. and Employee Human Factor Attach-
(a) Rail Equipment Accident/Incident ment on the rail equipment accident/
Report alleging employee human factor as incident involved; and
cause; completion of Employee Human (iii) If the accident was also report-
Factor Attachment. If, in reporting a able as a highway-rail grade crossing
rail equipment accident/incident to accident/incident, a copy of the rail-
FRA, a railroad cites an employee road’s Highway-Rail Grade Crossing
human factor as the primary cause or a Accident/Incident Report on that acci-
contributing cause of the accident; dent.
then the railroad that cited such em- (c) Joint operations. If a reporting rail-
ployee human factor must complete, in road makes allegations under para-
accordance with instructions on the graph (a) of this section concerning the
form and in the current ‘‘FRA Guide employee of another railroad, the em-
for Preparing Accident/Incident Re- ploying railroad must promptly pro-
ports,’’ an Employee Human Factor At- vide the name, job title, address, and
tachment form on the accident. For medical status of any employee reason-
purposes of this section, ‘‘employee’’ is ably identified by the alleging railroad,
defined as a Worker on Duty—Em- if requested by the alleging railroad.
ployee, Employee not on Duty, Worker (d) Late identification. Except as pro-
on Duty—Contractor, or Worker on vided in paragraphs (e) and (f) of this
Duty—Volunteer. section, if a railroad is initially unable
370
to identify a particular railroad em- mail (postage prepaid) to the employee

ployee whose act, omission, or physical (except for good cause shown), the
condition was cited by the railroad as a original of the Supplement be filed
primary or contributing cause of the with FRA and a copy be hand delivered
accident, but subsequently makes such or sent by first class mail (postage pre-
identification, the railroad shall sub- paid) to the railroad that issued the
mit a revised Employee Human Factor Notice so that the railroad will have an
Attachment to FRA immediately, and opportunity to reassess its reports to
shall submit the Notice described in FRA concerning the accident.
paragraph (b) of this section to that (3) Information that the employee
employee within 15 days of when the wishes to withhold from the railroad
revised report is to be submitted. must not be included in this Supple-
(e) Deferred notification on medical ment. If an employee wishes to provide
grounds. The reporting railroad has confidential information to FRA, the
reasonable discretion to defer notifica- employee should not use the Supple-
tion of implicated employees on med- ment form (part II of Form FRA F
ical grounds. 6180.78), but rather provide such con-
(f) Implicated employees who have died fidential information by other means,
by the time that the Notice is ready to be such as a letter to the employee’s col-
sent. (1) If an implicated employee has lective bargaining representative, or to
died as a result of the accident, a No- the Federal Railroad Administration,
tice under paragraph (b) addressed to Office of Safety Assurance and Compli-
that employee must not be sent to any ance, RRS–11, 400 Seventh Street, SW.,
person. Washington, DC 20590. The letter
(2) If an implicated employee has should include the name of the railroad
died of whatever causes by the time making the allegations, the date and
that the Notice is ready to be sent, no place of the accident, and the rail
Notice addressed to that employee is equipment accident/incident number.
required. (h) Willful false statements; penalties. If
(g) Employee Statement Supplementing an employee chooses to submit a Sup-
Railroad Accident Report (Supplements or plement to FRA, all of the employee’s
Employee Supplements). (1) Employee assertions in the Supplement must be
Statements Supplementing Railroad true and correct to the best of the em-
Accident Reports are voluntary, not ployee’s knowledge and belief.
mandatory; nonsubmission of a Supple- (1) Under 49 U.S.C. 21301, 21302, and
ment does not imply that the employee 21304, any person who willfully files a
admits or endorses the railroad’s con- false Supplement with FRA is subject
clusions as to cause or any other alle- to a civil penalty. See appendix A to
gations. this part.
(2) Although a Supplement is com- (2) Any person who knowingly and
pletely optional and not required, if an willfully files a false Supplement is
employee wishes to submit a Supple- subject to a $5,000 fine, or up to two
ment and assure that, after receipt, it years’’ imprisonment, or both, under 49
will be properly placed by FRA in a file U.S.C. 21311.
with the railroad’s Rail Equipment Ac- [55 FR 37827, Sept. 13, 1990; 55 FR 39538, Sept.
cident/Incident Report and that it will 27, 1990, as amended at 61 FR 30969, 30973,
be required to be reviewed by the rail- June 18, 1996]
road that issued the Notice, the Sup-
plement must be made on part II of § 225.13 Late reports.
Form FRA F 6180.78 (entitled ‘‘Notice Whenever a railroad discovers that a
to Railroad Employee Involved in Rail report of an accident/incident, through
Equipment Accident/Incident Attrib- mistake or otherwise, has been improp-
uted to Employee Human Factor; Em- erly omitted from or improperly re-
ployee Statement Supplementing Rail- ported on its regular monthly accident/
road Accident Report’’), following the incident report, a report covering this
instructions printed on the form. These accident/incident together with a letter
instructions require that, within 35 of explanation must be submitted im-
days of the date that the Notice was mediately. Whenever a railroad re-
hand delivered or sent by first class ceives a partially or fully completed
371
§ 225.15 49 CFR Ch. II (10–1–07 Edition)
Employee Statement Supplementing dence available. The FRA, however,

Railroad Accident Report (part II of cannot delegate authority to decide
Form FRA F 6180.78), in response to a matters of judgment when facts are in
Notice to Railroad Employee (part I of dispute. In all such cases the decision
Form FRA F 6180.78) issued by the rail- shall be that of the FRA.
road and mailed or hand delivered to (b) Even though there may be no wit-
the employee, the railroad must ness to an accident/incident, if there is
promptly review that Supplement; evidence indicating that a reportable
based on that review, reassess the ac- accident/incident may have occurred, a
curacy and validity of the railroad’s report of that accident/incident must
Rail Equipment Accident/Incident Re- be made.
port and of any other reports and
(c) All accidents/incidents reported
records required by this part con-
as ‘‘claimed but not admitted by the
cerning the same accident, including
railroad’’ are given special examina-
the Employee Human Factor Attach-
tion by the FRA, and further inquiry
ment; make all justified revisions to
each of those reports and records; sub- may be ordered. Accidents/incidents
mit any amended reports to FRA; and accepted as reportable are tabulated
submit a copy of any amended Rail and included in the various statistical
Equipment Accident/Incident Report, statements issued by the FRA. The de-
Employee Human Factor Attachment, nial of any knowledge or refusal to
and Highway-Rail Grade Crossing Acci- admit responsibility by the railroad
dent/Incident Report on the accident to does not exclude those accidents/inci-
the employee. A second notice under dents from monthly and annual fig-
§ 225.12 is not required for the em- ures. Facts stated by a railroad that
ployee. If an employee who was never tend to refute the claim of an injured
sent a notice under § 225.12 for that ac- person are given consideration, and
cident is implicated in the revised Em- when the facts seem sufficient to sup-
ployee Human Factor Attachment, the port the railroad’s position, the case is
railroad must follow the procedures of not allocated to the reporting railroad.
§ 225.12(d). (d)(1) In preparing a Rail Equipment
Accident/Incident Report under this
FR 37828, Sept. 13, 1990; 61 FR 30973, June 18, part, the railroad shall make such spe-
1996] cific inquiry as may be reasonable
under the circumstances into the pos-
§ 225.15 Accidents/incidents not to be sible involvement of alcohol or drug
reported. use or impairment in such accident or
A railroad need not report: incident. If the railroad comes into
(a) Casualties which occur at high- possession of any information whatso-
way-rail grade crossings that do not in- ever, whether or not confirmed, con-
volve the presence or operation of on- cerning alleged alcohol or drug use or
track equipment, or the presence of impairment by an employee who was
railroad employees then engaged in the involved in, or arguably could be said
operation of a railroad; to have been involved in, the accident/
(b) Casualties in or about living quar- incident, the railroad shall report such
ters not arising from the operation of a alleged use or impairment as provided
railroad; in the current FRA Guide for Pre-
(c) Suicides as determined by a cor- paring Accident/Incident Reports. If
oner or other public authority; or the railroad is in possession of such in-
(d) Attempted suicides. formation but does not believe that al-
[39 FR 43224, Dec. 11, 1974, as amended at 61 cohol or drug impairment was the pri-
FR 30973, June 18, 1996] mary or contributing cause of the acci-
dent/incident, then the railroad shall
§ 225.17 Doubtful cases; alcohol or include in the narrative statement of
drug involvement. such report a brief explanation of the
(a) The reporting officer f a railroad basis of such determination.
will ordinarily determine the report- (2) For any train accident within the
ability or nonreportability of an acci- requirement for post-accident testing
dent/incident after examining all evi- under § 219.201 of this title, the railroad
372
shall append to the Rail Equipment Ac- porting threshold (i.e., $6,700 for cal-
cident/Incident Report any report re- endar years 2002 through 2005, $7,700 for
quired by § 219.209(b) (pertaining to fail- calendar year 2006, and $8,200 for cal-
ure to obtain samples for post-accident endar year 2007) to railroad on-track
toxicological testing). equipment, signals, tracks, track
(3) For any train or non-train inci- structures, or roadbed, including labor
dent, the railroad shall provide any costs and the costs for acquiring new
available information concerning the equipment and material. Each rail
possible involvement of alcohol or drug equipment accident/incident must be
use or impairment in such accident or reported to the FRA on Form FRA F
incident. 6180.54. If the property of more than
(4) In providing information required one railroad is involved in an accident/
by this paragraph, a railroad shall not incident, the reporting threshold is cal-
disclose any information concerning culated by including the damages suf-
use of controlled substances deter- fered by all of the railroads involved.
mined by the railroad’s Medical Review See § 225.23, Joint Operations. The re-
Officer to have been consistent with 49 porting threshold will be reviewed peri-
CFR 219.103. odically, and, if necessary, will be ad-
justed every year.
FR 31579, Aug. 2, 1985; 54 FR 53279, Dec. 27, (d) Group III—Death, injury, or occu-
1989] pational illness. Each event or exposure
arising from the operation of a railroad
§ 225.19 Primary groups of accidents/ shall be reported on Form FRA F
incidents. 6180.55a if the event or exposure is a
(a) For reporting purposes reportable discernable cause of one or more of the
railroad accidents/incidents are divided following outcomes, and this outcome
into three groups: is a new case or a significant aggrava-
tion of a pre-existing injury or illness:
Group I—Highway-Rail Grade Crossing; (1) Death to any person;
Group II—Rail Equipment;
Group III—Death, Injury and Occupational
(2) Injury to any person that results
Illness. in medical treatment;
(3) Injury to a railroad employee that
(b) Group I—Highway-rail grade cross- results in:
ing. Each highway-rail grade crossing (i) A day away from work;
accident/incident must be reported to (ii) Restricted work activity or job
the FRA on Form FRA F 6180.57, re- transfer; or
gardless of the extent of damages or
(iii) Loss of consciousness;
whether a casualty occurred. In addi-
(4) Occupational illness of a railroad
tion, whenever a highway-rail grade
employee that results in any of the fol-
crossing accident/incident results in
lowing:
damages greater than the current re-
porting threshold to railroad on-track (i) A day away from work;
equipment, signals, track, track struc- (ii) Restricted work activity or job
tures, or roadbed, that accident/inci- transfer;
dent shall be reported to the FRA on (iii) Loss of consciousness; or
Form FRA F 6180.54. For reporting pur- (iv) Medical treatment;
poses, damages include labor costs and (5) Significant injury to or signifi-
all other costs to repair or replace in cant illness of a railroad employee di-
kind damaged on-track equipment, sig- agnosed by a physician or other li-
nals, track, track structures, or road- censed health care professional even if
bed, but do not include the cost of it does not result in death, a day away
clearing a wreck. from work, restricted work activity or
(c) Group II—Rail equipment. Rail job transfer, medical treatment, or loss
equipment accidents/incidents are col- of consciousness;
lisions, derailments, fires, explosions, (6) Illness or injury that meets the
acts of God, and other events involving application of any of the following spe-
the operation of on-track equipment cific case criteria:
(standing or moving) that result in (i) Needlestick or sharps injury to a
damages higher than the current re- railroad employee;
373
§ 225.21 49 CFR Ch. II (10–1–07 Edition)
(ii) Medical removal of a railroad em- portable accident/incident occurred

ployee; during the month, that fact must be
(iii) Occupational hearing loss of a stated on this form. All railroads sub-
railroad employee; ject to this part, shall show on this
(iv) Occupational tuberculosis of a form the total number of freight train
railroad employee; or miles, passenger train miles, yard
(v) Musculoskeletal disorder of a rail- switching train miles, and other train
road employee if this disorder is inde- miles run during the month.
pendently reportable under one or (c) Form FRA 6180.55a—Railroad Injury
more of the general reporting criteria. and Illness (Continuation Sheet). Form
(e) The reporting threshold is $6,700 FRA 6180.55a shall be used to report all
for calendar years 2002 through 2005, reportable fatalities, injuries and occu-
$7,700 for calendar year 2006, and $8,200 pational illnesses that occurred during
for calendar year 2007. The procedure the preceding month.
for determining the reporting thresh- (d) Form FRA 6180.56—Annual Railroad
old for calendar years 2006 and beyond Report of Manhours by State. Form FRA
appears as paragraphs 1–8 of appendix B 6180.56 shall be submitted as part of the
to part 225. monthly Railroad Injury and Illness
Summary (Form FRA F 6180.55) for the
(Secs. 11144 and 11145, Subtitle IV of Title 49
(49 U.S.C. 11144 and 11145); secs. 1 and 6, Acci-
month of December of each year.
dent Reports Act (45 U.S.C. 431 and 437); sec. (e) Form FRA F 6180.57—Highway-Rail
6(e) and (f), Department of Transportation Grade Crossing Accident/Incident Report.
Act (49 U.S.C. 1655(e) and (f)); sec. 1.49(g) and Form FRA F 6180.57 shall be used to re-
(m), regulations of the Office of the Sec- port each highway-rail grade crossing
retary of Transportation (49 CFR 1.49(g) and accident/incident which occurred dur-
(m)) ing the preceding month.
[39 FR 43224, Dec. 11, 1974, as amended at 41 (f) Form FRA F 6180.81—Employee
FR 50691, Nov. 17, 1976; 42 FR 1221, Jan. 6, Human Factor Attachment. Form FRA F
1977; 47 FR 56358, Dec. 16, 1982; 51 FR 47019, 6180.81 shall be used by railroads, as a
Dec. 30, 1986; 53 FR 48548, Dec. 1, 1988; 55 FR supplement to the Rail Equipment Ac-
52847, Dec. 21, 1990; 61 FR 30969, 30973, June 18, cident/Incident Report (Form FRA F
1996; 61 FR 60634, Nov. 29, 1996; 61 FR 67490,
Dec. 23, 1996; 63 FR 63676, Dec. 2, 1997; 63 FR
6180.54), in reporting rail equipment ac-
71791, Dec. 30, 1998; 64 FR 69195, Dec. 10, 1999; cidents/incidents that they attribute to
65 FR 69886, Nov. 21, 2000; 66 FR 66348, Dec. 26, an employee human factor. This form
2001; 67 FR 79536, Dec. 30, 2002; 68 FR 10138, shall be completed in accordance with
Mar. 3, 2003; 70 FR 75417, Dec. 20, 2005; 72 FR instructions printed on the form and in
1186, Jan. 10, 2007] the current ‘‘FRA Guide for Preparing
Accident/Incident Reports.’’ The form
§ 225.21 Forms. shall be attached to the Rail Equip-
The following forms and copies of the ment Accident/Incident Report and
FRA Guide for Preparing Accident/In- shall be submitted within 30 days after
cident Reports may be obtained from expiration of the month in which the
the Office of Safety, FRA, 400 Seventh accident/incident occurred.
Street, SW., Washington, DC 20590. (g) Form FRA F 6180.78—Notice to Rail-
(a) Form FRA F 6180.54—Rail Equip- road Employee Involved in Rail Equip-
ment Accident/Incident Report. Form ment Accident/Incident Attributed to Em-
FRA F 6180.54 shall be used to report ployee Human Factor; Employee State-
each reportable rail equipment acci- ment Supplementing Railroad Accident
dent/incident which occurred during Report. When a railroad alleges, in the
the preceding month. Employee Human Factor Attachment
(b) Form FRA F 6180.55—Railroad In- to a Rail Equipment Accident/Incident
jury and Illness Summary. Form FRA F Report, that the act, omission, or phys-
6180.55 must be filed each month, even ical condition of a specific employee
though no reportable accident/incident was a primary or contributing cause of
occurred during the month covered. the rail equipment accident/incident,
Each report must include an oath or the railroad shall complete part I of
verification, made by the proper officer Form FRA F 6180.78 to notify each such
of the reporting railroad, as provided employee identified that the railroad
for attestation on the form. If no re- has made such allegation and that the
374
employee has the right to submit a ferred to the reporting officer for re-
statement to FRA. The railroad shall tention and reporting in the normal
then submit the entire form, parts I manner.
and II, to the employee. The Employee (3) In the event the narrative block
Statement Supplementing Railroad (similar to Form FRA F 6180.98, block
Accident Report (Employee Supple- 39) indicates that the case is not re-
ment) is completely at the option of portable, the explanation contained on
the employee; however, if the employee that block shall record the reasons the
desires to make a statement about the railroad determined that the case is
accident that will become part of the not reportable, making reference to the
railroad’s Rail Equipment Accident/In- most authoritative information relied
cident Report, the employee shall com- upon.
plete the Employee Supplement form
(4) Although the Form FRA F 6180.107
(part II of Form FRA F 6180.78) and
may not include all supporting docu-
shall then submit the original of the
mentation, such as medical records,
entire form, parts I and II, and any at-
tachments, to FRA and submit a copy the Form FRA F 6180.107 shall note the
of the same to the railroad that issued name, title, and address of the custo-
the Notice in part I. dian of those documents and where the
(h) Form FRA F 6180.98—Railroad Em- supporting documents are located so
ployee Injury and/or Illness Record. Form that they are readily accessible to FRA
FRA F 6180.98 or an alternative rail- upon request.
road-designed record shall be used by [39 FR 43224, Dec. 11, 1974, as amended at 42
the railroads to record all reportable FR 1221, Jan. 6, 1977; 49 FR 48939, Dec. 17,
and accountable injuries and illnesses 1984; 55 FR 37828, Sept. 13, 1990; 61 FR 30969,
to railroad employees for each estab- 30973, June 18, 1996; 68 FR 10138, Mar. 3, 2003]
lishment. This record shall be com-
pleted and maintained in accordance § 225.23 Joint operations.
with the requirements set forth in (a) Any reportable death, injury, or
§ 225.25. illness of an employee arising from an
(i) Form FRA F 6180.97—Initial Rail accident/incident involving joint oper-
Equipment Accident/Incident Record. ations must be reported on Form FRA
Form FRA F 6180.97 or an alternative F 6180.55a by the employing railroad.
railroad-designed record shall be used (b) In all cases involving joint oper-
by the railroads to record all report- ations, each railroad must report on
able and accountable rail equipment Form FRA F 6180.55a the casualties to
accidents/incidents for each establish-
all persons on its train or other on-
ment. This record shall be completed
track equipment. Casualties to railroad
and maintained in accordance with the
employees must be reported by the em-
requirements set forth in § 225.25.
ploying railroad regardless of whether
(j) Form FRA 6180.107—Alternative
the employees were on or off duty. Cas-
Record for Illnesses Claimed To Be Work-
Related. (1) Form FRA F 6180.107 shall ualties to all other persons not on
be used by a railroad to record each ill- trains or on-track equipment must be
ness claimed to be work-related that is reported on Form FRA F 6180.55a by
reported to the railroad— the railroad whose train or equipment
(i) For which there is insufficient in- is involved. Any person found uncon-
formation to determine whether the scious or dead, if such condition arose
illness is work-related; from the operation of a railroad, on or
(ii) For which the railroad has made adjacent to the premises or right-of-
a preliminary determination that the way of the railroad having track main-
illness is not work-related; or tenance responsibility must be re-
(iii) For which the railroad has made ported by that railroad on Form FRA F
a final determination that the illness is 6180.55a.
not work-related. (c) In rail equipment accident/inci-
(2) For any case determined to be re- dent cases involving joint operations,
portable, the designation ‘‘illness the railroad responsible for carrying
claimed to be work-related’’ shall be out repairs to, and maintenance of, the
removed, and the record shall be trans- track on which the accident/incident
375
§ 225.25 49 CFR Ch. II (10–1–07 Edition)
occurred, and any other railroad di- (8) Home address of railroad em-
rectly involved in the accident/inci- ployee; include the street address, city,
dent, each must report the accident/in- State, ZIP code, and home telephone
cident on Form FRA F 6180.54. number with area code;
(9) Name of facility where railroad
FR 1221, Jan. 6, 1977; 68 FR 10138, Mar. 3, 2003] employee normally reports to work;
(10) Address of facility where railroad
§ 225.25 Recordkeeping. employee normally reports to work; in-
clude the street address, city, State,
(a) Each railroad shall maintain ei-
and ZIP code;
ther the Railroad Employee Injury and/
(11) Job title of railroad employee;
or Illness Record (Form FRA F 6180.98)
or an alternative railroad-designed (12) Department assigned;
record as described in paragraph (b) of (13) Specific site where accident/inci-
this section of all reportable and ac- dent/exposure occurred; include the
countable injuries and illnesses of its city, county, State, and ZIP code;
employees that arise from the oper- (14) Date and time of occurrence;
ation of the railroad for each railroad military time or AM/PM;
establishment where such employees (15) Time employee’s shift began;
report to work, including, but not lim- military time or AM/PM;
ited to, an operating division, general (16) Whether employee was on prem-
office, and major installation such as a ises when injury, illness, or condition
locomotive or car repair or construc- occurred;
tion facility. (17) Whether employee was on or off
(b) The alternative railroad-designed duty;
record may be used in lieu of the Rail- (18) Date and time when employee
road Employee Injury and/or Illness notified company personnel of condi-
Record (Form FRA F 6180.98) described tion; military time or AM/PM;
in paragraph (a) of this section. Any (19) Name and title of railroad offi-
such alternative record shall contain cial notified;
all of the information required on the (20) Description of the general activ-
Railroad Employee Injury and/or Ill- ity this employee was engaged in prior
ness Record. Although this information to the injury/illness/condition;
may be displayed in a different order (21) Description of all factors associ-
from that on the Railroad Employee ated with the case that are pertinent
Injury and/or Illness Record, the order to an understanding of how it occurred.
of the information shall be consistent Include a discussion of the sequence of
from one such record to another such events leading up to it; and the tools,
record. The order chosen by the rail- machinery, processes, material, envi-
road shall be consistent for each of the ronmental conditions, etc., involved;
railroad’’s reporting establishments. (22) Description, in detail, of the in-
Railroads may list additional informa- jury/illness/condition that the em-
tion on the alternative record beyond ployee sustained, including the body
the information required on the Rail- parts affected. If a recurrence, list the
road Employee Injury and/or Illness date of the last occurrence;
Record. The alternative record shall (23) Identification of all persons and
contain, at a minimum, the following organizations used to evaluate or treat
information: the condition, or both. Include the fa-
(1) Name of railroad; cility, provider and complete address;
(2) Case/incident number; (24) Description of all procedures,
(3) Full name of railroad employee; medications, therapy, etc., used or rec-
(4) Date of birth of railroad em- ommended for the treatment of the
ployee; condition.
(5) Gender of railroad employee; (25) Extent and outcome of injury or
(6) Employee identification number illness to show the following as appli-
or, in the alternative, Social Security cable:
Number of railroad employee; (i) Fatality—enter date of death;
(7) Date the railroad employee was (ii) Restricted work; number of days;
hired; beginning date;
376
(iii) Occupational illness; date of ini- alternative railroad-designed record as

tial diagnosis; described in paragraph (e) of this sec-
(iv) Instructions to obtain prescription of reportable and accountable col-
tion medication, or receipt of prescrip- lisions, derailments, fires, explosions,
tion medication; acts of God, or other events involving
(v) If one or more days away from the operation of railroad on-track
work, provide the number of days away equipment, signals, track, or track
and the beginning date; equipment (standing or moving) that
(vi) Medical treatment beyond ‘‘first result in damages to railroad on-track
aid’’; equipment, signals, tracks, track
(vii) Hospitalization for treatment as structures, or roadbed, including labor
an inpatient; costs and all other costs for repairs or
(viii) Multiple treatments or therapy replacement in kind for each railroad
sessions; establishment where workers report to
(ix) Loss of consciousness; work, including, but not limited to, an
(x) Transfer to another job or termi- operating division, general office, and
nation of employment; major installation such as a loco-
(xi) Significant injury or illness of a motive or car repair or construction fa-
railroad employee; cility.
(xii) Needlestick or sharps injury to a (e) The alternative railroad-designed
railroad employee, medical removal of record may be used in lieu of the Ini-
a railroad employee, occupational tial Rail Equipment Accident/Incident
hearing loss of a railroad employee, oc- Record (Form FRA F 6180.97). Any such
cupational tuberculosis of a railroad alternative record shall contain all of
employee, or musculoskeletal disorder the information required on the Initial
of a railroad employee which musculo- Rail Equipment Accident/Incident
skeletal disorder is reportable under Record. Although this information
one or more of the general reporting may be displayed in a different order
criteria. from that on the Initial Rail Equip-
(26) Each railroad shall indicate if ment Accident/Incident Record, the
the Railroad Injury and Illness Sum- order of the information shall be con-
mary (Continuation Sheet) (FRA Form sistent from one such record to another
F 6180.55a) has been filed with FRA for such record. The order chosen by the
the injury or illness. If FRA Form F railroad shall be consistent for each of
6180.55a was not filed with FRA, then the railroad’s reporting establish-
the railroad shall provide an expla- ments. Railroads may list additional
nation of the basis for its decision. information in the alternative record
(27) The reporting railroad shall indi- beyond the information required on the
cate if the injured or ill railroad em- Initial Rail Equipment Accident/Inci-
ployee was provided an opportunity to dent Record. The alternative record
review his or her file; and shall contain, at a minimum, the fol-
(28) The reporting railroad shall iden- lowing information:
tify the preparer’s name; title; tele- (1) Date and time of accident;
phone number with area code; and the (2) Reporting railroad, and accident/
date the log entry was completed. incident number;
(c) Each railroad shall provide the (3) Other railroad, if applicable, and
employee, upon request, a copy of ei- other railroad’s accident/incident num-
ther the completed Railroad Employee ber;
Injury and/or Illness Record (Form (4) Railroad responsible for track
FRA F 6180.98) or the alternative rail- maintenance, and that railroad’s inci-
road-designed record as described in dent number;
paragraphs (a) and (b) of this section as (5) Type of accident/incident (derail-
well as a copy of forms or reports re- ment, collision, etc.);
quired to be maintained or filed under (6) Number of cars carrying haz-
this part pertaining to that employee’s ardous materials that derailed or were
own work-related injury or illness. damaged; and number of cars carrying
(d) Each railroad shall maintain the hazardous materials that released
Initial Rail Equipment Accident/Inci- product;
dent Record (Form FRA F 6180.97) or an (7) Division;
377
§ 225.25 49 CFR Ch. II (10–1–07 Edition)
(8) County and nearest city or town; rail equipment accident/incident has
(9) State; occurred.
(10) Milepost (to the nearest tenth); (g) The records required under para-
(11) Specific site; graphs (a) through (e) of this section
(12) Speed (indicate if actual or esti- may be maintained at the local estab-
mate); lishment or, alternatively, at a cen-
(13) Train number or job number; tralized location. If the records are
(14) Type of equipment (freight, pas- maintained at a centralized location,
senger, yard switching, etc.); but not through electronic means, then
(15) Type of track (main, yard, siding, a paper copy of the records that is cur-
industry); rent within 35 days of the month to
(16) Total number of locomotives in which it applies shall be available for
train; that establishment. If the records are
(17) Total number of locomotives maintained at a centralized location
that derailed; through electronic means, then the
(18) Total number of cars in train; records for that establishment shall be
(19) Total number of cars that de- available for review in a hard copy for-
railed; mat within four business hours of
(20) Total amount of damage in dol- FRA’s request. FRA recognizes that
lars to equipment based on computa- circumstances outside the railroad’s
tions as described in the ‘‘FRA Guide control may preclude it from fulfilling
for Preparing Accidents/Incidents Re- the four-business-hour time limit. In
ports’’; these circumstances, FRA will not as-
(21) Total amount of damage in dol- sess a monetary penalty against the
lars to track, signal, way and struc- railroad for its failure to provide the
tures based on computations as de- requested documentation provided the
scribed in the ‘‘FRA Guide for Pre- railroad made a reasonable effort to
paring Accidents/Incidents Reports’’; correct the problem.
(22) Primary cause; (h) Except as provided in para-
(23) Contributing cause; graph(h)(15) of this section, a listing of
(24) Persons injured, persons killed, all injuries and occupational illnesses
and employees with an occupational reported to FRA as having occurred at
illness, broken down into the following an establishment shall be posted in a
classifications: worker on duty—em- conspicuous location at that establish-
ployee; employee not on duty; pas- ment, within 30 days after the expira-
senger on train; nontrespasser—on rail- tion of the month during which the in-
road property; trespasser; worker on juries and illnesses occurred, if the es-
duty—contractor; contractor—other; tablishment has been in continual op-
worker on duty—volunteer; volunteer— eration for a minimum of 90 calendar
other; and nontrespasser-off railroad days. If the establishment has not been
property; in continual operation for a minimum
(25) Narrative description of the acci- of 90 calendar days, the listing of all in-
dent; juries and occupational illnesses re-
(26) Whether the accident/incident ported to FRA as having occurred at
was reported to FRA; the establishment shall be posted,
(27) Preparer’s name, title, telephone within 30 days after the expiration of
number with area code, and signature; the month during which the injuries
and and illnesses occurred, in a conspicuous
(28) Date the report was completed. location at the next higher organiza-
(f) Each railroad shall enter each re- tional level establishment, such as one
portable and accountable injury and of the following: an operating division
illness and each reportable and ac- headquarters; a major classification
countable rail equipment accident/inci- yard or terminal headquarters; a major
dent on the appropriate record, as re- equipment maintenance or repair in-
quired by paragraphs (a) through (e) of stallation, e.g., a locomotive or rail car
this section, as early as practicable but repair or construction facility; a rail-
no later than seven working days after road signal and maintenance-of-way di-
receiving information or acquiring vision headquarters; or a central loca-
knowledge that an injury or illness or tion where track or signal maintenance
378
employees are assigned as a head- it a duplicate copy of each establish-

quarters or receive work assignments. ment’s list of monthly reportable inju-
These examples include facilities that ries and illnesses. The preparer of the
are generally major facilities of a per- monthly lists of reportable injuries and
manent nature where the railroad gen- illnesses shall mail or send by fac-
erally posts or disseminates company simile each establishment’s list to the
informational notices and policies, e.g., establishment in the time frame pre-
the policy statement in the internal scribed in paragraph (h) of this sec-
control plan required by § 225.33 con- tion.); and
cerning harassment and intimidation. (13) Date the record was completed.
At a minimum, ‘‘establishment’’ post- (14) When there are no reportable in-
ing is required and shall include loca- juries or occupational illnesses associ-
tions where a railroad reasonably ex- ated with an establishment for that
pects its employees to report during a month, the listing shall make ref-
12-month period and to have the oppor- erence to this fact.
tunity to observe the posted list con- (15) The railroad is permitted not to
taining any reportable injuries or ill- post information on an occupational
nesses they have suffered during the injury or illness that is a privacy con-
applicable period. This listing shall be cern case.
posted and shall remain continuously (i) Claimed Occupational Illnesses. (1)
displayed for the next twelve consecu- Each railroad shall maintain either the
tive months. Incidents reported for em- Form FRA F 6180.107, to the extent
ployees at that establishment shall be that the information is reasonably
displayed in date sequence. The listing available, or an alternate railroad-de-
shall contain, at a minimum, the infor- signed record containing the same in-
mation specified in paragraphs (h)(1) formation as called for on the Form
through (14) of this section. FRA F 6180.107, to the extent that the
(1) Name and address of the establish- information is reasonably available,
ment; for each illness claimed to be work-re-
(2) Calendar year of the cases being lated—
displayed; (i) For which there is insufficient in-
(3) Incident number used to report formation to determine whether the
case; illness is work-related;
(4) Date of the injury or illness; (ii) For which the railroad has made
(5) Location of incident; a preliminary determination that the
(6) Regular job title of employee in- illness is not work-related; or
jured or ill; (iii) For which the railroad has made
(7) Description of the injury or condi- a final determination that the illness is
tion; not work-related.
(8) Number of days employee absent (2) For any case determined to be re-
from work at time of posting; portable, the designation ‘‘illness
(9) Number of days of work restric- claimed to be work-related’’ shall be
tion for employee at time of posting; removed, and the record shall be trans-
(10) If fatality—enter date of death; ferred to the reporting officer for re-
(11) Annual average number of rail- tention and reporting in the normal
road employees reporting to this estab- manner.
lishment; (3) In the event the narrative block
(12) Preparer’s name, title, telephone (similar to Form FRA F 6180.98, block
number with area code, and signature 39) indicates that the case is not re-
(or, in lieu of signing each establish- portable, the explanation contained on
ment’s list of reportable injuries and that block shall record the reasons the
illnesses, the railroad’s preparer of this railroad determined that the case is
monthly list may sign a cover sheet or not reportable, making reference to the
memorandum which contains a list of most authoritative information relied
each railroad establishment for which upon.
a monthly list of reportable injuries (4) In the event the railroad must
and illnesses has been prepared. This amend the record with new or addi-
cover memorandum shall be signed by tional information, the railroad shall
the preparer and shall have attached to have up until December 1 of the next
379
§ 225.27 49 CFR Ch. II (10–1–07 Edition)
calendar year for reporting accidents/ pendent contractor) who violates any
incidents to make the update. requirement of this part or causes the
(5) Although the Alternative Record violation of any such requirement is
for Illnesses Claimed to be Work-Re- subject to a civil penalty of at least
lated (or the alternate railroad-de- $550 and not more than $11,000 per vio-
signed form) may not include all sup- lation, except that: Penalties may be
porting documentation, such as med- assessed against individuals only for
ical records, the alternative record willful violations, and where a grossly
shall note the custodian of those docu- negligent violation or a pattern of re-
ments and where the supporting docu- peated violations has created an immi-
ments are located so that they are nent hazard of death or injury to per-
readily accessible to FRA upon re- sons, or has caused death or injury, a
quest. penalty not to exceed $27,000 per viola-
[61 FR 30970, June 18, 1996, as amended at 61 tion may be assessed. Each day a viola-
FR 59371, Nov. 22, 1996; 61 FR 67491, Dec. 23, tion continues shall constitute a sepa-
1996; 68 FR 10139, Mar. 3, 2003] rate offense. See appendix A to this
part for a statement of agency civil
§ 225.27 Retention of records. penalty policy. A person may also be
(a) Each railroad shall retain the subject to the criminal penalties pro-
Railroad Employee Injury and/or Ill- vided for in 49 U.S.C. 21311.
ness Record and the Monthly List of [53 FR 28601, July 28, 1988, as amended at 53
Injuries and Illnesses required by FR 52931, Dec. 29, 1988; 61 FR 30971, June 18,
§ 225.25 for at least five years after the 1996; 63 FR 11622, Mar. 10, 1998; 69 FR 30594,
end of the calendar year to which they May 28, 2004]
relate. Each railroad shall retain the EFFECTIVE DATE NOTE: At 72 FR 51197,
Initial Rail Equipment Accident/Inci- Sept. 6, 2007, § 225.29 was amended by remov-
dent Record required by § 225.25 for at ing the numerical amount ‘‘$11,000’’ and add-
least two years after the end of the cal- ing in its place the numerical amount
endar year to which it relates. Each ‘‘$16,000’’, effective October 9, 2007.
railroad must retain the Employee
Human Factor Attachments required § 225.31 Investigations.
by § 225.12, the written notices to em- (a) It is the policy of the FRA to in-
ployees required by § 225.12, and the vestigate rail transportation accidents/
Employee Statements Supplementing incidents which result in the death of a
Railroad Accident Reports described in railroad employee or the injury of five
§ 225.12(g) that have been received by or more persons. Other accidents/inci-
the railroad for at least 2 years after dents are investigated when it appears
the end of the calendar year to which that an investigation would substan-
they relate. tially serve to promote railroad safety.
(b) Each railroad must retain a dupli- (b) FRA representatives are author-
cate of each form it submits to FRA ized to investigate accidents/incidents
under § 225.21, for at least 2 years after and have been issued credentials au-
the calendar year to which it relates. thorizing them to inspect railroad
[39 FR 43224, Dec. 11, 1974, as amended at 55 records and properties. They are au-
FR 37828, Sept. 13, 1990; 61 FR 30971, June 18, thorized to obtain all relevant informa-
1996; 61 FR 67491, Dec. 23, 1996] tion concerning accidents/incidents
under investigation, to make inquiries
§ 225.29 Penalties. of persons having knowledge of the
Any person (an entity of any type facts, conduct interviews and inquiries,
covered under 1 U.S.C. 1, including but and attend as an observer, hearings
not limited to the following: a railroad; conducted by railroads. When nec-
a manager, supervisor, official, or essary to carry out an investigation,
other employee or agent of a railroad; the FRA may authorize the issuance of
any owner, manufacturer, lessor, or subpoenas to require the production of
lessee of railroad equipment, track, or records and the giving of testimony.
facilities; any independent contractor (c) Whenever necessary, the FRA will
providing goods or services to a rail- schedule a public hearing before an au-
road; and any employee of such owner, thorized hearing officer, in which event
manufacturer, lessor, lessee, or inde- testimony will be taken under oath, a
380
record made, and opportunity provided (2) The dissemination of the policy
to question witnesses. statement; complaint procedures. Each
(d) When necessary in the conduct of railroad shall provide to all employees,
an investigation, the Federal Railroad supervisory personnel, and manage-
Administrator may require autopsies ment the policy statement described in
and other tests of the remains of rail- paragraph (a)(1). Each railroad shall
road employees who die as a result of have procedures to process complaints
an accident/incident. from any person about the policy stat-
(e) Information obtained through ed in paragraph (a)(1) being violated,
FRA accident investigations may be and to impose the appropriate pre-
published in public reports or used for scribed disciplinary actions on each
other purposes FRA deems to be appro- employee, supervisor, manager, or offi-
priate. cer of the railroad found to have vio-
(f) Section 20903 of title 49 of the lated the policy. These procedures shall
United States Code provides that no be disclosed to railroad employees, su-
part of a report of an accident inves- pervisors, managers, and officers. The
tigation under section 20902 of title 49 railroad shall provide ‘‘whistle blower’’
of the United States Code may be ad- protection to any person subject to
mitted as evidence or used for any pur- this policy, and such policy shall be
pose in any suit or action for damages disclosed to all railroad employees, su-
growing out of any matter mentioned pervisors and management.
in the accident investigation report. (3) Copies of internal forms and/or a
[39 FR 43224, Dec. 11, 1974, as amended at 61 description of the internal computer
FR 30971, June 18, 1996] reporting system used for the collec-
tion and internal recording of accident
§ 225.33 Internal Control Plans. and incident information.
(a) Each railroad shall adopt and (4) A description of the internal pro-
comply with a written Internal Control cedures used by the railroad for the
Plan that shall be maintained at the processing of forms and/or computer-
office where the railroad’s reporting of- ized data regarding accident and inci-
ficer conducts his or her official busi- dent information.
ness. Each railroad shall amend its In- (5) A description of the internal re-
ternal Control Plan, as necessary, to view procedures applicable to accident
reflect any significant changes to the and incident information collected, and
railroad’s internal reporting proce- reports prepared by, the railroad’s safe-
dures. The Internal Control Plan shall ty, claims, medical and/or other de-
be designed to maintain absolute accu- partments engaged in collecting and
racy and shall include, at a minimum, reporting accident and incident infor-
each of the following components: mation.
(1) A policy statement declaring the (6) A description of the internal pro-
railroad’s commitment to complete cedures used for collecting cost data
and accurate reporting of all accidents, and compiling costs with respect to ac-
incidents, injuries, and occupational cident and incident information.
illnesses arising from the operation of (7) A description of applicable inter-
the railroad, to full compliance with nal procedures for ensuring adequate
the letter and spirit of FRA’s accident communication between the railroad
reporting regulations, and to the prin- department responsible for submitting
ciple, in absolute terms, that harass- accident and incident reports to FRA
ment or intimidation of any person and any other department within the
that is calculated to discourage or pre- railroad responsible for collecting, re-
vent such person from receiving proper ceiving, processing and reporting acci-
medical treatment or from reporting dents and incidents.
such accident, incident, injury or ill- (8) A statement of applicable proce-
ness will not be permitted or tolerated dures providing for the updating of ac-
and will result in some stated discipli- cident and incident information prior
nary action against any employee, su- to reporting to FRA and a statement of
pervisor, manager, or officer of the applicable procedures providing for the
railroad committing such harassment amendment of accident and incident
or intimidation. information as specified in the ‘‘FRA
381
§ 225.35 49 CFR Ch. II (10–1–07 Edition)
Guide for Preparing Accidents/Inci- and photocopying in a reasonable man-

dents Reports.’’ ner during normal business hours.
(9) A statement that specifies the (b) Each railroad subject to this part
name and title of the railroad officer shall also provide to any representative
responsible for auditing the perform- of the Federal Railroad Administration
ance of the reporting function; a state- or of a State agency participating in
ment of the frequency (not less than investigative or and surveillance ac-
once per calendar year) with which au- tivities under part 212 of this chapter
dits are conducted; and identification or any other authorized representative
of the site where the most recent audit access to relevant medical and claims
report may be found for inspection and records for examination and
photocopying.
photocopying in a reasonable manner
(10)(i) A brief description of the rail-
during normal business hours. Such
road organization, including identifica-
representatives shall display proper
tion of:
credentials when requested. Each rail-
(A) All components that regularly
road shall identify the locations where
come into possession of information
pertinent to the preparation of reports a copy of any record and report re-
under this part (e.g., medical, claims, quired under this part is accessible for
and legal departments; operating, me- inspection and photocopying by main-
chanical, and track and structures de- taining a list of such establishment lo-
partments; payroll, accounting, and cations at the office where the rail-
personnel departments); road’s reporting officer conducts his or
(B) The title of each railroad report- her official business. A copy of any
ing officer; record and report required under this
(C) The title of each manager of such part shall be accessible within four
components, by component; and business hours after the request. The
(D) All officers to whom managers of Form FRA F 6180.107 or the alternate
such components are responsible, by railroad-designed form need not be pro-
component. vided at any railroad establishment
(ii) A current organization chart sat- within 4 hours of a request. Rather, the
isfies paragraphs (a)(10)(i) (B), (C), and Form FRA F 6180.107 or the alternate
(D) of this section. railroad-designed form must be pro-
(11) In the case of the Form FRA F vided upon request, within five busi-
6180.107 or the alternate railroad-de- ness days, and may be kept at a central
signed form, a statement that specifies location, in either paper or electronic
the name, title, and address of the cus- format. FRA will not assess a mone-
todian of these records, all supporting tary penalty against the railroad for
documentation, such as medical its failure to provide the requested doc-
records, and where the documents are umentation when circumstances out-
located. side the railroad’s control preclude it
(b) [Reserved] from fulfilling the four-business-hour
[61 FR 30972, June 18, 1996, as amended at 61 time limit and the railroad has made a
FR 59371, Nov. 22, 1996; 61 FR 67491, Dec. 23, reasonable effort to correct the prob-
1996; 68 FR 10139, Mar. 3, 2003] lem. Should a railroad assert a legal
privilege with respect to certain claims
§ 225.35 Access to records and reports. and medical records, failure to provide
(a) Each railroad subject to this part FRA access to such records would not
shall have at least one location, and constitute a violation of this section.
shall identify each location, where any FRA retains the right to issue a sub-
representative of the Federal Railroad poena to obtain such records under 49
Administration or of a State agency U.S.C. §§ 20107 and 20902 and §§ 209.7(a)
participating in investigative and sur- and 225.31(b) of this title, and the rail-
veillance activities under part 212 of road may contest that subpoena.
this chapter or any other authorized
representative, has centralized access [61 FR 30972, June 18, 1996, as amended at 61
to a copy of any record and report re- FR 59371, Nov. 22, 1996; 68 FR 10139, Mar. 3,
quired under this part, for examination 2003]
382
§ 225.37 Magnetic media transfer and (Form FRA F 6180.55), signed by the
electronic submission. railroad’s reporting officer.
(a) A railroad has the option of sub- (d) Each railroad employing either
mitting the following reports, updates, the magnetic media or electronic sub-
and amendments by way of magnetic mission option, shall submit its month-
media (computer diskette or magnetic ly reporting data for the reports identi-
tape), or by means of electronic sub- fied in paragraph (a) of this section in
mission over telephone lines or other a year-to-date file format as described
means: in the ‘‘FRA Guide for Preparing Acci-
(1) The Rail Equipment Accident/In- dents/Incidents Reports.’’
cident Report (Form FRA F 6180.54); (e) In addition to fulfilling the re-
(2) the Railroad Injury and Illness quirements stated in paragraph (b)
Summary (Form FRA F 6180.55); through (d) of this section, each rail-
(3) the Railroad Injury and Illness road initially utilizing either the mag-
Summary (Continuation Sheet) (Form netic media or electronic submission
FRA F 6180.55a); option, shall submit the hard copy re-
(4) the Highway-Rail Grade Crossing port(s) for each accident/incident it re-
Accident/Incident Report (Form FRA F ports by such means. FRA will contin-
6180.57); and ually review the railroad‘‘s submitted
(5) the Batch Control Form (Form hard copy reports against the data it
FRA F 6180.99). has submitted electronically, or by
(b) Each railroad utilizing the mag- means of magnetic media. Once the
netic media option shall submit to magnetic media or electronic submis-
FRA the following: sion is in total agreement with the sub-
(1) the computer diskette or mag- mitted hard copies of the reports for
netic tape; three consecutive reporting months,
(2) the Batch Control Form (Form FRA will notify the railroad, in writ-
FRA F 6180.99); and ing, that submission of the hard copy
(3) a notarized hard copy of the Rail- reports, except for the notarized Rail-
road Injury and Illness Summary road Injury and Illness Summary, is no
(Form FRA F 6180.55), signed by the longer required.
railroad’s reporting officer. [61 FR 30972, June 18, 1996]
(c) Each railroad utilizing the elec-
tronic submission option shall submit § 225.39 FRA policy on covered data.
to FRA the following:
FRA will not include covered data (as
(1) the Batch Control Form (Form
defined in § 225.5) in its periodic sum-
FRA F 6180.99) which is submitted to
maries of data on the number of occu-
an FRA-designated computer; and
pational injuries and illnesses.
(2) a notarized hard copy of the Rail-
road Injury and Illness Summary [68 FR 10139, Mar. 3, 2003]
383

Willful
Section (including computer code, if applicable) Violation violation
225.9 Telephonic reports of certain accidents/incidents .................................................................... $1,000 $2,000

225.11 Reports of accidents/ incidents .............................................................................................. 2,500 5,000
225.12(a):
Failure to file Railroad Employee Human Factor Attachment properly.
(1) Employee identified ............................................................................................. 2,500 5,000
(2) No employee identified ....................................................................................... 1,000 2,000
225.12(b):
(1) Failure to notify employee properly ................................................................................... 2,500 5,000
(2) Notification of employee not involved in accident ............................................................. 2,500 5,000
225.12(c):
Failure of employing railroad to provide requested information properly ............................... 1,000 2,000
225.12(d):
(1) Failure to revise report when identity becomes known .................................................... 2,500 5,000
(2) Failure to notify after late identification ............................................................................. 2,500 5,000
225.12(f)(1):
Submission of notice if employee dies as result of the reported accident ............................ 2,500 5,000
225.12(g):
Willfully false accident statement by employee ...................................................................... .................... 5,000
225.13 Late reports .............................................................................................................. 2,500 5,000
225.17(d) Alcohol or drug involvement ................................................................................ 2,500 5,000
225.23 Joint operations ........................................................................................................ (1) (1)
225.25 Recordkeeping ......................................................................................................... 2,500 5,000
225.27 Retention of records ................................................................................................. 1,000 2,000
225.33:
(1) Failure to adopt the Internal Control Plan .......................................................... 2,500 5,000
(2) Inaccurate reporting due to failure to comply with the Internal Control Plan ..... 2,500 5,000
(3) Failure to comply with the intimidation/harassment policy in the Internal Con-
trol Plan ................................................................................................................. 2,500 5,000
225.35 Access to records and reports ................................................................................. 2,500 5,000
[61 FR 30973, June 18, 1996, as amended at 63 FR 11622, Mar. 10, 1998; 69 FR 30594, May 28, 2004]
APPENDIX B TO PART 225—PROCEDURE for Group No. 300 (Maintenance of Way and
FOR DETERMINING REPORTING Structures) and Group No. 400 (Maintenance
THRESHOLD of Equipment and Stores) employees is used.
3. For the equipment component,
1. Wage data used in the calculation are LABSTAT Series Report, Producer Price
collected from railroads by the Surface Index (PPI) Series WPU 144 for Railroad
Transportation Board (STB) on Form A— Equipment is used.
STB Wage Statistics. Rail equipment data 4. In the month of October, second-quarter
from the U.S. Department of Labor, Bureau wage data are obtained from the STB. For
of Labor Statistics (BLS), LABSTAT Series equipment costs, the corresponding BLS rail-
reports are used in the calculation. The road equipment indices for the second quar-
equation used to adjust the reporting thresh- ter are obtained. As the equipment index is
old has two components: (a) The average reported monthly rather than quarterly, the
hourly earnings of certain railroad mainte- average for the months of April, May and
nance employees as reported to the STB by June is used for the threshold calculation.
the Class I railroads and Amtrak; and (b) an 5. The wage data are reported in terms of
overall rail equipment cost index determined dollars earned per hour, while the equipment
by the BLS. The wage component is weight- cost data are indexed to a base year of 1982.
ed by 40% and the equipment component by 6. The procedure for adjusting the report-
60%. ing threshold is shown in the formula below.
2. For the wage component, the average of The wage component appears as a fractional
the data from Form A—STB Wage Statistics change relative to the prior year, while the
1 A penalty may be assessed against an in- part, each of the following constitutes a sin-
dividual only for a willful violation. The Ad- gle act of noncompliance: (1) a missing or in-
ministrator reserves the right to assess a complete log entry for a particular employ-
penalty of up to $27,000 for any violation ee’s injury or illness; or (2) a missing or in-
where circumstances warrant. See 49 CFR complete log record for a particular rail
part 209, appendix A. A failure to comply equipment accident or incident. Each day a
with § 225.23 constitutes a violation of § 225.11. violation continues is a separate offense.
For purposes of §§ 225.25 and 225.27 of this
384
equipment component is a difference of two APPENDIX F TO PART 227—CALCULATIONS AND
percentages which must be divided by 100 to APPLICATION OF AGE CORRECTIONS TO
present it in a consistent fractional form. AUDIOGRAMS
After performing the calculation, the result APPENDIX G TO PART 227—SCHEDULE OF CIVIL
is rounded to the nearest $100. PENALTIES
7. The weightings result from using STB
AUTHORITY: 49 U.S.C. 20103, 20103 (note),
wage data and BLS equipment cost data to
20701–20702; 49 CFR 1.49.
produce a reasonable estimation of the re-
porting threshold that was calculated using SOURCE: 71 FR 63123, Oct. 27, 2006, unless
the threshold formula in effect immediately otherwise noted.
before calendar year 2006, a formula that as-
sumed damage repair costs, at levels at or Subpart A—General
near the threshold, were split approximately
evenly between labor and materials. § 227.1 Purpose and scope.
8. Formula:
New Threshold = Prior Threshold × [1 + (a) The purpose of this part is to pro-
0.4(Wnew—Wprior)/Wprior + 0.6(Enew ¥ tect the occupational health and safety
Eprior)/100] of employees whose predominant noise
Where: exposure occurs in the locomotive cab.
Wnew = New average hourly wage rate ($). (b) This part prescribes minimum
Wprior = Prior average hourly wage rate ($). Federal health and safety noise stand-
Enew = New equipment average PPI value. ards for locomotive cab occupants.
Eprior = Prior equipment average PPI value. This part does not restrict a railroad or
[70 FR 75417, Dec. 20, 2005] railroad contractor from adopting and
enforcing additional or more stringent
PART 227—OCCUPATIONAL NOISE requirements.
EXPOSURE § 227.3 Application.
Subpart A—General (a) Except as provided in paragraph
(b) of this section, this part applies to
Sec. all railroads and contractors to rail-
227.1 Purpose and scope. roads.
227.3 Application. (b) This part does not apply to—
227.5 Definitions.
(1) A railroad that operates only on
227.9 Penalties. track inside an installation that is not
227.11 Responsibility for compliance. part of the general railroad system of
227.13 Waivers. transportation;
227.15 Information collection. (2) A rapid transit operation in an
urban area that is not connected to the
Subpart B—Occupational Noise Exposure general railroad system of transpor-
for Railroad Operating Employees tation;
227.101 Scope and applicability. (3) A rapid transit operation in an
227.103 Noise monitoring program. urban area that is connected to the
227.105 Protection of employees. general system and operates under a
227.107 Hearing conservation program. shared use waiver;
227.109 Audiometric testing program. (4) A railroad that operates tourist,
227.111 Audiometric test requirements. scenic, historic, or excursion oper-
227.113 Noise operational controls.
227.115 Hearing protectors.
ations, whether on or off the general
227.117 Hearing protector attenuation. railroad system of transportation; or
227.119 Training program. (5) Foreign railroad operations that
227.121 Recordkeeping. meet the following conditions: Employ-
APPENDIX A TO PART 227—NOISE EXPOSURE ees of the foreign railroad have a pri-
COMPUTATION mary reporting point outside of the
APPENDIX B TO PART 227—METHODS FOR ESTI- U.S. but are operating trains or con-
MATING THE ADEQUACY OF HEARING PRO- ducting switching operations in the
TECTOR ATTENUATION U.S.; and the government of that for-
APPENDIX C TO PART 227—AUDIOMETRIC BASE-
eign railroad has implemented require-
LINE REVISION
APPENDIX D TO PART 227—AUDIOMETRIC TEST ments for hearing conservation for
ROOMS railroad employees; the foreign rail-
APPENDIX E TO PART 227—USE OF INSERT road undertakes to comply with those
requirements while operating within
EARPHONES FOR AUDIOMETRIC TESTING
385
§ 227.5 49 CFR Ch. II (10–1–07 Edition)
the U.S.; and FRA’s Associate Admin- Baseline audiogram means an audio-
istrator for Safety determines that the gram, recorded in accordance with
foreign requirements are consistent § 227.109, against which subsequent
with the purpose and scope of this part. audiograms are compared to determine
A ‘‘foreign railroad’’ refers to a rail- the extent of change of hearing level.
road that is incorporated in a place Class I, Class II, and Class III railroads
outside the U.S. and is operated out of have the meaning assigned by the regu-
a foreign country but operates for some lations of the Surface Transportation
distance in the U.S. Board (49 CFR part 120; General In-
structions 1–1).
§ 227.5 Definitions. Continuous noise means variations in
As used in this part— sound level that involve maxima at in-
Action level means an eight-hour tervals of 1 second or less.
time-weighted-average sound level Decibel (dB) means a unit of measure-
(TWA) of 85 dB(A), or, equivalently, a ment of sound pressure levels.
dose of 50 percent, integrating all dB(A) means the sound pressure level
sound levels from 80 dB(A) to 140 dB(A). in decibels measured on the A-weighted
Administrator means the Adminis- scale.
trator of the Federal Railroad Admin- Employee means any individual who
istration or the Administrator’s dele- is engaged or compensated by a rail-
gate. road or by a contractor to a railroad to
Artifact means any signal received or perform any of the duties defined in
recorded by a noise measuring instru- this part.
ment that is not related to occupa- Exchange rate means the change in
tional noise exposure and may ad- sound level, in decibels, which would
versely impact the accuracy of the oc- require halving or doubling of the al-
cupational noise measurement. lowable exposure time to maintain the
Audiogram means a record of same noise dose. For purposes of this
audiometric testing, showing the part, the exchange rate is 5 decibels.
thresholds of hearing sensitivity meas-
FRA means the Federal Railroad Ad-
ured at discrete frequencies, as well as
ministration.
other recordkeeping information.
Audiologist means a professional, who Hearing protector means any device or
provides comprehensive diagnostic and material, which is capable of being
treatment/rehabilitative services for worn on the head, covering the ear
auditory, vestibular, and related im- canal or inserted in the ear canal; is
pairments and who designed wholly or in part to reduce
(1) Has a Master’s degree or doctoral the level of sound entering the ear; and
degree in audiology and has a scientifically accepted indicator
(2) Is licensed as an audiologist by a of its noise reduction value.
State; or in the case of an individual Hertz (Hz) means a unit of measure-
who furnishes services in a State which ment of frequency numerically equal
does not license audiologists, has suc- to cycles per second.
cessfully completed 350 clock hours of Medical pathology means a condition
supervised clinical practicum (or is in or disease affecting the ear which is
the process of accumulating such su- medically or surgically treatable.
pervised clinical experience), per- Noise operational controls means a
formed not less than 9 months of super- method used to reduce noise exposure,
vised full-time audiology services after other than hearing protectors or equip-
obtaining a master’s or doctoral degree ment modifications, by reducing the
in audiology or a related field, and suc- time a person is exposed to excessive
cessfully completed a national exam- noise.
ination in audiology approved by the Occasional service means service of
Secretary of the U.S. Department of not more than a total of 20 days in a
Health and Human Services. calendar year.
Audiometry means the act or process Otolaryngologist means a physician
of measuring hearing sensitivity at dis- specializing in diagnosis and treatment
crete frequencies. Audiometry can also of disorders of the ear, nose, and
be referred to as audiometric testing. throat.
386
Periodic audiogram is a record of fol- connected to the general railroad sys-

low-up audiometric testing conducted tem of transportation.
at regular intervals after the baseline Representative personal sampling
audiometric test. means measurement of an employee’s
Person means an entity of any type noise exposure that is representative of
covered under 1 U.S.C. 1, including but the exposures of other employees who
not limited to the following: a railroad; operate similar equipment under simi-
a manager, supervisor, official, or lar conditions.
other employee or agent of a railroad; Sound level or Sound pressure level
an owner, manufacturer, lessor, or les- means ten times the common loga-
see of railroad equipment, track, or fa- rithm of the ratio of the square of the
cilities; an independent contractor pro- measured A-weighted sound pressure to
viding goods or services to a railroad; the square of the standard reference
and any employee of such owner, man- pressure of twenty micropascals, meas-
ufacturer, lessor, lessee, or independent ured in decibels. For purposes of this
contractor. regulation, SLOW time response, in ac-
Professional Supervisor of the cordance with ANSI S1.43–1997 (Re-
Audiometric Monitoring Program in a affirmed 2002), ‘‘Specifications for Inte-
hearing conservation program means grating-Averaging Sound Level Me-
an audiologist, otolaryngologist, or a ters,’’ is required. The Director of the
physician with experience and exper- Federal Register approves this incorpo-
tise in hearing and hearing loss. ration by reference of this standard in
this section in accordance with 5 U.S.C.
Qualified Technician is a person who
552(a) and 1 CFR part 51. You may ob-
is certified by the Council for Accredi-
tain a copy of the incorporated stand-
tation in Occupational Hearing Con-
ard from the American National Stand-
servation or equivalent organization;
ards Institute at 1819 L Street, NW.,
or who has satisfactorily demonstrated
Washington, DC 20036 or http://
competence in administering
www.ansi.org. You may inspect a copy
audiometric examinations, obtaining
of the incorporated standard at the
valid audiograms, and properly using, Federal Railroad Administration,
maintaining, and checking calibration Docket Room, 1120 Vermont Ave., NW.,
and proper functioning of the audiom- Suite 700, Washington, DC 20005, or at
eters used; and is responsible to the the National Archives and Records Ad-
Professional Supervisor of the ministration (NARA). For information
Audiometric Testing Program. on the availability of this material at
Railroad means any form of non-high- NARA, call 202–741–6030, or go to http://
way ground transportation that runs www.archives.gov/federallregister/
on rails or electromagnetic guide-ways codeloflfederallregulations/
and any entity providing such trans- ibrllocations.html.
portation, including: Standard threshold shift (STS) means a
(1) Commuter or other short-haul change in hearing sensitivity for the
railroad passenger service in a metro- worse, relative to the baseline audio-
politan or suburban area and com- gram, or relative to the most recent re-
muter railroad service that was oper- vised baseline (where one has been es-
ated by the Consolidated Rail Corpora- tablished), of an average of 10 dB or
tion on January 1, 1979; and more at 2000, 3000, and 4000 Hz in either
(2) High speed ground transportation ear.
systems that connect metropolitan Time-weighted-average eight-hour (or 8-
areas, without regard to whether those hour TWA) means the sound level,
systems use new technologies not asso- which, if constant over 8 hours, would
ciated with traditional railroads. The result in the same noise dose as is
term ‘‘railroad’’ is also intended to measured. For purposes of this part,
mean a person that provides transpor- the exchange rate is 5 decibels.
tation by railroad, whether directly or Tourist, scenic, historic, or excursion
by contracting out operation of the operations means railroad operations
railroad to another person. The term that carry passengers, often using anti-
does not include rapid transit oper- quated equipment, with the convey-
ations in an urban area that are not ance of the passengers to a particular
387
§ 227.7 49 CFR Ch. II (10–1–07 Edition)
destination not being the principal pur- requirement while the petition is being
pose. considered.
(b) Each petition for waiver under
§ 227.7 Preemptive effect. this section must be filed in the man-
Under 49 U.S.C. 20106, issuance of ner and contain the information re-
these regulations preempts any State quired by part 211 of this chapter.
law, regulation, or order covering the (c) If the Administrator finds that a
same subject matter, except an addi- waiver of compliance is in the public
tional or more stringent law, regula- interest and is consistent with railroad
tion, or order that is necessary to safety, the Administrator may grant
eliminate or reduce an essentially local the waiver subject to any conditions
safety hazard; is not incompatible with the Administrator deems necessary.
a law, regulation, or order of the
United States Government; and does § 227.15 Information collection.
not impose an unreasonable burden on (a) The information collection re-
interstate commerce. quirements of this part were reviewed
by the Office of Management and Budg-
§ 227.9 Penalties. et pursuant to the Paperwork Reduc-
(a) Any person who violates any re- tion Act of 1980 (44 U.S.C. 3501 et seq.)
quirement of this part or causes the and are assigned OMB control number
violation of any such requirement is 2130–NEW.
subject to a civil penalty of at least (b) The information collection re-
$550 and not more than $11,000 per vio- quirements are found in the following
lation, except that: penalties may be sections: §§ 227.13, 227.103, 227.107,
assessed against individuals only for 227.109, 227.111, 227.117, 227.119, and
willful violations, and, where a grossly 227.121.
negligent violation or a pattern of re-
peated violations has created an immi- Subpart B—Occupational Noise
nent hazard of death or injury to per- Exposure for Railroad Oper-
sons, or has caused death or injury, a ating Employees.
tion may be assessed. Each day a viola- § 227.101 Scope and applicability.
tion continues shall constitute a sepa- (a) This subpart shall apply to the
rate offense. See appendix H to this noise-related working conditions of—
part for a statement of agency civil (1) Any person who regularly per-
penalty policy. forms service subject to the provisions
(b) Any person who knowingly and of the hours of service laws governing
willfully falsifies a record or report re- ‘‘train employees’’ (see 49 U.S.C.
quired by this part may be subject to 21101(5) and 21103), but, subject to a
criminal penalties under 49 U.S.C. railroad’s election in paragraph (a)(3)
21311. of this section, does not apply to:
§ 227.11 Responsibility for compliance. (i) Employees who move locomotives
only within the confines of locomotive
Although the duties imposed by this repair or servicing areas, as provided in
part are generally stated in terms of §§ 218.5 and 218.29(a) of this chapter, or
the duty of a railroad, any person, in- (ii) Employees who move a loco-
cluding a contractor for a railroad, who motive or group of locomotives for dis-
performs any function covered by this tances of less than 100 feet and this in-
part must perform that function in ac- cidental movement of a locomotive or
cordance with this part. locomotives is for inspection or main-
tenance purposes, or
§ 227.13 Waivers. (iii) Contractors who operate historic
(a) A person subject to a requirement equipment in occasional service, pro-
of this part may petition the Adminis- vided that the contractors have been
trator for a waiver of compliance with provided with hearing protectors and,
such requirement. The filing of such a where necessary, are required to use
petition does not affect that person’s the hearing protectors while operating
responsibility for compliance with that the historic equipment;
388
(2) Any direct supervisor of the per- area sampling produces equivalent re-
sons described in paragraph (a)(1) of sults.
this section whose duties require fre- (c) Noise measurements.
quent work in the locomotive cab; and (1) All continuous, intermittent, and
(3) At the election of the railroad, impulse sound levels from 80 decibels
any other person (including a person to 140 decibels shall be integrated into
excluded by paragraph (a)(1) of this the noise measurements.
section) whose duties require frequent (2) Noise measurements shall be
work in the locomotive cab and whose made under typical operating condi-
primary noise exposure is reasonably tions using:
expected to be experienced in the cab, (i) A sound level meter conforming,
if the position occupied by such person at a minimum, to the requirements of
is designated in writing by the rail- ANSI S1.4–1983 (Reaffirmed 2001) (incor-
road, as required by § 227.121(d). porated by reference, see § 227.103(h)),
(b) Occupational noise exposure and Type 2, and set to an A-weighted SLOW
hearing conservation for employees not response;
covered by this subpart is governed by (ii) An integrated sound level meter
the appropriate occupational noise ex- conforming, at a minimum, to the re-
posure regulation of the U.S. Depart- quirements of ANSI S1.43–1997 (Re-
ment of Labor, Occupational Safety affirmed 2002) (incorporated by ref-
and Health Administration located at erence, see § 227.103(h)), Type 2, and set
29 CFR 1910.95. to an A-weighted slow response ; or
(iii) A noise dosimeter conforming, at
§ 227.103 Noise monitoring program. a minimum, to the requirements of
ANSI S1.25–1991 (Reaffirmed 2002) (in-
(a) Schedule. A railroad shall develop
corporated by reference, see § 227.103(h))
and implement a noise monitoring pro-
and set to an A-weighted SLOW re-
gram to determine whether any em-
sponse.
ployee covered by the scope of this sub-
(3) All instruments used to measure
part may be exposed to noise that may
employee noise exposure shall be cali-
equal or exceed an 8-hour TWA of 85
brated to ensure accurate measure-
dB(A), in accordance with the following
ments.
schedule:
(d) The railroad shall repeat noise
(1) Class 1, passenger, and commuter
monitoring, consistent with the re-
railroads no later than February 26,
quirements of this section, whenever a
2008.
change in operations, process, equip-
(2) Railroads with 400,000 or more an- ment, or controls increases noise expo-
nual employee hours that are not Class sures to the extent that:
1, passenger, or commuter railroads no (1) Additional employees may be ex-
later than August 26, 2008. posed at or above the action level; or
(3) Railroads with fewer than 400,000 (2) The attenuation provided by hear-
annual employee hours no later than ing protectors being used by employees
August 26, 2009. may be inadequate to meet the require-
(b) Sampling strategy. ments of § 227.103.
(1) In its monitoring program, the (e) In administering the monitoring
railroad shall use a sampling strategy program, the railroad shall take into
that is designed to identify employees consideration the identification of
for inclusion in the hearing conserva- work environments where the use of
tion program and to enable the proper hearing protectors may be omitted.
selection of hearing protection. (f) Observation of monitoring. The rail-
(2) Where circumstances such as high road shall provide affected employees
worker mobility, significant variations or their representatives with an oppor-
in sound level, or a significant compo- tunity to observe any noise dose meas-
nent of impulse noise make area moni- urements conducted pursuant to this
toring generally inappropriate, the section.
railroad shall use representative per- (g) Reporting of monitoring results.
sonal sampling to comply with the (1) The railroad shall notify each
monitoring requirements of this sec- monitored employee of the results of
tion, unless the railroad can show that the monitoring.
389
§ 227.105 49 CFR Ch. II (10–1–07 Edition)
(2) The railroad shall post the moni- (c) Except as set forth in paragraph
toring results at the appropriate crew (d) of this section, exposure to contin-
origination point for a minimum of 30 uous noise shall not exceed 115dB(A).
days. The posting should include suffi- (d) Exposures to continuous noise
cient information to permit other greater than 115 dB(A) and equal to or
crews to understand the meaning of the less than 120 dB(A) are permissible,
results in the context of the operations provided that the total daily duration
monitored. does not exceed 5 seconds.
(h) Incorporation by reference. The ma-
terials listed in this section are incor- § 227.107 Hearing conservation pro-
porated by reference in the cor- gram.
responding sections noted. These (a) Consistent with the requirements
incorporations by reference were ap- of the noise monitoring program re-
proved by the Director of the Federal quired by § 227.103, the railroad shall
Register in accordance with 5 U.S.C. administer a continuing, effective
552(a) and 1 CFR part 51. You may ob- hearing conservation program, as set
tain a copy of the incorporated mate- forth in §§ 227.109 through 227.121, for all
rials from the American National employees exposed to noise at or above
Standards Institute at 1819 L Street, the action level.
NW., Washington, DC 20036 or http:// (b) For purposes of the hearing con-
www.ansi.org. You may inspect a copy servation program, employee noise ex-
of the incorporated standards at the posure shall be computed in accordance
Federal Railroad Administration, with the tables in appendix A of this
Docket Room, 1120 Vermont Ave., NW., part, and without regard to any attenu-
Suite 700, Washington, DC 20005, or at ation provided by the use of hearing
the National Archives and Records Ad- protectors.
ministration (NARA). For information
on the availability of this material at § 227.109 Audiometric testing program.
NARA, call 202–741–6030, or go to http:// (a) Each railroad shall establish and
www.archives.gov/federallregister/ maintain an audiometric testing pro-
codeloflfederallregulations/ gram as set forth in this section and
ibrllocations.html. include employees who are required to
(1) ANSI S1.4–1983 (Reaffirmed 2001), be included in a hearing conservation
Specification for Sound Level Meters, program pursuant to § 227.107.
incorporation by reference (IBR) ap- (b) Cost. The audiometric tests shall
proved for § 227.103(c)(2)(i). be provided at no cost to employees.
(2) ANSI S1.43–1997 (Reaffirmed 2002), (c) Tests. Audiometric tests shall be
Specifications for Integrating-Aver- performed by:
aging Sound Level Meters, IBR ap- (1) An audiologist, otolaryngologist,
proved for § 227.103(c)(2)(ii). or other physician who has experience
(3) ANSI S1.25–1991 (Reaffirmed 2002), and expertise in hearing and hearing
Specification for Personal Noise loss; or
Dosimeters, IBR approved for (2) A qualified technician.
§ 227.103(c)(2)(iii). (d) [Reserved]
(e) Baseline audiogram. This para-
§ 227.105 Protection of employees. graph (e) applies to employees who are
(a) A railroad shall provide appro- required by § 227.107 to be included in a
priate protection for its employees who hearing conservation program.
are exposed to noise, as measured ac- (1) New employees.
cording to § 227.103, that exceeds the (i) Except as provided in paragraph
limits specified in appendix A of this (e)(1)(ii), for employees hired after Feb-
part. ruary 26, 2007, the railroad shall estab-
(b) In assessing whether exposures lish a valid baseline audiogram within
exceed 115 dB(A), as set forth in para- 6 months of the new employee’s first
graph (a) of this section and appendix tour of duty.
A to this part, the apparent source of (ii) Where mobile test vans are used
the noise exposures shall be observed to meet the requirement in paragraph
and documented and measurement ar- (e)(1)(i), the railroad shall establish a
tifacts may be removed. valid baseline audiogram within one
390
year of the new employee’s first tour of (2) The railroad shall require each
duty. employee included in the hearing con-
(2) Existing employees. servation program to take an
(i) For all employees without a base- audiometric test at least once every
line audiogram as of February 26, 2007, 1095 days.
Class 1, passenger, and commuter rail- (g) Evaluation of audiogram.
roads, and railroads with 400,000 or (1) Each employee’s periodic audio-
more annual employee hours shall es- gram shall be compared to that em-
tablish a valid baseline audiogram by ployee’s baseline audiogram to deter-
February 26, 2009; and railroads with mine if the audiogram is valid and to
less than 400,000 annual employee hours determine if a standard threshold shift
shall establish a valid baseline audio- has occurred. This comparison may be
gram by February 26, 2010. done by a qualified technician.
(ii) If an employee has had a baseline (2) If the periodic audiogram dem-
audiogram as of February 26, 2007, and onstrates a standard threshold shift, a
it was obtained under conditions that railroad may obtain a retest within 90
satisfy the requirements found in 29 days. The railroad may consider the re-
CFR 1910.95(h), the railroad must use sults of the retest as the periodic
that baseline audiogram. audiogram.
(iii) If the employee has had a base- (3) The audiologist, otolaryngologist,
line audiogram as of February 26, 2007, or physician shall review problem
and it was obtained under conditions audiograms and shall determine wheth-
that satisfy the requirements in 29 er there is a need for further evalua-
CFR 1910.95(h)(1), but not the require- tion. A railroad shall provide all of the
ments found in 29 CFR 1910.95(h)(2) following information to the person
through (5), the railroad may elect to performing this review:
use that baseline audiogram provided (i) The baseline audiogram of the em-
that the Professional Supervisor of the ployee to be evaluated;
Audiometric Monitoring Program
(ii) The most recent audiogram of the
makes a reasonable determination that
employee to be evaluated;
the baseline audiogram is valid and is
(iii) Measurements of background
clinically consistent with other mate-
sound pressure levels in the
rials in the employee’s medical file.
audiometric test room as required in
(3) Testing to establish a baseline
appendix D of this part: Audiometric
audiogram shall be preceded by at least
Test Rooms; and
14 hours without exposure to occupa-
tional noise in excess of the action (iv) Records of audiometer calibra-
level. Hearing protectors may be used tions required by § 227.111.
as a substitute for the requirement (h) Follow-up procedures.
that baseline audiograms be preceded (1) If a comparison of the periodic
by 14 hours without exposure to occu- audiogram to the baseline audiogram
pational noise. indicates that a standard threshold
(4) The railroad shall notify its em- shift has occurred, the railroad shall
ployees of the need to avoid high levels inform the employee in writing within
of non-occupational noise exposure 30 days of the determination.
during the 14-hour period immediately (2) Unless a physician or audiologist
preceding the audiometric examina- determines that the standard threshold
tion. shift is not work-related or aggravated
(f) Periodic audiogram. by occupational noise exposure, the
(1) The railroad shall offer an railroad shall ensure that the following
audiometric test to each employee in- steps are taken:
cluded in the hearing conservation pro- (i) Employees not using hearing pro-
gram at least once each calendar year. tectors shall be fitted with hearing pro-
The interval between the date offered tectors, shall be trained in their use
to any employee for a test in a cal- and care, and shall be required to use
endar year and the date offered in the them.
subsequent calendar year shall be no (ii) Employees already provided with
more than 450 days and no less than 280 hearing protectors shall be refitted,
days. shall be retrained in the use of hearing
391
§ 227.111 49 CFR Ch. II (10–1–07 Edition)
protectors offering greater attenu- § 227.111 Audiometric test require-

ation, if necessary, and shall be re- ments.
quired to use them. (a) Audiometric tests shall be pure
(iii) If subsequent audiometric test- tone, air conduction, hearing threshold
ing is necessary or if the railroad sus-
examinations, with test frequencies in-
pects that a medical pathology of the
cluding 500, 1000, 2000, 3000, 4000, 6000,
ear is caused or aggravated by the
and 8000 Hz. Tests at each frequency
wearing of hearing protectors, the rail-
shall be taken separately for each ear.
road shall refer the employee for a
(b) Audiometric tests shall be con-
clinical audiological evaluation or an
ducted with audiometers (including
otological examination.
microprocessor audiometers) that meet
(iv) If the railroad suspects that a
the specifications of and are main-
medical pathology of the ear unrelated
tained and used in accordance with
to the use of hearing protectors is
ANSI S3.6–2004 ‘‘Specification for Audi-
present, the railroad shall inform the
ometers.’’ The Director of the Federal
employee of the need for an otological
Register approves the incorporation by
examination.
reference of this standard in accord-
(3) If subsequent audiometric testing
ance with 5 U.S.C. 552(a) and 1 CFR
of an employee, whose exposure to
part 51. You may obtain a copy of the
noise is less than an 8-hour TWA of 90
incorporated standard from the Amer-
dB, indicates that a standard threshold
ican National Standards Institute at
shift is not persistent, the railroad
1819 L Street, NW., Washington, DC
shall inform the employee of the new
20036 or http://www.ansi.org. You may
audiometric interpretation and may
inspect a copy of the incorporated
discontinue the required use of hearing
standard at the Federal Railroad Ad-
protectors for that employee.
ministration, Docket Room, 1120
(i) Revised baseline. A railroad shall
Vermont Ave., NW., Suite 700, Wash-
use the following methods for revising
ington, DC 20005, or at the National Ar-
baseline audiograms:
chives and Records Administration
(1) Periodic audiograms from
(NARA). For more information on the
audiometric tests conducted through
availability of this material at NARA,
February 26, 2009, may be substituted
call 202–741–6030, or go to http://
for the baseline measurement by the
www.archives.gov/federallregister/
Professional Supervisor of the
codeloflfederallregulations/
Audiometric Monitoring Program who
ibrllocations.html.
is evaluating the audiogram if:
(i) The standard threshold shift re- (1) Pulsed-tone audiometers should
vealed by the audiogram is persistent; be used with the following on and off
or times: F–J and J–K shall each have val-
(ii) The hearing threshold shown in ues of 225 ± 35 milliseconds (ms).
the periodic audiogram indicates sig- (2) Use of insert earphones shall be
nificant improvement over the baseline consistent with the requirements listed
audiogram. in appendix E of this part: Use of Insert
(2) Baseline audiograms from Earphones for Audiometric Testing.
audiometric tests conducted after Feb- (c) Audiometric examinations shall
ruary 26, 2009, shall be revised in ac- be administered in a room meeting the
cordance with the method specified in requirements listed in appendix D of
appendix C of this part: Audiometric this part: Audiometric Test Rooms.
Baseline Revision. (d) Audiometer calibration.
(j) Standard threshold shift. In deter- (1) The functional operation of the
mining whether a standard threshold audiometer shall be checked before
shift has occurred, allowance may be each day’s use by testing a person with
made for the contribution of aging known, stable hearing thresholds or by
(presbycusis) to the change in hearing appropriate calibration device, and by
level by correcting the annual audio- listening to the audiometer’s output to
gram according to the procedure de- make sure that the output is free from
scribed in appendix F of this part: Cal- distorted or unwanted sounds. Devi-
culation and Application of Age Cor- ations of 10 decibels or greater require
rection to Audiograms. an acoustic calibration.
392
(2) Audiometer calibration shall be hearing protectors. The selection shall

checked acoustically at least annually include devices with a range of attenu-
according to the procedures described ation levels.
in ANSI S3.6–2004. Frequencies below (5) The railroad shall provide train-
500 Hz and above 8000 Hz may be omit- ing in the use and care of all hearing
ted from this check. The audiometer protectors provided to employees.
must meet the sound pressure accuracy (6) The railroad shall ensure proper
requirements of section 7.2 of ANSI initial fitting and supervise the correct
S3.6–2004 of 3 dB at any test frequency use of all hearing protectors.
between 500 and 5000 Hz and 5 dB at any (b) Availability of hearing protectors. A
test frequency 6000 Hz and higher for railroad shall make hearing protectors
the specific type of transducer used. available to all employees exposed to
For air-conduction supra-aural ear- sound levels that meet or exceed the
phones, the specifications in Table 6 of action level.
ANSI S3.6–2004 shall apply. For air-con- (c) Required use at action level. A rail-
duction insert earphones, the specifica- road shall require the use of hearing
tions in Table 7 of ANSI S3.6–2004 shall protectors when an employee is ex-
apply. Audiometers that do not meet posed to sound levels that meet or ex-
these requirements must undergo an ceed the action level, and the employee
exhaustive calibration. has:
(3) Exhaustive Calibration. An ex- (1) Not yet had a baseline audiogram
haustive calibration shall be performed established pursuant to § 227.109; or
in accordance with ANSI S3.6–2004, ac- (2) Experienced a standard threshold
cording to the following schedule: shift and is required to use hearing pro-
(i) At least once every two years on tectors under § 227.109(h).
audiometers not used in mobile test (d) Required use for TWA of 90 dB(A).
vans. Test frequencies below 500 Hz and The railroad shall require the use of
above 6000 Hz may be omitted from this hearing protectors when an employee
calibration. is exposed to sound levels equivalent to
(ii) At least annually on audiometers an 8-hour TWA of 90 dB(A) or greater.
used in mobile test vans. The hearing protectors should be used
to reduce sound levels to within those
§ 227.113 Noise operational controls. levels required by appendix A of this
(a) Railroads may use noise oper- part.
ational controls at any sound level to
reduce exposures to levels below those § 227.117 Hearing protector attenu-
required by Table A–1 of appendix A of ation.
this part. (a) A railroad shall evaluate hearing
(b) Railroads are encouraged to use protector attenuation for the specific
noise operational controls when em- noise environments in which the pro-
ployees are exposed to sound exceeding tector will be used. The railroad shall
an 8-hour TWA of 90 dB(A). use one of the evaluation methods de-
scribed in appendix B of this part;
§ 227.115 Hearing protectors. ‘‘Methods for Estimating the Adequacy
(a) General requirements for hearing of Hearing Protector Attenuation.’’
protectors. (b) Hearing protectors shall attenu-
(1) The railroad shall provide hearing ate employee exposure to an 8-hour
protectors to employees at no cost to TWA of 90 decibels or lower, as re-
the employee. quired by § 227.115.
(2) The railroad shall replace hearing (c) For employees who have experi-
protectors as necessary. enced a standard threshold shift, hear-
(3) When offering hearing protectors, ing protectors must attenuate em-
a railroad shall consider an employee’s ployee exposure to an 8-hour time-
ability to understand and respond to weighted average of 85 decibels or
voice radio communications and audi- lower.
ble warnings. (d) The adequacy of hearing protector
(4) The railroad shall give employees attenuation shall be re-evaluated
the opportunity to select their hearing whenever employee noise exposures in-
protectors from a variety of suitable crease to the extent that the hearing
393
§ 227.119 49 CFR Ch. II (10–1–07 Edition)
protectors provided may no longer pro- (6) An explanation of noise oper-

vide adequate attenuation. A railroad ational controls, where used;
shall provide more effective hearing (7) General information concerning
protectors where necessary. the expected range of workplace noise
exposure levels associated with major
§ 227.119 Training program. categories of railroad equipment and
(a) The railroad shall institute an oc- operations (e.g., switching and road as-
cupational noise and hearing conserva- signments, hump yards near retarders,
tion training program for all employ- etc.) and appropriate reference to re-
ees included in the hearing conserva- quirements of the railroad concerning
tion program. use of hearing protectors;
(1) The railroad shall offer the train- (8) The purpose of noise monitoring
ing program to each employee included and a general description of monitoring
in the hearing conservation program at procedures;
least once each calendar year. The in- (9) The availability of a copy of this
terval between the date offered to any part, an explanation of the require-
employee for the training in a calendar ments of this part as they affect the re-
year and the date offered in the subse- sponsibilities of employees, and em-
quent calendar year shall be no more ployees’ rights to access records under
than 450 days and no less than 280 days. this part;
(2) The railroad shall require each (10) How to determine what can trig-
employee included in the hearing con- ger an excessive noise report, pursuant
servation program to complete the to § 229.121(b); and
training at least once every 1095 days. (11) How to file an excessive noise re-
port, pursuant to § 229.121(b).
(b) The railroad shall provide the
training required by paragraph (a) of § 227.121 Recordkeeping.
this section in accordance with the fol-
lowing: (a) General requirements.
(1) Availability of records. Each rail-
(1) For employees hired after Feb-
road required to maintain and retain
ruary 26, 2007, within six months of the
records under this part shall:
employee’s first tour of duty in a posi-
(i) Make all records available for in-
tion identified within the scope of this
spection and copying/photocopying to
part.
representatives of the FRA, upon re-
(2) For employees hired on or before quest;
February 26, 2007, by Class 1, passenger, (ii) Make an employee’s records
and commuter railroads, and railroads available for inspection and copying/
with 400,000 or more annual employee photocopying to that employee, former
hours, by no later than February 26, employee, or such person’s representa-
2009; tive upon written authorization by
(3) For employees hired on or before such employee;
February 26, 2007, by railroads with (iii) Make exposure measurement
fewer than 400,000 annual employee records for a given run or yard avail-
hours, by no later than February 26, able for inspection and copying/
2010. photocopying to all employees who
(c) The training program shall in- were present in the locomotive cab dur-
clude and the training materials shall ing the given run and/or who work in
reflect, at a minimum, information on the same yard; and
all of the following: (iv) Make exposure measurement
(1) The effects of noise on hearing; records for specific locations available
(2) The purpose of hearing protectors; to regional or national labor represent-
(3) The advantages, disadvantages, atives, upon request. These reports
and attenuation of various types of shall not contain identifying informa-
hearing protectors; tion of an employee unless an employee
(4) Instructions on selection, fitting, authorizes the release of such informa-
use, and care of hearing protectors; tion in writing.
(5) The purpose of audiometric test- (2) Electronic records. All records re-
ing, and an explanation of the test pro- quired by this part may be kept in elec-
cedures; tronic form by the railroad. A railroad
394
may maintain and transfer records (iv) The date of the last acoustic or
through electronic transmission, stor- exhaustive calibration of the audiom-
age, and retrieval provided that: eter;
(i) The electronic system be designed (v) Accurate records of the measure-
so that the integrity of each record is ments of the background sound pres-
maintained through appropriate levels sure levels in audiometric test rooms;
of security such as recognition of an (vi) The model and serial number of
electronic signature, or other means, the audiometer used for testing; and
which uniquely identify the initiating (2) Retain the records required by
person as the author of that record. No § 227.107 for the duration of the covered
two persons shall have the same elec- employee’s employment plus thirty
years.
tronic identity;
(d) Positions and persons designated
(ii) The electronic system shall en- records. The railroad shall:
sure that each record cannot be modi- (1) Maintain a record of all positions
fied in any way, or replaced, once the or persons or both designated by the
record is transmitted and stored; railroad to be placed in a Hearing Con-
(iii) Any amendment to a record shall servation Program pursuant to
be electronically stored apart from the § 227.107; and
record which it amends. Each amend- (2) Retain these records for the dura-
ment to a record shall be uniquely tion of the designation.
identified as to the person making the (e) Training program materials records.
amendment; The railroad shall:
(iv) The electronic system shall pro- (1) Maintain copies of all training
vide for the maintenance of records as program materials used to comply with
originally submitted without corrup- § 227.119(c) and a record of employees
tion or loss of data; and trained; and
(v) Paper copies of electronic records (2) Retain these copies and records
and amendments to those records, that for three years.
may be necessary to document compli- (f) Standard threshold shift records.
ance with this part shall be made avail- The railroad shall:
(1) Maintain a record of all employ-
able for inspection and copying/
ees who have been found to have expe-
photocopying by representatives of the
rienced a standard threshold shift
FRA.
within the prior calendar year and in-
(3) Transfer of records. If a railroad clude all of the following information
ceases to do business, it shall transfer for each employee on the record:
to the successor employer all records (i) Date of the employee’s baseline
required to be maintained under this audiogram;
subpart, and the successor employer (ii) Date of the employee’s most re-
shall retain them for the remainder of cent audiogram;
the period prescribed in this part. (iii) Date of the establishment of a
(b) Exposure measurements records. The standard threshold shift;
railroad shall: (iv) The employee’s job code; and
(1) Maintain an accurate record of all (v) An indication of how many stand-
employee exposure measurements re- ard threshold shifts the employee has
quired by § 227.103; and experienced in the past, if any; and
(2) Retain these records for the dura- (2) Retain these records for five
tion of the covered employee’s employ- years.
ment plus thirty years.
APPENDIX A TO PART 227—NOISE
(c) Audiometric test records. The rail-
EXPOSURE COMPUTATION
road shall:
(1) Maintain employee audiometric This appendix is mandatory.
test records required by § 227.109, in-
I. COMPUTATION OF EMPLOYEE NOISE
cluding: EXPOSURE
(i) The name and job classification of
A. Noise dose is computed using Table A–
the employee; 1 as follows:
(ii) The date of the audiogram; 1. When the sound level, L, is constant over
(iii) The examiner’s name;
the entire work day, the noise dose, D, in
395
percent, is given by: D = 100 C/T, where C is TABLE A–11—Continued
the total length of the work day, in hours,
and T is the duration permitted cor- Duration
responding to the measured sound level, L, A-weighted sound level, L permitted
(decibel) T
as given in Table A–1. (hour)
2. When the work day noise exposure is
composed of two or more periods of noise at 116 ................................................................... 0.22
different levels, the total noise dose over the 117 ................................................................... 0.19
work day is given by: 118 ................................................................... 0.16
119 ................................................................... 0.14
D = 100 (C1/T1 + C2/T2 + . . . + Cn/Tn), where
120 ................................................................... 0.125
Cn indicates the total time of exposure at a
121 ................................................................... 0.11
specific noise level, and Tn indicates the du-
122 ................................................................... 0.095
ration permitted for that level as given by
123 ................................................................... 0.082
Table A–1.
124 ................................................................... 0.072
B. The eight-hour TWA in dB may be com- 125 ................................................................... 0.063
puted from the dose, in percent, by means of 126 ................................................................... 0.054
the formula: TWA = 16.61 log10 (D/100) + 90. 127 ................................................................... 0.047
For an eight-hour work day with the noise 128 ................................................................... 0.041
level constant over the entire day, the TWA 129 ................................................................... 0.036
is equal to the measured sound level. 130 ................................................................... 0.031
C. Exposure to impulsive or impact noise 140 ................................................................... 0.078
should not exceed 140 dB peak sound pressure 1 Numbers above 115 dB(A) are italicized to indicate that
level. they are noise levels that are not permitted. The italicized
D. Any time that an employee spends numbers are included only because they are sometimes nec-
deadheading shall be included in the calcula- essary for the computation of noise dose.
tion of the noise dose. In the above table the duration permitted,
E. A table relating dose and TWA is given
T, is computed by
in Section II of this Appendix.
TABLE A–11 8
T= ( L − 90 )/5
Duration 2
A-weighted sound level, L permitted
(decibel) T where L is the measured A-weighted sound
(hour) level.
80 ..................................................................... 32 II. CONVERSION BETWEEN ‘‘DOSE’’ AND ‘‘8-
81 ..................................................................... 27.9
82 ..................................................................... 24.3 HOUR TIME-WEIGHTED AVERAGE’’ SOUND
83 ..................................................................... 21.1 LEVEL
84 ..................................................................... 18.4
85 ..................................................................... 16 A. Compliance with subpart B of part 227 is
86 ..................................................................... 13.9 determined by the amount of exposure to
87 ..................................................................... 12.1 noise in the workplace. The amount of such
88 ..................................................................... 10.6 exposure is usually measured with a dosim-
89 ..................................................................... 9.2
90 ..................................................................... 8 eter which gives a readout in terms of
91 ..................................................................... 7.0 ‘‘dose.’’ In order to better understand the re-
92 ..................................................................... 6.1 quirements of the regulation, dosimeter
93 ..................................................................... 5.3 readings can be converted to an ‘‘8-hour
94 ..................................................................... 4.6
TWA.’’
95 ..................................................................... 4
96 ..................................................................... 3.5 B. In order to convert the reading of a do-
97 ..................................................................... 3.0 simeter into TWA, see Table A–2, below. This
98 ..................................................................... 2.6 table applies to dosimeters that are set by
99 ..................................................................... 2.3 the manufacturer to calculate dose or per-
100 ................................................................... 2
101 ................................................................... 1.7 cent exposure according to the relationships
102 ................................................................... 1.5 in Table A–1. So, for example, a dose of 91
103 ................................................................... 1.3 percent over an eight-hour day results in a
104 ................................................................... 1.1 TWA of 89.3 dB, and a dose of 50 percent cor-
105 ................................................................... 1
responds to a TWA of 85 dB.
106 ................................................................... 0.87
107 ................................................................... 0.76 C. If the dose as read on the dosimeter is
108 ................................................................... 0.66 less than or greater than the values found in
109 ................................................................... 0.57 Table A–2, the TWA may be calculated by
110 ................................................................... 0.5 using the formula: TWA = 16.61 log10 (D/100)
111 ................................................................... 0.44
112 ................................................................... 0.38
+ 90 where TWA = 8-hour time-weighted av-
113 ................................................................... 0.33 erage sound level and D = accumulated dose
114 ................................................................... 0.29 in percent exposure.
115 ................................................................... 0.25
396
ER27OC06.004</MATH>
TABLE A–2—CONVERSION FROM ‘‘PERCENT TABLE A–2—CONVERSION FROM ‘‘PERCENT

NOISE EXPOSURE’’ OR ‘‘DOSE’’ TO ‘‘8-HOUR NOISE EXPOSURE’’ OR ‘‘DOSE’’ TO ‘‘8-HOUR
TIME-WEIGHTED AVERAGE SOUND LEVEL’’ TIME-WEIGHTED AVERAGE SOUND LEVEL’’
(TWA) (TWA)—Continued
Dose or percent noise Dose or percent noise
TWA TWA
exposure exposure
10 ............................................................................. 73.4 185 ........................................................................... 94.4

15 ............................................................................. 76.3 190 ........................................................................... 94.6
20 ............................................................................. 78.4 195 ........................................................................... 94.8
25 ............................................................................. 80.0 200 ........................................................................... 95.0
30 ............................................................................. 81.3 210 ........................................................................... 95.4
35 ............................................................................. 82.4 220 ........................................................................... 95.7
40 ............................................................................. 83.4 230 ........................................................................... 96.0
45 ............................................................................. 84.2 240 ........................................................................... 96.3
50 ............................................................................. 85.0 250 ........................................................................... 96.6
55 ............................................................................. 85.7 260 ........................................................................... 96.9
60 ............................................................................. 86.3 270 ........................................................................... 97.2
65 ............................................................................. 86.9 280 ........................................................................... 97.4
70 ............................................................................. 87.4 290 ........................................................................... 97.7
75 ............................................................................. 87.9 300 ........................................................................... 97.9
80 ............................................................................. 88.4 310 ........................................................................... 98.2
81 ............................................................................. 88.5 320 ........................................................................... 98.4
82 ............................................................................. 88.6 330 ........................................................................... 98.6
83 ............................................................................. 88.7 340 ........................................................................... 98.8
84 ............................................................................. 88.7 350 ........................................................................... 99.0
85 ............................................................................. 88.8 360 ........................................................................... 99.2
86 ............................................................................. 88.9 370 ........................................................................... 99.4
87 ............................................................................. 89.0 380 ........................................................................... 99.6
88 ............................................................................. 89.1 390 ........................................................................... 99.8
89 ............................................................................. 89.2 400 ........................................................................... 100.0
90 ............................................................................. 89.2 410 ........................................................................... 100.2
91 ............................................................................. 89.3 420 ........................................................................... 100.4
92 ............................................................................. 89.4 430 ........................................................................... 100.5
93 ............................................................................. 89.5 440 ........................................................................... 100.7
94 ............................................................................. 89.6 450 ........................................................................... 100.8
95 ............................................................................. 89.6 460 ........................................................................... 101.0
96 ............................................................................. 89.7 470 ........................................................................... 101.2
97 ............................................................................. 89.8 480 ........................................................................... 101.3
98 ............................................................................. 89.9 490 ........................................................................... 101.5
99 ............................................................................. 89.9 500 ........................................................................... 101.6
100 ........................................................................... 90.0 510 ........................................................................... 101.8
101 ........................................................................... 90.1 520 ........................................................................... 101.9
102 ........................................................................... 90.1 530 ........................................................................... 102.0
103 ........................................................................... 90.2 540 ........................................................................... 102.2
104 ........................................................................... 90.3 550 ........................................................................... 102.3
105 ........................................................................... 90.4 560 ........................................................................... 102.4
106 ........................................................................... 90.4 570 ........................................................................... 102.6
107 ........................................................................... 90.5 580 ........................................................................... 102.7
108 ........................................................................... 90.6 590 ........................................................................... 102.8
109 ........................................................................... 90.6 600 ........................................................................... 102.9
110 ........................................................................... 90.7 610 ........................................................................... 103.0
111 ........................................................................... 90.8 620 ........................................................................... 103.2
112 ........................................................................... 90.8 630 ........................................................................... 103.3
113 ........................................................................... 90.9 640 ........................................................................... 103.4
114 ........................................................................... 90.9 650 ........................................................................... 103.5
115 ........................................................................... 91.1 660 ........................................................................... 103.6
116 ........................................................................... 91.1 670 ........................................................................... 103.7
117 ........................................................................... 91.1 680 ........................................................................... 103.8
118 ........................................................................... 91.2 690 ........................................................................... 103.9
119 ........................................................................... 91.3 700 ........................................................................... 104.0
120 ........................................................................... 91.3 710 ........................................................................... 104.1
125 ........................................................................... 91.6 720 ........................................................................... 104.2
130 ........................................................................... 91.9 730 ........................................................................... 104.3
135 ........................................................................... 92.2 740 ........................................................................... 104.4
140 ........................................................................... 92.4 750 ........................................................................... 104.5
145 ........................................................................... 92.7 760 ........................................................................... 104.6
150 ........................................................................... 92.9 770 ........................................................................... 104.7
155 ........................................................................... 93.2 780 ........................................................................... 104.8
160 ........................................................................... 93.4 790 ........................................................................... 104.9
165 ........................................................................... 93.6 800 ........................................................................... 105.0
170 ........................................................................... 93.8 810 ........................................................................... 105.1
175 ........................................................................... 94.0 820 ........................................................................... 105.2
180 ........................................................................... 94.2 830 ........................................................................... 105.3
397
TABLE A–2—CONVERSION FROM ‘‘PERCENT rial at NARA, call 202–741–6030, or go to

NOISE EXPOSURE’’ OR ‘‘DOSE’’ TO ‘‘8-HOUR http://www.archives.gov/federallregister/
TIME-WEIGHTED AVERAGE SOUND LEVEL’’ codeloflfederallregulations/
ibrllocations.html.
(TWA)—Continued
III. OBJECTIVE MEASUREMENT
Dose or percent noise TWA
exposure Use actual measurements of the level of
noise exposure (as an A-weighted SLOW re-
840 ........................................................................... 105.4
850 ........................................................................... 105.4
sponse dose) inside the hearing protector
860 ........................................................................... 105.5 when the employee wears the hearing pro-
870 ........................................................................... 105.6 tector in the actual work environment.
880 ........................................................................... 105.7
890 ........................................................................... 105.8 APPENDIX C TO PART 227—AUDIOMETRIC
900 ........................................................................... 105.8 BASELINE REVISION
910 ........................................................................... 105.9
920 ........................................................................... 106.0 This appendix is mandatory beginning on
930 ........................................................................... 106.1
940 ........................................................................... 106.2 February 26, 2009.
950 ........................................................................... 106.2
960 ........................................................................... 106.3
I. GENERAL
970 ........................................................................... 106.4 A. A professional reviewer (audiologist,
980 ........................................................................... 106.5 otolaryngologist, or physician) shall use
990 ........................................................................... 106.5
999 ........................................................................... 106.6 these procedures when revising baseline
audiograms.
B. Although these procedures can be pro-
APPENDIX B TO PART 227—METHODS FOR grammed by a computer to identify records
ESTIMATING THE ADEQUACY OF for potential revision, the final decision for
HEARING PROTECTOR ATTENUATION revision rests with a human being. Because
the goal of the guidelines is to foster consist-
This appendix is mandatory. ency among different professional reviewers,
Employers must select one of the following human override of the guidelines must be
three methods by which to estimate the ade- justified by specific concrete reasons.
quacy of hearing protector attenuation. C. These procedures do not apply to: The
identification of standard threshold shifts
I. DERATE BY TYPE (STS) other than an FRA STS 1 or to the cal-
Derate the hearing protector attenuation culation of the 25-dB average shifts that are
by type using the following requirements: reportable on the Form FRA F 6180.55a.
A. Subtract 7 dB from the published Noise D. Initially, the baseline is the latest
Reduction Rating (NRR). audiogram obtained before entry into the
B. Reduce the resulting amount by: hearing conservation program. If no appro-
1. 20% for earmuffs, priate pre-entry audiogram exists, the base-
2. 40% for form-able earplugs, or line is the first audiogram obtained after
3. 60% for all other earplugs. entry into the hearing conservation pro-
C. Subtract the remaining amount from gram. Each subsequent audiogram is re-
the A-weighted TWA. You will have the esti- viewed to detect improvement in the average
mated A-weighted TWA for that hearing pro- (average of thresholds at 2, 3, and 4 kHz) and
tector. to detect an FRA STS. The two ears are ex-
amined separately and independently for im-
II. METHOD B FROM ANSI S12.6–1997 provement and for worsening. If one ear
(REAFFIRMED 2002) meets the criteria for revision of baseline,
Use Method B, which is found in ANSI then the baseline is revised for that ear only.
S12.6–1997 (Reaffirmed 2002) ‘‘Methods for Therefore, if the two ears show different
Measuring the Real-Ear Attenuation of hearing trends, the baseline for the left ear
Hearing Protectors.’’ The Director of the may be from one test date, while the base-
Federal Register approves the incorporation line for the right ear may be from a different
by reference of this standard in accordance test date.
with 5 U.S.C. 552(a) and 1 CFR part 51. You E. Age corrections do not apply in consid-
may obtain a copy of the incorporated stand- ering revisions for improvement (Rule 1).
ard from the American National Standards The FRA-allowed age corrections from ap-
Institute at 1819 L Street, NW., Washington, pendix F of Part 227 2 may be used, if desired,
DC 20036, or http://www.ansi.org. You may in-
spect a copy of the incorporated standard at 1 OSHA and FRA use the same definition
the Federal Railroad Administration, Dock- for Standard Threshold Shift (STS). FRA’s
et Room, 1120 Vermont Ave., Suite 700, Wash- definition is located in § 227.5. OSHA’s defini-
ington, DC 20005, or at the National Archives tion is located in 29 CFR 1910.95(g)(10)(i).
and Records Administration (NARA). For in- 2 FRA and OSHA use the same age-correc-
formation on the availability of this mate- tion provisions. FRA’s is found in appendix F
398
before considering revision for persistent C. If the retest is used in place of the peri-
STS. Rule 2 operates in the same way, odic test, then the periodic test is retained
whether age corrections are used or not. in the record, but it is marked in such a way
that it is no longer considered in baseline re-
II. RULE 1: REVISION FOR PERSISTENT vision evaluations. If a retest within 90 days
IMPROVEMENT of periodic test confirms an FRA STS shown
If the average of the thresholds for 2, 3, and on the periodic test, the baseline will not be
4 kHz for either ear shows an improvement revised at that point because the required
of 5 dB or more from the baseline value, and six-month interval between tests showing
the improvement is present on one test and STS persistence has not been met. The pur-
persistent on the next test, then the record pose of the six-month requirement is to pre-
should be identified for review by the audiol- vent premature baseline revision when STS
ogist, otolaryngologist, or physician for po- is the result of temporary medical conditions
tential revision of the baseline for persistent affecting hearing.
improvement. The baseline for that ear D. Although a special retest after six
should be revised to the test which shows the months could be given, if desired, to assess
lower (more sensitive) value for the average whether the STS is persistent, in most cases,
of thresholds at 2, 3, and 4 kHz unless the au- the next annual audiogram would be used to
diologist, otolaryngologist, or physician de- evaluate persistence of the STS.
termines and documents specific reasons for
not revising. If the values of the three-fre- APPENDIX D TO PART 227—AUDIOMETRIC
quency average are identical for the two
tests, then the earlier test becomes the re- TEST ROOMS
vised baseline.
This appendix is mandatory.
III. RULE 2: REVISION FOR PERSISTENT A. Rooms used for audiometric testing
STANDARD THRESHOLD SHIFT shall not have background sound pressure
levels exceeding those in Table D–1 when
A. If the average of thresholds for 2, 3, and measured by equipment conforming at least
4 kHz for either ear shows a worsening of 10 to the Type 2 requirements of ANSI S1.4–1983
dB or more from the baseline value, and the
(Reaffirmed 2001) and to the Class 2 require-
STS persists on the next periodic test (or the
ments of ANSI S1.11–2004, ‘‘Specification for
next test given at least 6 months later), then
Octave-Band and Fractional-Octave-Band
the record should be identified for review by
Analog and Digital Filters.’’
the audiologist, otolaryngologist, or physi-
cian for potential revision of the baseline for B. The Director of the Federal Register ap-
persistent worsening. Unless the audiologist, proves the incorporation by reference of
otolaryngologist, or physician determines ANSI S1.4–1983 (Reaffirmed 2001) and S.1.11–
and documents specific reasons for not revis- 2004 in this section in accordance with 5
ing, the baseline for that ear should be re- U.S.C. 552(a) and 1 CFR part 51. You may ob-
vised to the test which shows the lower tain a copy of the incorporated standard
(more sensitive) value for the average of from the American National Standards Insti-
thresholds at 2, 3, and 4 kHz. If both tests tute at 1819 L Street, NW., Washington, DC
show the same numerical value for the aver- 20036 or http://www.ansi.org. You may inspect
age of 2, 3, and 4 kHz, then the audiologist, a copy of the incorporated standard at the
otolaryngologist, or physician should revise Federal Railroad Administration, Docket
the baseline to the earlier of the two tests, Room, 1120 Vermont Ave., NW., Suite 700,
unless the later test shows better (more sen- Washington, DC 20005, or at the National Ar-
sitive) thresholds for other test frequencies. chives and Records Administration (NARA).
B. Following an STS, a retest within 90 For information on the availability of this
days of the periodic test may be substituted material at NARA, call 202–741–6030, or go to
for the periodic test if the retest shows bet- http://www.archives.gov/federallregister/
ter (more sensitive) results for the average codeloflfederallregulations/
threshold at 2, 3, and 4 kHz. ibrllocations.html.
TABLE D–1—MAXIMUM ALLOWABLE OCTAVE-BAND SOUND PRESSURE LEVELS FOR AUDIOMETRIC

TEST ROOMS
Octave-band center frequency (Hz) 500 1000 2000 4000 8000
Sound pressure levels—supra-aural earphones .................... 40 40 47 57 62

Sound pressure levels—insert earphones .............................. 50 47 49 50 56
of part 227 and OSHA’s in appendix F of 29

CFR 1910.95.
399
APPENDIX E TO PART 227—USE OF IN- D. The functional calibration must be con-

SERT EARPHONES FOR AUDIOMETRIC ducted before each day’s use of the audiom-
TESTING eter.
This appendix is mandatory. IV. BACKGROUND NOISE LEVELS

Section 227.111(d) allows railroads to use Testing shall be conducted in a room where
insert earphones for audiometric testing. the background ambient noise octave-band
Railroads are not required to use insert ear- sound pressures levels meet appendix D to
phones, however, where they elect to use in- this part.
sert earphones, they must comply with the
requirements of this appendix. V. CONVERSION FROM SUPRA AURAL
EARPHONES
I. ACCEPTABLE FIT
At the time of conversion from supra-aural
A. The audiologist, otolaryngologist, or to insert earphones, testing must be per-
other physician responsible for conducting formed with both types of earphones.
the audiometric testing, shall identify ear A. The test subject must have a quiet pe-
canals that prevent achievement of an ac- riod of at least 14 hours before testing. Hear-
ceptable fit with insert earphones, or shall ing protectors may be used as a substitute
assure that any technician under his/her au- for the quiet period.
thority who conducts audiometric testing B. The supra-aural earphone audiogram
with insert earphones has the ability to iden- shall be compared to the baseline audiogram,
tify such ear canals. or the revised baseline audiogram if appro-
B. Technicians who conduct audiometric priate, to check for a Standard Threshold
tests must be trained to insert the earphones Shift (STS). In accordance with § 227.109(f)(2),
correctly into the ear canals of test subjects if the audiogram shows an STS, retesting
and to recognize conditions where ear canal with supra-aural earphones must be per-
size prevents achievement of an acceptable formed within 90 days. If the resulting audio-
insertion depth (fit). gram confirms the STS, then it is adopted as
C. Insert earphones shall not be used for the current test instead of the prior one.
audiometric testing of employees with ear C. If retesting with supra-aural earphones
canal sizes that prevent achievement of an is performed, then retesting with insert ear-
acceptable insertion depth (fit). phones must be performed at that time to es-
tablish the baseline for future audiometric
II. PROPER USE tests using the insert earphones.
The manufacturer’s guidelines for proper VI. REVISED BASELINE AUDIOGRAMS

use of insert earphones must be followed.
A. If an STS is confirmed by the re-test
III. AUDIOMETER CALIBRATION with supra-aural earphones, the audiogram
may become the revised baseline audiogram
A. Audiometers used with insert earphones per the requirements of § 227.109(i) for all fu-
must be calibrated in accordance with ANSI ture hearing tests with supra-aural ear-
S3.6–2004, ‘‘Specification for Audiometers.’’ phones. The insert-earphone audiogram will
The Director of the Federal Register ap- become the new reference baseline audio-
proves the incorporation by reference of this gram for all future hearing tests performed
standard in this section in accordance with 5 with insert earphones.
U.S.C. 552(a) and 1 CFR part 51. You may ob- B. If an STS is not indicated by the test
tain a copy of the incorporated standard with supra-aural earphones, the baseline
from the American National Standards Insti- audiogram remains the reference baseline
tute at 1819 L Street, NW., Washington, DC audiogram for all future supra-aural ear-
20036 or http://www.ansi.org. You may inspect phone tests, until such time as an STS is ob-
a copy of the incorporated standard at the served. In this case, the insert-earphone
Federal Railroad Administration, Docket audiogram taken at the same time will be-
Room, 1120 Vermont Ave., NW., Suite 700, come the new reference baseline audiogram
Washington, DC 20005, or at the National Ar- for all future hearing tests performed with
chives and Records Administration (NARA). insert earphones.
For information on the availability of this C. Transitioning Employees with Partial
material at NARA, call 202–741–6030, or go to Shifts. Employers must account for the
http://www.archives.gov/federallregister/ workers who are in the process of developing
codeloflfederallregulations/ an STS (e.g., demonstrate a 7 dB average
ibrllocations.html. shift), but who at the time of the conversion
B. Audiometers used with insert earphones to insert earphones do not have a 10 dB aver-
must be calibrated using one of the couplers age shift. Employers who want to use insert
listed in Table 7 of ANSI S3.6–2004. earphones must enter the 7 dB shift informa-
C. The acoustical calibration shall be con- tion in the employee’s audiometric test
ducted annually. records although it is not an ‘‘STS’’. When
400
Federal Railroad Administration, DOT Pt. 227, App. F
the next annual audiogram using insert ear- ployer shall follow the procedure described
phones shows an average threshold shift at below. This procedure and the age correction
2000, 3000 and 4000 Hz of 3 dB, completing the tables were developed by the National Insti-
full shift (7 dB + 3 dB), employers must then tute for Occupational Safety and Health in a
label that average shift as an STS. This trig- criteria document. See ‘‘Criteria for a Rec-
gers the follow-up procedures at § 227.109(h). ommended Standard: Occupational Exposure
to Noise,’’ Department of Health and Human
VII. RECORDS
Services (NIOSH) Publication No. 98–126. For
All audiograms (including both those pro- each audiometric test frequency:
duced through the use of insert earphones I. Determine from Tables F–1 or F–2 the
and supra-aural headsets), calculations, age correction values for the employee by:
pure-tone individual and average threshold A. Finding the age at which the most re-
shifts, full STS migrations, and audiometric cent audiogram was taken and recording the
acoustical calibration records, are to be pre- corresponding values of age corrections at
served as records and maintained according 1000 Hz through 6000 Hz;
to § 227.121(c).
B. Finding the age at which the baseline
audiogram was taken and recording the cor-
APPENDIX F TO PART 227—CALCULA-
responding values of age corrections at 1000
TIONS AND APPLICATION OF AGE COR-
Hz through 6000 Hz.
RECTIONS TO AUDIOGRAMS
II. Subtract the values found in step (I)(B)
This appendix is non-mandatory. from the value found in step (I)(A).
In determining whether a standard thresh- III. The differences calculated in step (II)
old shift (STS) has occurred, allowance may represented that portion of the change in
be made for the contribution of aging to the hearing that may be due to aging.
change in hearing level by adjusting the Example: Employee is a 32-year-old male.
most recent audiogram. If the employer The audiometric history for his right ear is
chooses to adjust the audiogram, the em- shown in decibels below.
Audiometric test frequency

(Hz)
Employee’s age
1000 2000 3000 4000 6000
26 ............................................................................................ 10 5 5 10 5
27* ........................................................................................... 0 0 0 5 5
28 ............................................................................................ 0 0 0 10 5
29 ............................................................................................ 5 0 5 15 5
30 ............................................................................................ 0 5 10 20 10
31 ............................................................................................ 5 10 20 15 15
32* ........................................................................................... 5 10 10 25 20
a. The audiogram at age 27 is considered which was 5, from the hearing threshold at
the baseline since it shows the best hearing age 32, which is 25). A retest audiogram has
threshold levels. Asterisks have been used to confirmed this shift. The contribution of
identify the baseline and most recent audio- aging to this change in hearing may be esti-
gram. A threshold shift of 20 dB exists at 4000 mated in the following manner:
Hz between the audiograms taken at ages 27 c. Go to Table F–1 and find the age correc-
and 32. tion values (in dB) for 4000 Hz at age 27 and
b. (The threshold shift is computed by sub-
age 32.
tracting the hearing threshold at age 27,
Frequency
(Hz)
1000 2000 3000 4000 6000
Age 32 ..................................................................................... 6 5 7 10 14
Age 27 ..................................................................................... 5 4 6 7 11
Difference .................................................................. 1 1 1 3 3
d. The difference represents the amount of In this example, the difference at 4000 Hz is
hearing loss that may be attributed to aging 3 dB. This value is subtracted from the hear-
in the time period between the baseline ing level at 4000 Hz, which in the most recent
audiogram and the most recent audiogram.
401
Pt. 227, App. F 49 CFR Ch. II (10–1–07 Edition)
audiogram is 25, yielding 22 after adjust- hearing threshold at 4000 Hz (22). Thus the
ment. Then the hearing threshold in the age-corrected threshold shift would be 17 dB
baseline audiogram at 4000 Hz (5) is sub- (as opposed to a threshold shift of 20 dB
tracted from the adjusted annual audiogram without age correction).
TABLE F–1—AGE CORRECTION VALUES IN DECIBELS FOR MALES
Audiometric test frequencies
(Hz)
Years
1000 2000 3000 4000 6000
20 or younger .......................................................................... 5 3 4 5 8
21 ............................................................................................ 5 3 4 5 8
22 ............................................................................................ 5 3 4 5 8
23 ............................................................................................ 5 3 4 6 9
24 ............................................................................................ 5 3 5 6 9
25 ............................................................................................ 5 3 5 7 10
26 ............................................................................................ 5 4 5 7 10
27 ............................................................................................ 5 4 6 7 11
28 ............................................................................................ 6 4 6 8 11
29 ............................................................................................ 6 4 6 8 12
30 ............................................................................................ 6 4 6 9 12
31 ............................................................................................ 6 4 7 9 13
32 ............................................................................................ 6 5 7 10 14
33 ............................................................................................ 6 5 7 10 14
34 ............................................................................................ 6 5 8 11 15
35 ............................................................................................ 7 5 8 11 15
36 ............................................................................................ 7 5 9 12 16
37 ............................................................................................ 7 6 9 12 17
38 ............................................................................................ 7 6 9 13 17
39 ............................................................................................ 7 6 10 14 18
40 ............................................................................................ 7 6 10 14 19
41 ............................................................................................ 7 6 10 14 20
42 ............................................................................................ 8 7 11 16 20
43 ............................................................................................ 8 7 12 16 21
44 ............................................................................................ 8 7 12 17 22
45 ............................................................................................ 8 7 13 18 23
46 ............................................................................................ 8 8 13 19 24
47 ............................................................................................ 8 8 14 19 24
48 ............................................................................................ 9 8 14 20 25
49 ............................................................................................ 9 9 15 21 26
50 ............................................................................................ 9 9 16 22 27
51 ............................................................................................ 9 9 16 23 28
52 ............................................................................................ 9 10 17 24 29
53 ............................................................................................ 9 10 18 25 30
54 ............................................................................................ 10 10 18 26 31
55 ............................................................................................ 10 11 19 27 32
56 ............................................................................................ 10 11 20 28 34
57 ............................................................................................ 10 11 21 29 35
58 ............................................................................................ 10 12 22 31 36
59 ............................................................................................ 11 12 22 32 37
60 or older ............................................................................... 11 13 23 33 38
TABLE F–2—AGE CORRECTION VALUES IN DECIBELS FOR FEMALES

(Hz)
Years
1000 2000 3000 4000 6000
20 or younger .......................................................................... 7 4 3 3 6
21 ............................................................................................ 7 4 4 3 6
22 ............................................................................................ 7 4 4 4 6
23 ............................................................................................ 7 5 4 4 7
24 ............................................................................................ 7 5 4 4 7
25 ............................................................................................ 8 5 4 4 7
26 ............................................................................................ 8 5 5 4 8
27 ............................................................................................ 8 5 5 5 8
28 ............................................................................................ 8 5 5 5 8
29 ............................................................................................ 8 5 5 5 9
30 ............................................................................................ 8 6 5 5 9
31 ............................................................................................ 8 6 6 5 9
32 ............................................................................................ 9 6 6 6 10
33 ............................................................................................ 9 6 6 6 10
34 ............................................................................................ 9 6 6 6 10
402
Federal Railroad Administration, DOT Pt. 227, App. G
TABLE F–2—AGE CORRECTION VALUES IN DECIBELS FOR FEMALES—Continued

(Hz)
Years
1000 2000 3000 4000 6000
35 ............................................................................................ 9 6 7 7 11
36 ............................................................................................ 9 7 7 7 11
37 ............................................................................................ 9 7 7 7 12
38 ............................................................................................ 10 7 7 7 12
39 ............................................................................................ 10 7 8 8 12
40 ............................................................................................ 10 7 8 8 13
41 ............................................................................................ 10 8 8 8 13
42 ............................................................................................ 10 8 9 9 13
43 ............................................................................................ 11 8 9 9 14
44 ............................................................................................ 11 8 9 9 14
45 ............................................................................................ 11 8 10 10 15
46 ............................................................................................ 11 9 10 10 15
47 ............................................................................................ 11 9 10 11 16
48 ............................................................................................ 12 9 11 11 16
49 ............................................................................................ 12 9 11 11 16
50 ............................................................................................ 12 10 11 12 17
51 ............................................................................................ 12 10 12 12 17
52 ............................................................................................ 12 10 12 13 18
53 ............................................................................................ 13 10 13 13 18
54 ............................................................................................ 13 11 13 14 19
55 ............................................................................................ 13 11 14 14 19
56 ............................................................................................ 13 11 14 15 20
57 ............................................................................................ 13 11 15 15 20
58 ............................................................................................ 14 12 15 16 21
59 ............................................................................................ 14 12 16 16 21
60 or older ............................................................................... 14 12 16 17 22
APPENDIX G TO PART 227—SCHEDULE OF

CIVIL PENALTIES
Willful
Subpart A—General
227.3 Application:
(b)(4) Failure to meet the required conditions for foreign railroad operations ....................... $2,500 $5,000
Subpart B—General Requirements
227.103 Noise monitoring program:
(a) Failure to develop and/or implement a noise monitoring program ................................... 7,500 10,000
(b) Failure to use sampling as required ................................................................................. 2,500 5,000
(c) Failure to integrate sound levels and/or make noise measurements as required ........... 2,500 5,000
(d) Failure to repeat noise monitoring where required ........................................................... 2,500 5,000
(e) Failure to consider work environments where hearing protectors may be omitted ......... 2,500 5,000
(f) Failure to provide opportunity to observe monitoring ........................................................ 2,000 4,000
(g) Reporting of Monitoring Results:
(1) Failure to notify monitored employee ................................................................. 2,500 5,000
(2) Failure to post results as required ...................................................................... 2,500 5,000
227.105 Protection of employees:
(a) Failure to provide appropriate protection to exposed employee ...................................... 7,500 10,000
(b) Failure to observe and document source(s) of noise exposures ..................................... 2,500 5,000
(c)–(d) Failure to protect employee from impermissible continuous noise ............................ 5,000 7,500
227.107 Hearing conservation program:
(a) Failure to administer a HCP .............................................................................................. 7,500 10,000
(b) Failure to compute noise exposure as required ............................................................... 3,500 7,000
227.109 Audiometric testing program:
(a) Failure to establish and/or maintain an audiometric testing program .............................. 7,500 10,000
(b) Failure to provide audiometric test at no cost to employee ............................................. 2,500 5,000
(c) Failure to have qualified person perform audiometric test ............................................... 2,500 5,000
(d) [Reserved] ......................................................................................................................... .................... ....................
(e) Failure to establish baseline audiogram as required ........................................................ 3,500 7,000
(f) Failure to offer and/or require periodic audiograms as required ....................................... 2,500 5,000
(g) Failure to evaluate audiogram as required ....................................................................... 2,500 5,000
(h) Failure to comply with follow-up procedures as required ................................................. 2,500 5,000
(i) Failure to use required method for revising baseline audiograms .................................... 2,500 5,000
227.111 Audiometric test requirements:
(a) Failure to conduct test as required ................................................................................... 2,500 5,000
403
Willful
(b) Failure to use required equipment .................................................................................... 2,500 5,000

(c) Failure to administer test in room that meets requirements ............................................. 2,500 5,000
(d) Complete failure to calibrate ............................................................................................. 5,000 7,500
(1) Failure to perform daily calibration as required .................................................. 2,000 4,000
(2) Failure to perform annual calibration as required .............................................. 2,000 4,000
(3) Failure to perform exhaustive calibration as required ........................................ 2,000 4,000
227.115 Hearing protectors (HP):
(a) Failure to comply with general requirements .................................................................... 3,000 6,000
(b) Failure to make HP available as required ........................................................................ 2,500 5,000
(c) Failure to require use of HP at action level ...................................................................... 5,000 7,500
(d) Failure to require use of HP at TWA of 90 dB(A) ............................................................ 5,000 7,500
227.117 Hearing protector attenuation:
(a) Failure to evaluate attenuation as required ...................................................................... 2,500 5,000
(b)–(c) Failure to attenuate to required level .......................................................................... 2,500 5,000
(d) Failure to re-evaluate attenuation ..................................................................................... 2,500 5,000
227.119 Training program:
(a) Failure to institute a training program as required ............................................................ 5,000 7,500
(b) Failure to provide training within required time frame ...................................................... 2,500 5,000
(c) Failure of program and/or training materials to include required information ................... 2,500 5,000
227.121 Recordkeeping:
(a) General Requirements:
(1) Failure to make record available as required ..................................................... 2,500 5,000
(3) Failure to transfer or retain records as required ................................................ 2,000 4,000
(b)–(f) Records:
(1) Failure to maintain record or failure to maintain record with required informa-
tion ........................................................................................................................ 2,000 4,000
(2) Failure to retain records for required time period ............................................... 2,000 4,000
PART 228—HOURS OF SERVICE OF APPENDIX C TO PART 228—GUIDELINES FOR

CLEAN, SAFE, AND SANITARY RAILROAD
RAILROAD EMPLOYEES PROVIDED CAMP CARS
Subpart A—General AUTHORITY: 49 U.S.C. 20103, 20107, 21101–

21108; 28 U.S.C. 2461, note and 49 CFR 1.49.
Sec.
SOURCE: 37 FR 12234, June 21, 1972, unless
228.1 Scope.
otherwise noted.
228.3 Application.
228.5 Definitions.
Subpart A—General
Subpart B—Records and Reporting
§ 228.1 Scope.
228.7 Hours of duty.
228.9 Railroad records; general. This part—
228.11 Hours of duty records. (a) Prescribes reporting and record
228.17 Dispatcher’s record of train move- keeping requirements with respect to
ments. the hours of service of certain railroad
228.19 Monthly reports of excess service. employees; and
228.21 Civil penalty.
228.23 Criminal penalty.
(b) Establishes standards and proce-
dures concerning the construction or
Subpart C—Construction of Employee reconstruction of employee sleeping
Sleeping Quarters quarters.
228.101 Distance requirement; definitions. [43 FR 31012, July 19, 1978]
228.103 Approval procedure: construction
within one-half mile (2,640 feet) (804 me- § 228.3 Application.
ters). (a) Except as provided in paragraph
228.105 Additional requirements; construc- (b), this part applies to all railroads.
tion within one-third mile (1,760 feet) (536
(b) This part does not apply to:
meters) of certain switching.
228.107 Action on petition. (1) A railroad that operates only on
track inside an installation which is
APPENDIX A TO PART 228—REQUIREMENTS OF
THE HOURS OF SERVICE ACT: STATEMENT
not part of the general railroad system
OF AGENCY POLICY AND INTERPRETATION of transportation; or
APPENDIX B TO PART 228—SCHEDULE OF CIVIL (2) Rapid transit operations in an
urban area that are not connected with
PENALTIES
404
the general railroad system of trans- (2) Any interim period available for
portation. rest at a location that is not a des-
ignated terminal;
[54 FR 33229, Aug. 14, 1989]
(3) Any interim period of less than 4
§ 228.5 Definitions. hours available for rest at a designated
terminal;
As used in this part: (4) Time spent in deadhead transpor-
(a) Administrator means the Adminis- tation en route to a duty assignment;
trator of the Federal Railroad Admin- and
istrator or any person to whom he dele- (5) Time engaged in any other service
gated authority in the matter con- for the carrier.
cerned.
(b) Carrier, common carrier, and com- Time spent in deadhead transportation
mon carrier engaged in interstate or for- by an employee returning from duty to
his point of final release may not be
eign commerce by railroad mean railroad
counted in computing time off duty or
as that term is defined below.
time on duty.
(c) Employee means an individual em-
(b) For purposes of this part, time on
ployed by the common carrier who (1)
duty of an employee who dispatches,
is actually engaged in or connected
reports, transmits, receives, or delivers
with the movement of any train, in- orders pertaining to train movements
cluding a person who performs the du- by use of telegraph, telephone, radio,
ties of a hostler, (2) dispatches, reports, or any other electrical or mechanical
transmits, receives, or delivers orders device includes all time on duty in
pertaining to train movements by the other service performed for the com-
use of telegraph, telephone, radio, or mon carrier during the 24-hour period
any other electrical or mechanical de- involved.
vice, or (3) is engaged in installing, re- (c) For purposes of this part, time on
pairing or maintaining signal systems. duty of an employee who is engaged in
(d) Railroad means all forms of non- installing, repairing or maintaining
highway ground transportation that signal systems includes all time on
run on rails or electromagnetic guide- duty in other service performed for a
ways, including (1) commuter or other common carrier during the 24-hour pe-
short-haul rail passenger service in a riod involved.
metropolitan or suburban area, and (2)
high speed ground transportation sys- [37 FR 12234, June 21, 1972, as amended at 43
FR 3124, Jan. 23, 1978]
tems that connect metropolitan areas,
without regard to whether they use § 228.9 Railroad records; general.
new technologies not associated with
traditional railroads. Such term does (a) Records maintained under this
not include rapid transit operations part shall be—
within an urban area that are not con- (1) Signed by the employee whose
nected to the general railroad system time on duty is being recorded or, in
of transportation. the case of train and engine crews,
signed by the ranking crew member;
[54 FR 33229, Aug. 14, 1989] (2) Retained for 2 years; and
(3) Available for inspection and copy-
Subpart B—Records and Reporting ing by the Administrator during reg-
ular business hours.
§ 228.7 Hours of duty. (b) [Reserved]
(a) For purposes of this part, time on
duty of an employee actually engaged § 228.11 Hours of duty records.
in or connected with the movement of (a) Each carrier shall keep a record of
any train, including a hostler, begins the following information concerning
when he reports for duty and ends when the hours of duty of each employee:
he is finally released from duty, and in- (1) Identification of employee.
cludes— (2) Place, date, and beginning and
(1) Time engaged in or connected ending times for hours of duty in each
with the movement of any train; occupation.
405
§ 228.17 49 CFR Ch. II (10–1–07 Edition)
(3) Total time on duty in all occupa- (1) A member of a train or engine
tions. crew or other employee engaged in or
(4) Number of consecutive hours off connected with the movement of any
duty prior to going on duty. train, including a hostler, is on duty
(5) Beginning and ending times of pe- for more than 12 consecutive hours.
riods spent in transportation, other (2) A member of a train or engine
than personal commuting, to or from a crew or other employee engaged in or
duty assignment and mode of transpor- connected with the movement of any
tation (train, track car, carrier motor train, including a hostler, returns to
vehicle, personal automobile, etc.). duty after 12 hours of continuous serv-
(b) [Reserved] ice without at least 10 consecutive
[37 FR 12234, June 21, 1972, as amended at 43 hours off duty.
FR 3124, Jan. 23, 1978] (3) A member of a train or engine
crew or other employee engaged in or
§ 228.17 Dispatcher’s record of train connected with the movement of any
movements. train, including a hostler, continues on
(a) Each carrier shall keep, for each duty without at least 8 consecutive
dispatching district, a record of train hours off duty during the preceding 24
movements made under the direction hours. 1
and control of a dispatcher who uses (4) A member of a train or engine
telegraph, telephone, radio, or any crew or other employee engaged in or
other electrical or mechanical device connected with the movement of any
to dispatch, report, transmit, receive, train, including a hostler, returns to
or deliver orders pertaining to train duty without at least 8 consecutive
movements. The following information hours off duty during the preceding 24
shall be included in the record: hours. 1
(1) Identification of timetable in ef- (5) An employee who transmits, re-
fect. ceives, or delivers orders affecting
(2) Location and date.
train movements is on duty for more
(3) Identification of dispatchers and
than 9 hours in any 24-hour period at
their times on duty.
an office where two or more shifts are
(4) Weather conditions at 6-hour in-
employed.
tervals.
(5) Identification of enginemen and (6) An employee who transmits, re-
conductors and their times on duty. ceives, or delivers orders affecting
(6) Identification of trains and en- train movements is on duty for more
gines. than 12 hours in any 24-hour period at
(7) Station names and office designa- any office where one shift is employed.
tions. (7) An employee engaged in install-
(8) Distances between stations. ing, repairing or maintaining signal
(9) Direction of movement and the systems is on duty for more than 12
time each train passes all reporting hours in a twenty-four hour period.
stations. (8) An employee engaged in install-
(10) Arrival and departure times of ing, repairing or maintaining signal
trains at all reporting stations. systems returns to duty after 12 hours
(11) Unusual events affecting move- of continuous service without at least
ment of trains and identification of 10 consecutive hours off duty.
trains affected.
(b) [Reserved] 1 Instances involving tours of duty that are
broken by four or more consecutive hours off

§ 228.19 Monthly reports of excess duty time at a designated terminal which do
service. not constitute more than a total of 12 hours
(a) Each carrier shall report to the time on duty are not required to be reported,
Associate Administrator for Safety, provided such tours of duty are immediately
preceded by 8 or more consecutive hours off-
(RRS–1), Federal Railroad Administra- duty time. Instances involving tours of duty
tion, Washington, DC 20590, each of the that are broken by less than 8 consecutive
following instances within 30 days after hours off duty which constitute more than a
the calendar month in which the in- total of 12 hours time on duty must be re-
stance occurs:
ported.
406
(9) An employee engaged in install- part C of this part without prior ap-
ing, repairing or maintaining signal proval) are subject to penalty under
systems continues on duty without at that Act’s penalty provision, 45 U.S.C.
least 8 consecutive hours off duty dur- 64a.
ing the preceding 24 hours.
(10) An employee engaged in install- FR 11622, Mar. 10, 1998; 69 FR 30594, May 28,
ing, repairing or maintaining signal 2004]
systems returns to duty without at
least 8 consecutive hours off duty dur- EFFECTIVE DATE NOTE: At 72 FR 51197,
Sept. 6, 2007, § 228.21 was amended by remov-
ing the preceding 24 hours. ing the numerical amount ‘‘$11,000’’ and add-
(b) Reports required by paragraph (a) ing in its place the numerical amount
of this section shall be filed in writing ‘‘$16,000’’, effective October 9, 2007.
on FRA Form F–6180–3 2 with the Office
of Safety, Federal Railroad Adminis- § 228.23 Criminal penalty.
tration, Washington, DC 20590. A sepa- Any person who knowingly and will-
rate form shall be used for each in- fully falsifies a report or record re-
stance reported. quired to be kept under this part or
[37 FR 12234, June 21, 1972, as amended at 43 otherwise knowingly and willfully vio-
FR 3124, Jan. 23, 1978] lates any requirement of this part may
be liable for criminal penalties of a fine
§ 228.21 Civil penalty. up to $5,000, imprisonment for up to
Any person (an entity of any type two years, or both, in accordance with
covered under 1 U.S.C. 1, including but 45 U.S.C. 438(e).
not limited to the following: a railroad; [53 FR 52931, Dec. 29, 1988]
a manager, supervisor, official, or
other employee or agent of a railroad;
any owner, manufacturer, lessor, or Subpart C—Construction of
lessee of railroad equipment, track, or Employee Sleeping Quarters
facilities; any independent contractor
providing goods or services to a rail- SOURCE: 43 FR 31012, July 19, 1978, unless
road; and any employee of such owner, otherwise noted.
manufacturer, lessor, lessee, or inde-
pendent contractor) who violates any § 228.101 Distance requirement; defini-
tions.
requirement of this part or causes the
violation of any such requirement is (a) The Hours of Service Act, as
subject to a civil penalty of at least amended (45 U.S.C. 61–64b), makes it
$550 and not more than $11,000 per vio- unlawful for any common carrier en-
lation, except that: Penalties may be gaged in interstate or foreign com-
assessed against individuals only for merce by railroad to begin, on or after
willful violations, and, where a grossly July 8, 1976, the construction or recon-
negligent violation or a pattern of re- struction of sleeping quarters for em-
peated violations has created an immi- ployees who perform duties covered by
nent hazard of death or injury to per- the act ‘‘within or in the immediate vi-
sons, or has caused death or injury, a cinity (as determined in accordance
penalty not to exceed $27,000 per viola- with rules prescribed by the Secretary
tion may be assessed. Each day a viola- of Transportation) of any area where
tion continues shall constitute a sepa- railroad switching or humping oper-
rate offense. See appendix B to this ations are performed.’’ 45 U.S.C.
part for a statement of agency civil 62(a)(4). This subpart sets forth (1) a
penalty policy. Violations of the Hours general definition of ‘‘immediate vicin-
of Service Act itself (e.g., requiring an ity’’ (§ 228.101(b)), (2) procedures under
employee to work excessive hours or which a carrier may request a deter-
beginning construction of a sleeping mination by the Federal Railroad Ad-
quarters subject to approval under sub- ministration that a particular proposed
site is not within the ‘‘immediate vi-
2 Form may be obtained from the Office of cinity’’ of railroad switching or hump-
Safety, Federal Railroad Administration, ing operations (§§ 228.103 and 228.105),
Washington, DC 20590. Reproduction is au- and (3) the basic criteria utilized in
evaluating proposed sites (§ 228.107).
thorized.
407
§ 228.103 49 CFR Ch. II (10–1–07 Edition)
(b) Except as determined in accord- (4) Placarded car shall mean a rail-
ance with the provisions of this sub- road car required to be placarded by
part. ‘‘The immediate vicinity’’ shall the Department of Transportation haz-
mean the area within one-half mile ardous materials regulations (49 CFR
(2,640 feet) (804 meters) of switching or 172.504).
humping operations as measured from (5) The term Leq (8) shall mean the
the nearest rail of the nearest trackage equivalent steady state sound level
where switching or humping operations which in 8 hours would contain the
are performed to the point on the site same acoustic energy as the time-vary-
where the carrier proposes to construct ing sound level during the same time
or reconstruct the exterior wall of the period.
structure, or portion of such wall,
which is closest to such operations. § 228.103 Approval procedure: con-
(c) As used in this subpart— struction within one-half mile (2,640
(1) Construction shall refer to the— feet) (804 meters).
(i) Creation of a new facility; (a) A common carrier that has devel-
(ii) Expansion of an existing facility; oped plans for the construction or re-
(iii) Placement of a mobile or mod- construction of sleeping quarters sub-
ular facility; or
ject to this subpart and which is con-
(iv) Acquisition and use of an exist-
sidering a site less than one-half mile
ing building.
(2,640 feet) (804 meters) from any area
(2) Reconstruction shall refer to the—
where switching or humping operations
(i) Replacement of an existing facil-
are performed, measured from the
ity with a new facility on the same
nearest rail of the nearest trackage
site; or
utilized on a regular or intermittent
(ii) Rehabilitation or improvement of
an existing facility (normal periodic basis for switching or humping oper-
maintenance excepted) involving the ations to the point on the site where
expenditure of an amount representing the carrier proposes to construct or re-
more than 50 percent of the cost of reconstruct the exterior wall of the
placing such facility on the same site structure, or portion of such wall,
at the time the work of rehabilitation which is closest to such operations,
or improvement began, the replace- must obtain the approval of the Fed-
ment cost to be estimated on the basis eral Railroad Administration before
of contemporary construction methods commencing construction or recon-
and materials. struction on that site. Approval may
(3) Switching or humping operations in- be requested by filing a petition con-
cludes the classification of placarded forming to the requirements of this
railroad cars according to commodity subpart.
or destination, assembling of placarded (b) A carrier is deemed to have con-
cars for train movements, changing the ducted switching or humping oper-
position of placarded cars for purposes ations on particular trackage within
of loading, unloading, or weighing, and the meaning of this subpart if plac-
the placing of placarded cars for repair. arded cars are subjected to the oper-
However, the term does not include the ations described in § 228.101(c)(3) within
moving of rail equipment in connection the 365-day period immediately pre-
with work service, the moving of a ceding the date construction or recon-
train or part of a train within yard struction is commenced or if such oper-
limits by a road locomotive or placing ations are to be permitted on such
locomotives or cars in a train or re- trackage after such date. If the carrier
moving them from a train by a road lo- does not have reliable records con-
comotive while en route to the train’s cerning the traffic handled on the
destination. The term does include op- trackage within the specified period, it
erations within this definition which shall be presumed that switching of
are conducted by any railroad; it is not placarded cars is conducted at the loca-
limited to the operations of the carrier tion and construction or reconstruc-
contemplating construction or recon- tion of sleeping quarters within one-
struction of railroad employee sleeping half mile shall be subject to the ap-
quarters. proval procedures of this subpart.
408
(c) A petition shall be filed in trip- plaining any plans of that carrier for
licate with the Secretary, Railroad utilization of existing trackage, or for
Safety Board, Federal Railroad Admin- the construction of new trackage,
istration, Washington, DC 20590 and which may impact on the location of
shall contain the following: switching or humping operations with-
(1) A brief description of the type of in one-half mile of the proposed site (if
construction planned, including mate- there are no plans, the carrier official
rials to be employed, means of egress must so certify); and
from the quarters, and actual and pro- (9) Any further information which is
jected exterior noise levels and pro- necessary for evaluation of the site.
jected interior noise levels;
(d) A petition filed under this section
(2) The number of employees ex-
pected to utilize the quarters at full ca- must contain a statement that the pe-
pacity; tition has been served on the recog-
(3) A brief description of the site, in- nized representatives of the railroad
cluding: employees who will be utilizing the
(i) Distance from trackage where proposed sleeping quarters, together
switching or humping operations are with a list of the employee representa-
performed, specifying distances from tives served.
particular functions such as classifica-
tion, repair, assembling of trains from § 228.105 Additional requirements;
large groups of cars, etc. cetera; construction within one-third mile
(ii) Topography within a general area (1,760 feet) (536 meters) of certain
switching.
consisting of the site and all of the rail
facilities close to the site; (a) In addition to providing the infor-
(iii) Location of other physical im- mation specified by § 228.103, a carrier
provements situated between the site seeking approval of a site located with-
and areas where railroad operations are in one-third mile (1,760 feet) (536 me-
conducted; ters) of any area where railroad switch-
(4) A blueprint or other drawing ing or humping operations are per-
showing the relationship of the site to formed involving any cars required to
trackage and other planned and exist- be placarded ‘‘EXPLOSIVES A’’ or
ing facilities; ‘‘POISON GAS’’ or any DOT Specifica-
(5) The proposed or estimated date tion 112A or 114A tank cars trans-
for commencement of construction; porting flammable gas subject to FRA
(6) A description of the average num- emergency order No. 5 shall establish
ber and variety of rail operations in
by a supplementary statement certified
the areas within one-half mile (2,640
by a corporate officer possessing au-
feet) (804 meters) of the site (e.g., num-
thority over the subject matter that—
ber of cars classified in 24-hour period;
number of train movements); (1) No feasible alternate site located
(7) An estimate of the average daily at or beyond one-third mile from
number of placarded rail cars trans- switching or humping operations is ei-
porting hazardous materials through ther presently available to the railroad
the railroad facility (where prac- or is obtainable within 3 miles (15,840
ticable, based on a 365-day period sam- feet) (4,827 meters) of the reporting
ple, that period not having ended more point for the employees who are to be
than 120 days prior to the date of filing housed in the sleeping quarters;
the petition), specifying the— (2) Natural or other barriers exist or
(i) Number of such cars transporting will be created prior to occupancy of
class A explosives and poison gases; the proposed facility between the pro-
and posed site and any areas in which
(ii) Number of DOT Specification switching or humping operations are
112A and 114A tank cars transporting performed which will be adequate to
flammable gas subject to FRA emer- shield the facility from the direct and
gency order No. 5; severe effects of a hazardous materials
(8) A statement certified by a cor- accident/incident arising in an area of
porate officer of the carrier possessing switching or humping operations;
authority over the subject matter ex-
409
§ 228.107 49 CFR Ch. II (10–1–07 Edition)
(3) The topography of the property is ascertained, after opportunity for a

such as most likely to cause any haz- hearing, that any representation of
ardous materials unintentionally re- fact or intent made by a carrier in ma-
leased during switching or humping to terials submitted in support of a peti-
flow away from the proposed site; and tion was not accurate or truthful at
(4) Precautions for ensuring em- the time such representation was
ployee safety from toxic gases or explo- made.
sions such as employee training and
evacuation plans, availability of appro- APPENDIX A TO PART 228—REQUIRE-
priate respiratory protection, and MENTS OF THE HOURS OF SERVICE
measures for fire protection, have been ACT: STATEMENT OF AGENCY POLICY
considered. AND INTERPRETATION
(b) In the absence of reliable records First enacted in 1907, the Hours of Service
concerning traffic handled on trackage Act was substantially revised in 1969 by Pub-
within the one-third mile area, it shall lic Law 91–169. Further amendments were en-
be presumed that the types of cars enu- acted as part of the Federal Railroad Safety
merated in paragraph (a) of this sec- Authorization Act of 1976, Public Law 94–348
tion are switched on that trackage; and and by the Rail Safety Improvement Act of
1988, Public Law 100–342. The purpose of the
the additional requirements of this sec- law is ‘‘to promote the safety of employees
tion shall be met by the petitioning and travelers upon railroads by limiting the
carrier, unless the carrier establishes hours of service of employees * * *.’’ This ap-
that the switching of the enumerated pendix is designed to explain the effect of the
cars will be effectively barred from the law in commonly-encountered situations.
trackage if the petition is approved. The Act governs the maximum work hours
of employees engaged in one or more of the
§ 228.107 Action on petition. basic categories of covered service treated
below. If an individual performs more than
(a) Each petition for approval filed one kind of covered service during a tour of
under § 228.103 is referred to the Rail- duty, then the most restrictive of the appli-
road Safety Board for action in accord- cable limitations control.
ance with the provisions of part 211, The act applies to any railroad, as that
title 49, CFR, concerning the proc- term is defined in 45 U.S.C. 431(e). It governs
the carrier’s operations over its own railroad
essing of requests for special approvals. and all lines of road which it uses.
(b) In considering a petition for ap-
proval filed under this subpart, the TRAIN AND ENGINE SERVICE
Railroad Safety Board evaluates the Covered Service. Train or engine service re-
material factors bearing on— fers to the actual assembling or operation of
(1) The safety of employees utilizing trains. Employees who perform this type of
the proposed facility in the event of a service commonly include locomotive engi-
hazardous materials accident/incident neers, firemen, conductors, trainmen,
and in light of other relevant safety switchmen, switchtenders (unless their du-
ties come under the provisions of section 3)
factors; and and hostlers. With the passage of the 1976
(2) Interior noise levels in the facil- amendments, both inside and outside hos-
ity. tlers are considered to be connected with the
(c) The Railroad Safety Board will movement of trains. Previously, only outside
not approve an application submitted hostlers were covered. Any other employee
under this subpart if it appears from who is actually engaged in or connected with
the available information that the pro- the movement of any train is also covered,
regardless of his job title.
posed sleeping quarters will be so situ-
Limitations on Hours. The Act establishes
ated and constructed as to permit inte- two limitations on hours of service. First, no
rior noise levels due to noise under the employee engaged in train or engine service
control of the railroad to exceed an may be required or permitted to work in ex-
Leq(8) value of 55dB(A). If individual air cess of twelve consecutive hours. After work-
conditioning and heating systems are ing a full twelve consecutive hours, an em-
to be utilized, projections may relate ployee must be given at least ten consecu-
to noise levels with such units turned tive hours off duty before being permitted to
return to work.
off. Second, no employee engaged in train or
(d) Approval of a petition filed under engine service may be required or permitted
this subpart may be withdrawn or to continue on duty or go on duty unless he
modified at any time if it is
has had at least eight consecutive hours off
410
duty within the preceding twenty-four hours. minal ‘‘A’’ is the only designated terminal
This latter limitation, when read in conjunc- for this specific crew assignment, unless car-
tion with the requirements with respect to rier and employee representatives have
computation of duty time (discussed below) agreed to designate additional terminals
results in several conclusions: having suitable facilities for food and lodg-
(1) When an employee’s work tour is bro- ing.
ken or interrupted by a valid period of in- (3) A crew is assigned to operate a mainte-
terim release (4 hours or more at a des- nance-of-way work train from home ter-
ignated terminal), he may return to duty for minal ‘‘A’’, work on line of road and tie up
the balance of the total 12-hour work tour for rest along the line of road at point ‘‘B’’.
during a 24-hour period. Home terminal ‘‘A’’ and tie-up point ‘‘B’’
(2) After completing the 12 hours of broken both qualify as designated terminals for this
duty, or at the end of the 24-hour period, specific work train crew assignment. Of
whichever occurs first, the employee may course, suitable facilities for food and lodg-
not be required or permitted to continue on ing must be available at tie-up point ‘‘B’’.
duty or to go on duty until he has had at Deadheading. Under the Act time spent in
least 8 consecutive hours off duty. deadhead transportation receives special
(3) The 24-hour period referred to in para- treatment. Time spent in deadhead transpor-
graphs 1 and 2 above shall begin upon the tation to a duty assignment by a train or en-
commencement of a work tour by the em- gine service employee is considered on-duty
ployee immediately after his having received time. Time spent in deadhead transportation
a statutory off-duty period of 8 or 10 hours as from the final duty assignment of the work
appropriate. tour to the point of final release is not com-
Duty time and effective periods of release. On- puted as either time on duty or time off
duty time commences when an employee re- duty. Thus, the period of deadhead transpor-
ports at the time and place specified by the tation to point of final release may not be
railroad and terminates when the employee included in the required 8- or 10-hour off-
is finally released of all responsibilities. duty period. Time spent in deadhead trans-
(Time spent in deadhead transportation to a portation to a duty assignment is calculated
duty assignment is also counted as time on from the time the employee reports for
duty. See discussion below.) Any period deadhead until he reaches his duty assign-
available for rest that is of four or more ment.
hours and is at a designated terminal is off- All time spent awaiting the arrival of a
duty time. All other periods available for deadhead vehicle for transportation from the
rest must be counted as time on duty under final duty assignment of the work tour to
the law, regardless of their duration. the point of final release is considered limbo
The term ‘‘designated terminal’’ means a time, i.e., neither time on duty nor time off
terminal (1) which is designated in or under duty, provided that the employee is given no
a collective bargaining agreement as the specific responsibilities to perform during
‘‘home’’ or ‘‘away-from-home’’ terminal for a this time. However, if an employee is re-
particular crew assignment and (2) which has quired to perform service of any kind during
suitable facilities for food and lodging. Car- that period (e.g., protecting the train against
rier and union representatives may agree to vandalism, observing passing trains for any
establish additional designated terminals defects or unsafe conditions, flagging, shut-
having such facilities as points of effective ting down locomotives, checking fluid levels,
release under the Act. Agreements to des- or communicating train consist information
ignate additional terminals for purposes of via radio), he or she will be considered as on
release under the Act should be reduced to duty until all such service is completed. Of
writing and should make reference to the course, where a railroad carrier’s operating
particular assignments affected and to the rules clearly relieve the employee of all du-
Hours of Service Act. The following are com- ties during the waiting period and no duties
mon situations illustrating the designated are specifically assigned, the waiting time is
terminal concept: not computed as either time on duty or time
(1) A freight or passenger road crew oper- off duty.
ates a train from home terminal ‘‘A’’ to Transit time from the employee’s resi-
away-from-home terminal ‘‘B’’ (or the re- dence to his regular reporting point is not
verse). Terminals ‘‘A’’ and ‘‘B’’ would nor- considered deadhead time.
mally be the designated terminals for this If an employee utilizes personal auto-
specific crew assignment. However, carrier mobile transportation to a point of duty as-
and employee representatives may agree to signment other than the regular reporting
designate additional terminals having suit- point in lieu of deadhead transportation pro-
able facilities for food and lodging as appro- vided by the carrier, such actual travel time
priate points of release under the Hours of is considered as deadheading time. However,
Service Act. if the actual travel time from his home to
(2) A road crew operates a train in turn- the point of duty assignment exceeds a rea-
around service from home terminal ‘‘A’’ to sonable travel time from the regular report-
turn-around point ‘‘B’’ and back to ‘‘A’’. Ter- ing point to the point of duty assignment,
411
then only the latter period is counted. Of COMMUNICATION OF TRAIN ORDERS
course, actual travel time must be reason-
Covered Service. The handling of orders gov-
able and must not include diversions for per-
erning the movement of trains is the second
sonal reasons.
type of covered service. This provision of the
Example: Employee A receives an assign- Act applies to any operator, train dispatcher
ment from an ‘‘extra board’’ located at his or other employee who by the use of the tele-
home terminal to protect a job one hour’s graph, telephone, radio, or any other
drive from the home terminal. In lieu of electical or mechanical device dispatches,
transporting the employee by carrier con- reports, transmits, receives, or delivers or-
veyance, the railroad pays the employee a ders pertaining to or affecting train move-
fixed amount to provide his own transpor- ments.
tation to and from the outlying point. The
The approach of the law is functional.
employee is permitted to go directly from
Thus, though a yardmaster normally is not
his home to the outlying point, a drive which
covered by this provision, a yardmaster or
takes 40 minutes. The normal driving time
other employee who performs any of the
between his regular reporting point at his
specified service during a duty tour is sub-
home terminal and the outlying point is 60
ject to the limitations on service for that en-
minutes. The actual driving time, 40 minutes
tire tour.
is considered deadhead time and is counted
as time on duty under the Act. Limitations on hours. No employee who per-
Employee A performs local switching serv- forms covered service involving communica-
ice at the outlying point. When the employee tion of train orders may be required or per-
returns from the outlying point that mitted to remain on duty for more than nine
evening, and receives an ‘‘arbitrary’’ pay- hours, whether consecutive or in the aggre-
ment for his making the return trip by pri- gate, in any 24-hour period in any office,
vate automobile, 40 minutes of his time in tower, station or place where two or more
transportation home is considered shifts are employed. Where only one shift is
deadheading to point of final release and is employed, the employee is restricted to 12
not counted as either time on duty or time hours consecutively or in the aggregate dur-
off duty. ing any 24-hour period.
The provision on emergencies, discussed
Wreck and relief trains. Prior to the 1976
below, may extend the permissible hours of
amendments, crews of wreck and relief
employees performing this type of service.
trains were exempted entirely from the limi-
tations on hours of service. Under present Shifts. The term ‘‘shift’’ is not defined by
law that is no longer the case. The crew of a the Act, but the legislative history of the
wreck or relief train may be permitted to be 1969 amendments indicates that it means a
on duty for not to exceed 4 additional hours tour of duty constituting a day’s work for
in any period of 24 consecutive hours when- one or more employee performing the same
ever an actual emergency exists and the class of work at the same station who are
work of the crew is related to that emer- scheduled to begin and end work at the same
gency. Thus, a crew could work up to 16 time. The following are examples of this
hours, rather than 12. The Act specifies that principle:
an emergency ceases to exist for purposes of
Scheduled Hours Classification
this provision when the track is cleared and
the line is open for traffic. An ‘‘emergency’’ 7 a.m. to 3 p.m ........................................... 1 shift.
for purposes of wreck or relief service may be 7 a.m. to 12:30 p.m. 1:30 p.m. to 8 p.m. Do.
a less extraordinary or catastrophic event (Schedule for one employee including
than an ‘‘unavoidable accident or Act of one hour lunch period).
God’’ under section 5(d) of the Act. 7 a.m. to 3 p.m. 7 a.m. to 3 p.m. (Two Do.
employees scheduled).
Example: The crew of a wreck train is dis- 7 a.m. to 3 p.m. 8 a.m. to 4 p.m. (Two 2 shifts.
patched to clear the site of a derailment employees scheduled).
which has just occurred on a main line. The
wreck crew re-rails or clears the last car and Duty time and effective periods of release. If,
the maintenance of way department releases after reporting to his place of duty, an em-
the track to the operating department 14 ployee is required to perform duties at other
hours and 30 minutes into the duty tour. places during this same tour of duty, the
Since the line is not clear until the wreck time spent traveling between such places is
train is itself out of the way, the crew may considered as time on duty. Under the tradi-
operate the wreck train to its terminal, pro- tional administrative interpretation of sec-
vided this can be accomplished within the tion 3, other periods of transportation are
total of 16 hours on duty. viewed as personal commuting and, thus, off-
Emergencies. The Act contains no general duty time.
exception using the term ‘‘emergency’’ with A release period is considered off-duty
respect to train or engine service or related time if it provides a meaningful period of re-
work. See ‘‘casualties,’’ etc., under ‘‘General laxation and if the employee is free of all re-
Provisions’’. sponsibilities to the carrier. One hour is the
412
minimum acceptable release period for this foreseen.’’ This passage is commonly re-
type of covered service. ferred to as the ‘‘emergency provision’’. Ju-
Emergencies. The section of the Act dealing dicial construction of this sentence has lim-
with dispatchers, operators, and others who ited the relief which it grants to situations
transmit or receive train orders contains its which are truly unusual and exceptional.
own emergency provision. In case of emer- The courts have recognized that delays and
gency, an employee subject to the 9 or 12- operational difficulties are common in the
hour limitation is permitted to work an ad- industry and must be regarded as entirely
ditional four hours in any 24-hour period, but foreseeable; otherwise, the Act will provide
only for a maximum of three days in any pe- no protection whatsoever. Common oper-
riod of seven consecutive days. However, ational difficulties which do not provide re-
even in an emergency situation the carrier lief from the Act include, but are not limited
must make reasonable efforts to relieve the to, broken draw bars, locomotive malfunc-
employee. tions, equipment failures, brake system fail-
ures, hot boxes, unexpected switching, dou-
GENERAL PROVISIONS bling hills and meeting trains. Nor does the
need to clear a main line or cut a crossing
(APPLICABLE TO ALL COVERED SERVICE)
justify disregard of the limitations of the
Commingled Service. All duty time for a Act. Such contingencies must normally be
railroad even though not otherwise subject anticipated and met within the 12 hours.
to the Act must be included when computing Even where an extraordinary event or com-
total on-duty time of an individual who per- bination of events occurs which, by itself,
forms one or more of the type of service cov- would be sufficient to permit excess service,
ered by the Act. This is known as the prin- the carrier must still employ due diligence
ciple of ‘‘commingled service’’. to avoid or limit such excess service. The
For example, if an employee performs duty burden of proof rests with the carrier to es-
for 8 hours as a trainman and then is used as tablish that excess service could not have
a trackman (not covered by the law) in the been avoided.
same 24-hour period, total on-duty time is Sleeping Quarters. Under the 1976 amend-
determined by adding the duty time as ments to the Act it is unlawful for any com-
trackman to that as trainman. The law does mon carrier to provide sleeping quarters for
not distinguish treatment of situations in persons covered by the Hours of Service Act
which non-covered service follows, rather which do not afford such persons an oppor-
than precedes, covered service. The limita- tunity for rest, free from interruptions
tions on total hours apply on both cases. It caused by noise under the control of the rail-
should be remembered that attendance at re- road, in clean, safe, and sanitary quarters.
quired rules classes is duty time subject to Such sleeping quarters include crew quar-
the provisions on ‘‘commingling’’. Similarly, ters, camp or bunk cars, and trailers.
where a carrier compels attendance at a dis- Sleeping quarters are not considered to be
ciplinary proceeding, time spent in attend- ‘‘free from interruptions caused by noise
ance is subject to the provisions on commin- under the control of the railroad’’ if noise
gling. levels attributable to noise sources under the
When an employee performs service cov- control of the railroad exceed an Leq(8) value
ered by more than one restrictive provision, of 55dB(A).
the most restrictive provision determines FRA recognizes that camp cars, either be-
the total lawful on-duty time. Thus, when an cause of express limitations of local codes or
employee performs duty in train or engine by virtue of their physical mobility, cannot,
service and also as an operator, the provi- for practical purposes, be subject to state or
sions of the law applicable to operators apply local housing, sanitation, health, electrical,
to all on-duty and off-duty periods during or fire codes. Therefore, FRA is unable to
such aggregate time. However, an employee rely upon state or local authorities to ensure
subject to the 12 hour provision of section 2 that persons covered by the Act who reside
of the law does not become subject to the 9 in railroad-provided camp cars are afforded
or 12-hour provisions of section 3 merely be- an opportunity for rest in ‘‘clean, safe, and
cause he receives, transmits or delivers or- sanitary’’ conditions. Accordingly, the
ders pertaining to or affecting the movement guidelines in appendix C to this part 228 will
of his train in the course of his duties as a be considered by FRA as factors to be used in
trainman. applying the concepts of ‘‘clean,’’ ‘‘safe,’’ and
Casualties, Unavoidable Accidents, Acts of ‘‘sanitary’’ to camp cars provided by rail-
God. Section 5(d) of the Act states the fol- roads for the use of employees covered by
lowing: ‘‘The provisions of this Act shall not section 2(a)(3) of the Act. Failure to adhere
apply in any case of casualty or unavoidable to these guidelines might interfere with the
accident or the Act of God; nor where the ordinary person’s ability to rest.
delay was the result of a cause not known to Collective Bargaining. The Hours of Service
the carrier or its officer or agent in charge of Act prescribes the maximum permissible
the employee at the time said employee left hours of service consistent with safety. How-
a terminal, and which could not have been ever, the Act does not prohibit collective
413
bargaining for shorter hours of service and from the date of violation unless administra-
time on duty. tive notification of the violation has been
Penalty. As amended by the Rail Safety provided to the person to be charged within
Improvement Act of 1988 and the Rail Safety that two year period. In no event may a suit
Enforcement and Review Act of 1992, the be brought after expiration of the period
penalty provisions of the law apply to any specified in 28 U.S.C. 2462.
person (an entity of any type covered under Exemptions. A railroad which employs not
1 U.S.C. 1, including but not limited to the more than 15 persons covered by the Hours of
following: a railroad; a manager, supervisor, Service Act (including signalmen and hos-
official, or other employee or agent of a rail- tlers) may be exempted from the law’s re-
road; any owner, manufacturer, lessor, or quirements by the FRA after hearing and for
lessee of railroad equipment, track, or facili- good cause shown. The exemption must be
ties; any independent contractor providing supported by a finding that it is in the public
goods or services to a railroad; and any em- interest and will not adversely affect safety.
ployee of such owner, manufacturer, lessor, The exemption need not relate to all carrier
lessee, or independent contractor), except employees. In no event may any employee of
that a penalty may be assessed against an an exempt railroad be required or permitted
individual only for a willful violation. See to work beyond 16 hours continuously or in
appendix A to 49 CFR part 209. For violations the aggregate within any 24-hour period. Any
that occurred on September 3, 1992, a person exemption is subject to review at least annu-
who violates the Act is liable for a civil pen- ally.
alty, as the Secretary of Transportation
deems reasonable, in an amount not less [42 FR 27596, May 31, 1977, as amended at 43
than $500 nor more than $11,000, except that FR 30804, July 18, 1978; 53 FR 28601, July 28,
where a grossly negligent violation or a pat- 1988; 55 FR 30893, July 27, 1990; 58 FR 18165,
tern of repeated violations has created an Apr. 8, 1993; 61 FR 20495, May 7, 1996; 63 FR
imminent hazard of death or injury to per- 11622, Mar. 10, 1998; 69 FR 30594, May 28, 2004]
sons, or has caused death or injury, a penalty EFFECTIVE DATE NOTE: At 72 FR 51197,
not to exceed $22,000 may be assessed. The Sept. 6, 2007, the ninth paragraph below the
Federal Civil Penalties Inflation Adjustment heading ‘‘General Provisions,’’ which is enti-
Act of 1990 as amended by the Debt Collec- tled ‘‘Penalty’’ in appendix A to part 228 was
tion Improvement Act of 1996 required agen- amended adding a sentence to end, effective
cies to increase the maximum civil mone- October 9, 2007. For the convenience of the
tary penalty for inflation. The amounts in-
user, the added text is set forth as follows:
creased from $10,000 to $11,000 and from
$20,000 to $22,000 respectively. According to
APPENDIX A TO PART 228—REQUIRE-
the same law, in 2004, the minimum penalty
of $500 was raised to $550, and the maximum MENTS OF THE HOURS OF SERVICE
penalty for a grossly negligent violation or a ACT: STATEMENT OF AGENCY POLICY
pattern of repeated violations that has AND INTERPRETATION
caused an imminent hazard of death or in-
jury to individuals or has caused death or in- * * * * *
jury, was increased from $22,000 to $27,000.
The $11,000 maximum penalty was not ad- Penalty. * * * Effective October 9, 2007, the
justed. ordinary maximum penalty of $11,000 was
Each employee who is required or per- raised to $16,000 as required under the law;
mitted to be on duty for a longer period than however, the minimum penalty and the max-
prescribed by law or who does not receive a imum penalty for a grossly negligent viola-
required period of rest represents a separate tion did not need to be adjusted.
and distinct violation and subjects the rail-
road to a separate civil penalty. In the case APPENDIX B TO PART 228—SCHEDULE OF
of a violation of section 2(a)(3) or (a)(4) of the CIVIL PENALTIES 1
Act, each day a facility is in noncompliance
constitutes a separate offense and subjects Willful viola-
the railroad to a separate civil penalty.
In compromising a civil penalty assessed Subpart B—Records and Re-
under the Act, FRA takes into account the porting:
nature, circumstances, extent, and gravity of 228.9 Railroad records $500 $1,000
the violation committed, and, with respect 228.11 Hours of duty
to the person found to have committed such records ..................... 500 1,000
violation, the degree of culpability, any his- 228.17 Dispatcher’s
record ...................... 500 1,000
tory of prior or subsequent offenses, ability 228.19 Monthly reports
to pay, effect on ability to continue to do of excess service ..... 1,000 2,000
business and such other matters as justice
1A penalty may be assessed against an individual only for
may require. a willful violation. The Administrator reserves the right to as-
Statute of limitations. No suit may be sess a penalty of up to $27,000 for any violation where cir-
brought after the expiration of two years cumstances warrant. See 49 CFR part 209, appendix A.
414
[53 FR 52931, Dec. 29, 1988, as amended at 69 loose boards, and unnecessary holes and
FR 30594, May 28, 2004] openings.
3. Waste Disposal.
APPENDIX C TO PART 228—GUIDELINES (a) Any exterior receptacle used for putres-
FOR CLEAN, SAFE, AND SANITARY cible solid or liquid waste or refuse should be
RAILROAD PROVIDED CAMP CARS so constructed that it does not leak and may
be thoroughly cleaned and maintained in a
1. Definitions applicable to these Guidelines. sanitary condition. Such a receptacle should
(a) Camp Cars mean trailers and on-track be equipped with a solid tight-fitting cover,
vehicles, including outfit, camp, or bunk unless it can be maintained in a sanitary
cars or modular homes mounted on flat cars, condition without a cover. This requirement
used to house or accommodate railroad em- does not prohibit the use of receptacles de-
ployees. Wreck trains are not included. signed to permit the maintenance of a sani-
(b) Employee means any worker whose serv- tary condition without regard to the afore-
ice is covered by the Hours of Service Act or mentioned requirements.
who is defined as an employee for purposes of (b) All sweepings, solid or liquid wastes,
section 2(a)(3) of that Act. refuse, and garbage should be removed in
(c) Lavatory means a basin or similar ves- such a manner as to avoid creating a menace
sel used primarily for washing of the hands, to health and as often as necessary or appro-
arms, face, and head. priate to maintain a sanitary condition.
(d) Nonwater carriage toilet facility means a 4. Vermin Control.
toilet facility not connected to a sewer. (a) Camp cars should be so constructed,
(e) Number of employees means the number equipped, and maintained, so far as reason-
of employees assigned to occupy the camp ably practicable, as to prevent the entrance
cars. or harborage of rodents, insects, or other
(f) Personal service room means a room used vermin. A continuing and effective extermi-
for activities not directly connected with the nation program should be instituted where
production or service function performed by their presence is detected.
the carrier establishment. Such activities in- 5. Water Supply.
clude, but are not limited to, first-aid, med- (a) Potable water. (1) Potable water should
ical services, dressing, showering, toilet use, be adequately and conveniently provided to
washing, and eating. all employees in camp cars for drinking,
(g) Potable water means water that meets washing of the person, cooking, washing of
the quality standards prescribed in the U.S. foods, washing of cooking or eating utensils,
Public Health Service Drinking Water washing of food preparation or processing
Standards, published at 42 CFR part 72, or is premises, and personal service rooms where
approved for drinking purposes by the State such facilities are provided.
or local authority having jurisdiction. (2) Potable drinking water dispensers
(h) Toilet facility means a fixture main- should be designed, constructed, and serviced
tained within a toilet room for the purpose so that sanitary conditions are maintained,
of defecation or urination, or both. should be capable of being closed, and should
(i) Toilet room means a room maintained be equipped with a tap.
within or on the premises containing toilet (3) Open containers such as barrels, pails,
facilities for use by employees. or tanks for drinking water from which the
(j) Toxic material means a material in con- water must be dipped or poured, whether or
centration or amount of such toxicity as to not they are fitted with a cover, should not
constitute a recognized hazard that is caus- be used.
ing or is likely to cause death or serious (4) A common drinking cup and other com-
physical harm. mon utensils should not be used.
(k) Urinal means a toilet facility main- (b) The distribution lines should be capable
tained within a toilet room for the sole pur- of supplying water at sufficient operating
pose of urination. pressures to all taps for normal simulta-
(l) Water closet means a toilet facility neous operation.
maintained within a toilet room for the pur- 6. Toilet facilities.
pose of both defecation and urination and (a) Toilet facilities. (1) Toilet facilities
which is flushed with water. adequate for the number of employees
(m) Leq (8) means the equivalent steady housed in the camp car should be provided in
sound level which in 8 hours would contain convenient and safe location(s), and separate
the same acoustic energy as the time-vary- toilet rooms for each sex should be provided
ing sound level during the same time period. in accordance with table l of this paragraph.
2. Housekeeping. The number of facilities to be provided for
(a) All camp cars should be kept clean to each sex should be based on the number of
the extent that the nature of the work al- employees of that sex for whom the facilities
lows. are furnished. Where toilet rooms will be oc-
(b) To facilitate cleaning, every floor, cupied by no more than one person at a time,
working place, and passageway should be can be locked from the inside, and contain at
kept free from protruding nails, splinters, least one water closet or nonwater carriage
415
toilet facility, separate toilet rooms for each (c) Unless otherwise provided by agree-
sex need not be provided. Where such single- ment, hand soap or similar cleansing agents
occupancy rooms have more than one toilet should be provided.
facility, only one such facility in each toilet (d) Unless otherwise provided by agree-
room should be counted for the purpose of ment, individual hand towels or sections
table 1. thereof, of cloth or paper, warm air blowers
or clean individual sections of continuous
TABLE 1 cloth toweling, convenient to the lavatories,
should be provided.
Minimum (e) One lavatory basin per six employees
No. of toi- should be provided in shared facilities.
No. of employees let facili-
ties 1 8. Showering facilities.
(a) Showering facilities should be provided
1 to 10 ................................................................... 1 in the following ratio: one shower should be
11 to 25 ................................................................. 2 provided for each 10 employees of each sex,
26 to 49 ................................................................. 3 or numerical fraction thereof, who are re-
50 to 100 ............................................................... 5 quired to shower during the same shift.
Over 100 ................................................................ 2
(b) Shower floors should be constructed of
1 Where toilet facilities will not be used by women, urinals non-slippery materials. Floor drains should
may be provided instead of water closets or nonwater car- be provided in all shower baths and shower
riage toilet facilities, except that the number of water closets
or facilities in such cases should not be reduced to less than rooms to remove waste water and facilitate
2⁄3 of the minimum specified. cleaning. All junctions of the curbing and
2 One additional fixture for each additional 25 employees.
the floor should be sealed. The walls and par-
(2) When toilet facilities are provided in titions of shower rooms should be smooth
separate cars, toilet rooms should have a and impervious to the height of splash.
(c) An adequate supply of hot and cold run-
window space of not less than 6 square feet
ning water should be provided for showering
in area opening directly to the outside area
purposes. Facilities for heating water should
or otherwise be satisfactorily ventilated. All
be provided.
outside openings should be screened with
(d) Showers. 1. Unless otherwise provided
material that is equivalent to or better than
by agreement, body soap or other appro-
16-mesh. No fixture, water closet, nonwater
priate cleansing agent convenient to the
carriage toilet facility or urinal should be lo-
showers should be provided.
cated in a compartment used for other than
2. Showers should be provided with hot and
toilet purposes.
cold water feeding a common discharge line.
(3) The sewage disposal method should not
3. Unless otherwise provided by agreement,
endanger the health of employees.
employees who use showers should be pro-
(b) Construction of toilet rooms. (1) Each vided with individual clean towels.
water closet should occupy a separate com- 9. Kitchens, dining hall and feeding facilities.
partment with a door and walls or partitions (a) In all camp cars where central dining
between fixtures sufficiently high to assure operations are provided, the food handling
privacy. facilities should be clean and sanitary.
(2) Nonwater carriage toilet facilities (b) When separate kitchen and dining hall
should be located within 50 feet, but as far as cars are provided, there should be a closable
practical on the same side of the track on door between the living or sleeping quarters
which camp cars are sited. into a kitchen or dining hall car.
(3) Each toilet facility should be lighted 10. Consumption of food and beverages on the
naturally, or artificially by a safe type of premises.
lighting available at all hours of the day and (a) Application. This paragraph should
night. Flashlights can be substituted by the apply only where employees are permitted to
railroad when nonwater carriage toilet fa- consume food or beverages, or both, on the
cilities are used. premises.
(4) An adequate supply of toilet paper (b) Eating and drinking areas. No employee
should be provided in each water closet, or should be allowed to consume food or bev-
nonwater carriage toilet facility, unless pro- erages in a toilet room or in any area ex-
vided to the employees individually. posed to a toxic material.
(5) Toilet facilities should be kept in a (c) Sewage disposal facilities. All sewer lines
clean and sanitary condition. They should be and floor drains from camp cars should be
cleaned regularly when occupied. In the case connected to public sewers where available
of nonwater carriage toilet facilities, they and practical, unless the cars are equipped
should be cleaned and changed regularly. with holding tanks that are emptied in a
7. Lavatories. sanitary manner.
(a) Lavatories should be made available to (d) Waste disposal containers provided for the
all rail employees housed in camp cars. interior of camp cars. An adequate number of
(b) Each lavatory should be provided with receptacles constructed of smooth, corrosion
either hot and cold running water or tepid resistant, easily cleanable, or disposable ma-
running water. terials, should be provided and used for the
416
disposal of waste food. Receptacles should be should be not less than 27 inches. Triple-deck
provided with a solid tightfitting cover un- bunks should not be used.
less sanitary conditions can be maintained (e) Floors should be of smooth and tight
without use of a cover. The number, size and construction and should be kept in good re-
location of such receptacles should encour- pair.
age their use and not result in overfilling. (f) All living quarters should be provided
They should be emptied regularly and main- with windows the total of which should be
tained in a clean and sanitary condition. not less than 10 percent of the floor area. At
(e) Sanitary storage. No food or beverages least one-half of each window designed to be
should be stored in toilet rooms or in an area
opened should be so constructed that it can
exposed to a toxic material.
be opened for purposes of ventilation. Dura-
(f) Food handling. (1) All employee food
ble opaque window coverings should be pro-
service facilities and operations should be
vided to reduce the entrance of light during
carried out in accordance with sound hygien-
ic principles. In all places of employment sleeping hours.
where all or part of the food service is pro- (g) All exterior openings should be effec-
vided, the food dispensed should be whole- tively screened with 16-mesh material. All
some, free from spoilage, and should be proc- screen doors should be equipped with self-
essed, prepared, handled, and stored in such closing devices.
a manner as to be protected against con- (h) In a facility where workers cook, live,
tamination. and sleep, a minimum of 90 square feet per
(2) No person with any disease commu- person should be provided. Sanitary facili-
nicable through contact with food or food ties should be provided for storing and pre-
preparation items should be employed or paring food.
permitted to work in the preparation, cook- (i) In camp cars where meals are provided,
ing, serving, or other handling of food, food- adequate facilities to feed employees within
stuffs, or materials used therein, in a kitch- a 60-minute period should be provided.
en or dining facility operated in or in con- (j) All heating, cooking, ventilation, air
nection with camp cars. conditioning and water heating equipment
11. Lighting. Each habitable room in a should be installed in accordance with appli-
camp car should be provided with adequate cable local regulations governing such in-
lighting. stallations.
12. First Aid. Adequate first aid kits should
(k) Every camp car should be provided with
be maintained and made available for rail-
equipment capable of maintaining a tem-
way employees housed in camp cars for the
perature of at least 68 degrees F. during nor-
emergency treatment of injured persons.
13. Shelter. mal cold weather and no greater than 78 de-
(a) Every camp car should be constructed grees F., or 20 degrees below ambient, which-
in a manner that will provide protection ever is warmer, during normal hot weather.
against the elements. (l) Existing camp cars may be grand-
(b) All steps, entry ways, passageways and fathered so as to only be subject to subpara-
corridors providing normal entry to or be- graphs (c), (d), (f), (h), and (k), in accordance
tween camp cars should be constructed of du- with the following as recommended maxi-
rable weather resistant material and prop- mums:
erly maintained. Any broken or unsafe fix- 13 (c), (d), and (h)—by January 1, 1994.
tures or components in need of repair should 13(f)—Indefinitely insofar as the ten percent
be repaired or replaced promptly. (10%) requirement for window spacing is
(c) Each camp car used for sleeping pur- concerned.
poses should contain at least 48 square feet 13(k)—by January 1, 1992.
of floor space for each occupant. At least a 7-
foot ceiling measured at the entrance to the 14. Location. Camp cars occupied exclu-
car should be provided. sively by individuals employed for the pur-
(d) Beds, cots, or bunks and suitable stor- pose of maintaining the right-of-way of a
age facilities such as wall lockers or space railroad should be located as far as practical
for foot lockers for clothing and personal ar- from where ‘‘switching or humping oper-
ticles should be provided in every room used ations’’ of ‘‘placarded cars’’ occur, as defined
for sleeping purposes. Except where parti- in 49 CFR 228.101 (c)(3) and (c)(4), respec-
tions are provided, such beds or similar fa- tively. Every reasonable effort should be
cilities should be spaced not closer than 36 made to locate these camp cars at least one-
inches laterally (except in modular units half mile (2,640 feet) from where such switch-
which cannot be spaced closer than 30 ing or humping occurs. In the event employ-
inches) and 30 inches end to end, and should ees housed in camp cars located closer than
be elevated at least 12 inches from the floor. one-half mile (2,640 feet) from where such
If double-deck bunks are used, they should switching or humping of cars takes place are
be spaced not less than 48 inches both lat- exposed to an unusual hazard at such loca-
erally and end to end. The minimum clear tion, the employees involved should be
space between the lower and upper bunk housed in other suitable accommodations.
417
An unusual hazard means an unsafe condi- 229.51 Aluminum main reservoirs.
tion created by an occurrence other than 229.53 Brake gauges.
normal switching or humping. 229.55 Piston travel.
15. General provisions. (a) Sleeping quarters 229.57 Foundation brake gear.
are not considered to be ‘‘free of interrup- 229.59 Leakage.
tions caused by noise under the control of
the railroad’’ if noise levels attributable to DRAFT SYSTEM
noise sources under the control of the rail-
road exceed an Leq (8) value of 55 dB(A), with 229.61 Draft system.
windows closed and exclusive of cooling,
SUSPENSION SYSTEM
heating, and ventilating equipment.
(b) A railroad should, within 48 hours after 229.63 Lateral motion.
notice of noncompliance with these rec- 229.64 Plain bearings.
ommendations, fix the deficient condition(s). 229.65 Spring rigging.
Where holidays or weekends intervene, the 229.67 Trucks.
railroad should fix the condition within 8 229.69 Side bearings.
hours after the employees return to work. In 229.71 Clearance above top of rail.
the event such condition(s) affects the safety 229.73 Wheel sets.
or health of the employees, such as water,
229.75 Wheel and tire defects.
cooling, heating or eating facilities, the rail-
road should provide alternative arrange- ELECTRICAL SYSTEM
ments for housing and eating until the non-
complying condition is fixed. 229.77 Current collectors.
229.79 Third rail shoes.
[55 FR 30893, July 27, 1990]
229.81 Emergency pole; shoe insulation.
229.83 Insulation or grounding of metal
PART 229—RAILROAD parts.
LOCOMOTIVE SAFETY STANDARDS 229.85 Doors and cover plates marked
‘‘Danger’’.
Subpart A—General 229.87 Hand-operated switches.
229.89 Jumpers; cable connections.
Sec. 229.91 Motors and generators.
229.1 Scope.
229.3 Applicability. INTERNAL COMBUSTION EQUIPMENT
229.4 Information collection.
229.93 Safety cut-off device.
229.5 Definitions.
229.95 Venting.
229.7 Prohibited acts.
229.9 Movement of non-complying loco- 229.97 Grounding fuel tanks.
motives. 229.99 Safety hangers.
229.11 Locomotive identification. 229.101 Engines.
229.13 Control of locomotives.
STEAM GENERATORS
229.14 Non-MU control cab locomotives.
229.17 Accident reports. 229.103 Safe working pressure; factor of
229.19 Prior waivers. safety.
229.105 Steam generator number.
Subpart B—Inspections and Tests 229.107 Pressure gauge.
229.109 Safety valves.
229.21 Daily inspection.
229.111 Water-flow indicator.
229.23 Periodic inspection: General.
229.113 Warning notice.
229.25 Tests: Every periodic inspection.
229.27 Annual tests. CABS AND CAB EQUIPMENT
229.29 Biennial tests.
229.31 Main reservoir tests. 229.115 Slip/slide alarms.
229.33 Out-of-use credit. 229.117 Speed indicators.
229.119 Cabs, floors, and passageways.
Subpart C—Safety Requirements 229.121 Locomotive cab noise.
229.123 Pilots, snowplows, end plates.
GENERAL REQUIREMENTS 229.125 Headlights and auxiliary lights.
229.41 Protection against personal injury. 229.127 Cab lights.
229.43 Exhaust and battery gases. 229.129 Locomotive horn.
229.45 General condition. 229.131 Sanders.
229.133 Interim locomotive conspicuity
BRAKE SYSTEM measures—auxiliary external lights.
229.46 Brakes: General. 229.135 Event recorders.
229.47 Emergency brake valve. 229.137 Sanitation, general requirements.
229.49 Main reservoir system. 229.139 Sanitation, servicing requirements.
418
Subpart D—Locomotive Crashworthiness ment as defined in § 238.5 of this chap-

Design Requirements ter (i.e., passenger equipment operating
at speeds exceeding 125 mph but not ex-
229.141 Body structure, MU locomotives.
ceeding 150 mph).
229.203 Applicability. (d) On or after November 8, 1999,
229.205 General requirements. paragraphs (a)(1) and (b)(1) of § 229.141
229.206 Design requirements. do not apply to ‘‘passenger equipment’’
229.207 New locomotive crashworthiness de- as defined in § 238.5 of this chapter, un-
sign standards and changes to existing less such equipment is excluded from
FRA-approved locomotive crash- the requirements of §§ 238.203 through
worthiness design standards.
238.219, and § 238.223 of this chapter by
229.209 Alternative locomotive crash-
worthiness designs. operation of § 238.201(a)(2) of this chap-
229.211 Processing of petitions. ter.
229.213 Locomotive manufacturing informa- (e) Paragraphs (a)(2) through (a)(4),
tion. and (b)(2) through (b)(4) of § 229.141 do
229.215 Retention and inspection of designs. not apply to ‘‘passenger equipment’’ as
229.217 Fuel tank. defined in § 238.5 of this chapter that is
APPENDIX A TO PART 229—FORM FRA 6180– placed in service for the first time on
49A [NOTE] or after September 8, 2000, unless such
APPENDIX B TO PART 229—SCHEDULE OF CIVIL
equipment is excluded from the re-
PENALTIES
APPENDIX C TO PART 229—FRA LOCOMOTIVE quirements of §§ 238.203 through 238.219,
STANDARDS—CODE OF DEFECTS [NOTE] and § 238.223 of this chapter by oper-
APPENDIX D TO PART 229—CRITERIA FOR CER- ation of § 238.201(a)(2) of this chapter.
TIFICATION OF CRASHWORTHY EVENT RE-
CORDER MEMORY MODULE
FR 25659, May 12, 1999]
APPENDIX E TO PART 229—PERFORMANCE CRI-
TERIA FOR LOCOMOTIVE CRASHWORTHINESS
APPENDIXES F–G TO PART 229 [RESERVED] § 229.4 Information collection.
APPENDIX H TO PART 229—STATIC NOISE TEST (a) The information collection re-
PROTOCOLS—IN-CAB STATIC quirements in this part have been re-
AUTHORITY: 49 U.S.C. 20103, 20107, 20133, viewed by the Office of Management
20137–38, 20143, 20701–03, 21301–02, 21304; 28 and Budget pursuant to the Paperwork
U.S.C. 2401, note; and 49 CFR 1.49(c), (m). Reduction Act of 1980, Public Law 96–
SOURCE: 45 FR 21109, Mar. 31, 1980, unless 511, and have been assigned OMB con-
otherwise noted. trol number 2130–0004.
(b) The information collection re-
Subpart A—General quirements are found in the following
sections: §§ 229.9, 229.17, 229.21, 229.23,
§ 229.1 Scope. 229.25, 229.27, 229.29, 229.31, 229.33, 229.55,
This part prescribes minimum Fed- 229.103, 229.105, 229.113, 229.121, 229.135,
eral safety standards for all loco- and appendix H to part 229.
motives except those propelled by [50 FR 6953, Feb. 19, 1985, as amended at 58
steam power. FR 36613, July 8, 1993; 71 FR 63136, Oct. 27,
2006]
§ 229.3 Applicability.
(a) Except as provided in paragraphs § 229.5 Definitions.
(b) through (e) of this section, this part As used in this part—
applies to all standard gage railroads. AAR means the Association of Amer-
(b) This part does not apply to: ican Railroads.
(1) A railroad that operates only on Acceptable quality level (AQL). The
track inside an installation which is AQL is expressed in terms of percent
not part of the general railroad system defective or defects per 100 units. Lots
of transportation; or having a quality level equal to a speci-
(2) Rapid transit operations in an fied AQL will be accepted approxi-
urban area that are not connected with mately 95 percent of the time when
the general railroad system of trans- using the sampling plans prescribed for
portation. that AQL.
(c) Paragraphs (a) and (b) of § 229.125 Anti-climbers means the parts at the
do not apply to Tier II passenger equip- ends of adjoining rail vehicles in a
419
§ 229.5 49 CFR Ch. II (10–1–07 Edition)
train that are designed to engage when tears that do not significantly dimin-
subjected to large buff loads to prevent ish the strength of the member are not
the override of one vehicle by another. considered to be cracked.
Associate Administrator for Safety Cruise control means a device that
means the Associate Administrator for controls locomotive power output to
Safety, Federal Railroad Administra- obtain a targeted speed. A device that
tion, or that person’s delegate as des- functions only at or below 30 miles per
ignated in writing. hour is NOT considered a ‘‘cruise con-
Break means a fracture resulting in trol’’ for purposes of this part.
complete separation into parts. Data element means one or more data
Build date means the date on which point or value reflecting on-board train
the completed locomotive is shipped by operations at a particular time. Data
the manufacturer or remanufacturer to may be actual or ‘‘passed through’’ val-
the customer, or if the railroad manu- ues or may be derived from a combina-
factures or remanufactures the loco- tion of values from other sources.
motive itself, the date on which the lo- dB(A) means the sound pressure level
comotive is released from the manufac- in decibels measured on the A-weighted
ture or remanufacture facility. scale.
Cab means that portion of the super- Dead locomotive means—
structure designed to be occupied by (1) A locomotive, other than a con-
the crew operating the locomotive. trol cab locomotive, that does not have
Carrier means railroad, as that term any traction device supplying tractive
is in this section. power; or
Collision posts means structural mem-
(2) A control cab locomotive that has
bers of the end structures of a rail ve-
a locked and unoccupied cab.
hicle that extend vertically from the
Decibel (dB) means a unit of measure-
underframe to which they are securely
ment of sound pressure levels.
attached and that provide protection
to occupied compartments from an ob- Defective means, for purposes of sec-
ject penetrating the vehicle during a tion 229.129 of this part, a locomotive
collision. equipped with an audible warning de-
Corner posts means structural mem- vice that produces a maximum sound
bers located at the intersection of the level in excess of 110 dB(A) and/or a
front or rear surface with the side sur- minimum sound level below 96 dB(A),
face of a rail vehicle and which extend as measured 100 feet forward of the lo-
vertically from the underframe to the comotive in the direction of travel.
roof. Designated service means exclusive op-
Commuter service means the type of eration of a locomotive under the fol-
railroad service described under the lowing conditions:
heading ‘‘Commuter Operations’’ in 49 (1) The locomotive is not used as an
CFR part 209, Appendix A. independent unit or the controlling
Commuter work train is a non-revenue unit in a consist of locomotives except
service train used in the administra- when moving for the purposes of serv-
tion and upkeep service of a commuter icing or repair within a single yard
railroad. area;
Control cab locomotive means a loco- (2) The locomotive is not occupied by
motive without propelling motors but operating or deadhead crews outside a
with one or more control stands. single yard area; and
Controlling remote distributed power lo- (3) The locomotive is stenciled ‘‘Des-
comotive means the locomotive in a dis- ignated Service—DO NOT OCCUPY.’’
tributed power consist that receives Design standard means a criterion
the coded signal from the lead loco- adopted by an industry or voluntary
motive consist of the train whether consensus standards body, which ad-
commanded automatically by the dis- dresses the design of a locomotive with
tributed power system or manually by respect to its crashworthiness and
the locomotive engineer. crashworthiness features.
Crack means a fracture without com- Distributed power system means a sys-
plete separation into parts, except that tem that provides control of a number
castings with shrinkage cracks or hot of locomotives dispersed throughout a
420
train from a controlling locomotive lo- by the railroad operating the loco-
cated in the lead position. The system motive on which it is installed.
provides control of the rearward loco- Lateral means the horizontal direc-
motives by command signals origi- tion perpendicular to the direction of
nating at the lead locomotive and travel.
transmitted to the remote (rearward) Lead locomotive means the first loco-
locomotives. motive proceeding in the direction of
DMU locomotive means a diesel-pow- movement.
ered multiple unit operated locomotive Lite locomotive means a locomotive or
with one or more propelling motors de- a consist of locomotives not attached
signed to carry passenger traffic. to any piece of equipment or attached
Excessive noise report means a report only to a caboose.
by a locomotive cab occupant that the Locomotive means a piece of on-track
locomotive is producing an unusual equipment other than hi-rail, special-
level of noise that significantly inter- ized maintenance, or other similar
feres with normal cab communications equipment—
or that is a concern with respect to (1) With one or more propelling mo-
hearing conservation. tors designed for moving other equip-
Electronic air brake means a brake ment;
system controlled by a computer which (2) With one or more propelling mo-
provides the means for control of the tors designed to carry freight or pas-
locomotive brakes or train brakes or senger traffic or both; or
both. (3) Without propelling motors but
with one or more control stands.
Event recorder means a device, de-
Locomotive cab means the compart-
signed to resist tampering, that mon-
ment or space on board a locomotive
itors and records data, as detailed in
where the control stand is located and
§ 229.135(b), over the most recent 48
which is normally occupied by the en-
hours of operation of the electrical sys-
gineer when the locomotive is oper-
tem of the locomotive on which the de-
ated.
vice is installed. However, a device, de-
Longitudinal means in a direction
signed to resist tampering, that mon-
parallel to the normal direction of
itors and records the specified data
travel.
only when the locomotive is in motion
Lot means a collection of loco-
meets this definition if the device was
motives, equipped with the same horn
installed prior to November 5, 1993 and
model, configuration, and location, and
if it records the specified data for the
the same air pressure and delivery sys-
last eight hours the locomotive was in
tem, which has been manufactured or
motion.
processed under essentially the same
Event recorder memory module means conditions.
that portion of the event recorder used Mandatory directive means any move-
to retain the recorded data as detailed ment authority or speed restriction
in § 229.135(b). that affects a railroad operation.
FRA means the Federal Railroad Ad- Manufacture means the act of con-
ministration. structing a locomotive.
Fuel tank, external means a fuel con- Modesty lock means a latch that can
tainment vessel that extends outside be operated in the normal manner only
the car body structure of a locomotive. from within the sanitary compartment,
Fuel tank, internal means a fuel con- that is designed to prevent entry of an-
tainment vessel that does not extend other person when the sanitary com-
outside the car body structure of a lo- partment is in use. A modesty lock
comotive. may be designed to allow deliberate
High voltage means an electrical po- forced entry in the event of an emer-
tential of more than 150 volts. gency.
In-service event recorder means an Monocoque design locomotive means a
event recorder that was successfully locomotive design where the shell or
tested as prescribed in § 229.27(d) and skin acts as a single unit with the sup-
whose subsequent failure to operate as porting frame to resist and transmit
intended, if any, is not actually known the loads acting on the locomotive.
421
§ 229.5 49 CFR Ch. II (10–1–07 Edition)
MU locomotive means a multiple unit Remanufacture means the act of con-

operated electric locomotive— structing a remanufactured loco-
(1) With one or more propelling mo- motive.
tors designed to carry freight or pas- Remanufactured locomotive means a
senger traffic or both; or locomotive rebuilt or refurbished from
(2) Without propelling motors but a previously used or refurbished
with one or more control stands and a underframe (‘‘deck’’), containing fewer
means of picking-up primary power than 25% previously used components
such as a pantograph or third rail. (measured by dollar value of the com-
Narrow-nose locomotive means a loco- ponents). For calculation purposes, the
motive with a short hood that spans percentage of previously used compo-
substantially less than the full width nents is determined with equivalent
of the locomotive. value of new parts and is calculated
Occupied service means the operation using dollar values from the same year
of a locomotive when the cab is phys- as the new parts used to remanufacture
ically occupied by a person. the locomotive.
Roof rail means the longitudinal
Other short-haul passenger service
structural member at the intersection
means the type of railroad service de-
of the side wall and the roof sheathing.
scribed under the heading ‘‘Other
Sanitary means lacking any condition
short-haul passenger service’’ in 49
in which any significant amount of
CFR part 209, Appendix A.
filth, trash, or human waste is present
Permanent deformation means the un-
in such a manner that a reasonable
dergoing of a permanent change in
person would believe that the condition
shape of a structural member of a rail
might constitute a health hazard; or of
vehicle.
strong, persistent, chemical or human
Potable water means water that meets waste odors sufficient to deter use of
the requirements of 40 CFR part 141, the facility, or give rise to a reasonable
the Environmental Protection Agen- concern with respect to exposure to
cy’s Primary Drinking Water Regula- hazardous fumes. Such conditions in-
tions, or water that has been approved clude, but are not limited to, a toilet
for drinking and washing purposes by bowl filled with human waste, soiled
the pertinent state or local authority toilet paper, or other products used in
having jurisdiction. For purposes of the toilet compartment, that are
this part, commercially available, bot- present due to a defective toilet facil-
tled drinking water is deemed potable ity that will not flush or otherwise re-
water. move waste; visible human waste res-
Powered axle is an axle equipped with idue on the floor or toilet seat that is
a traction device. present due to a toilet that overflowed;
Power car means a rail vehicle that an accumulation of soiled paper towels
propels a Tier II passenger train or is or soiled toilet paper on the floor, toi-
the lead vehicle in a Tier II passenger let facility, or sink; an accumulation of
train, or both. visible dirt or human waste on the
Railroad means all forms of non-high- floor, toilet facility, or sink; and
way ground transportation that run on strong, persistent chemical or human
rails or electromagnetic guideways, in- waste odors in the compartment.
cluding: Sanitation compartment means an en-
(1) Commuter or other short-haul rail closed compartment on a railroad loco-
passenger service in a metropolitan or motive that contains a toilet facility
suburban area, and for employee use.
(2) High speed ground transportation Self-monitoring event recorder means
systems that connect metropolitan an event recorder that has the ability
areas, without regard to whether they to monitor its own operation and to
use new technologies not associated display an indication to the locomotive
with traditional railroads. Such term operator when any data required to be
does not include rapid transit oper- stored are not stored or when the
ations within an urban area that are stored data do not match the data re-
not connected to the general railroad ceived from sensors or data collection
system of transportation. points.
422
Semi-monocoque design locomotive Time means either ‘‘time-of-day’’ or

means a locomotive design where the ‘‘elapsed time’’ (from an arbitrarily de-
skin or shell acts, to some extent, as a termined event) as determined by the
single unit with the supporting frame manufacturer. In either case, the re-
to resist and transmit the loads acting corder must be able to convert to an
on the locomotive. accurate time-of-day with the time
Semi-permanently coupled means cou- zone stated unless it is Greenwich
pled by means of a drawbar or other mean time (UTC).
coupling mechanism that requires Toilet facility means a system that
tools to perform the uncoupling oper- automatically or on command of the
ation. user removes human waste to a place
Serious injury means an injury that where it is treated, eliminated, or re-
results in the amputation of any ap- tained such that no solid or non-treat-
pendage, the loss of sight in an eye, the ed liquid waste is thereafter permitted
fracture of a bone, or confinement in a to be released into the bowl, urinal, or
hospital for a period of more than 24 room and that prevents harmful dis-
consecutive hours. charges of gases or persistent offensive
Short hood means the part of the lo- odors.
comotive above the underframe located Transfer service means a freight train
between the cab and the nearest end of that travels between a point of origin
the locomotive. and a point of final destination not ex-
Standards body means an industry ceeding 20 miles and that is not per-
and/or professional organization or as- forming switching service.
sociation which conducts research and Ultimate strength means the load at
develops and/or issues policies, criteria, which a structural member fractures or
principles, and standards related to the ceases to resist any load.
rail industry. Unsanitary means having any condi-
Switching service means the classification in which any significant amount
tion of railroad freight and passenger of filth, trash, or human waste is
cars according to commodity or des- present in such a manner that a rea-
tination; assembling cars for train sonable person would believe that the
movements; changing the position of condition might constitute a health
cars for purposes of loading, unloading, hazard; or strong, persistent, chemical
or weighing; placing locomotives and or human waste odors sufficient to
cars for repair or storage; or moving deter use of the facility, or give rise to
rail equipment in connection with a reasonable concern with respect to
work service that does not constitute a exposure to hazardous fumes. Such
train movement. conditions include, but are not limited
Throttle position means any and all of to, a toilet bowl filled with human
the discrete output positions indi- waste, soiled toilet paper, or other
cating the speed/tractive effort char- products used in the toilet compart-
acteristic requested by the operator of ment, that are present due to a defec-
the locomotive on which the throttle is tive toilet facility that will not flush
installed. Together, the discrete output or otherwise remove waste; visible
positions shall cover the entire range human waste residue on the floor or
of possible speed/tractive effort charac- toilet seat that is present due to a toi-
teristics. If the throttle has continu- let that overflowed; an accumulation of
ously variable segments, the event re- soiled paper towels or soiled toilet
corder shall capture either: paper on the floor, toilet facility, or
(1) The exact level of speed/tractive sink; an accumulation of visible dirt or
effort characteristic requested, on a human waste on the floor, toilet facil-
scale of zero (0) to one hundred percent ity, or sink; and strong, persistent
(100%) of the output variable or chemical or human waste odors in the
(2) A value converted from a percent- compartment.
age to a comparable 0 to 8 digital sig- Upper 99% confidence limit means the
nal. noise level below which 99% of all noise
Tier II means operating at speeds ex- level measurements must lie.
ceeding 125 mph but not exceeding 150 Washing system means a system for
mph. use by railroad employees to maintain
423
§ 229.7 49 CFR Ch. II (10–1–07 Edition)
personal cleanliness that includes a se- part for a statement of agency civil
cured sink or basin, water, anti- penalty policy.
bacterial soap, and paper towels; or
[45 FR 21109, Mar. 31, 1980, as amended at 53
antibacterial waterless soap and paper FR 28601, July 28, 1988; 53 FR 52931, Dec. 29,
towels; or antibacterial moist 1988; 63 FR 11622, Mar. 10, 1998; 69 FR 30594,
towelettes and paper towels; or any May 28, 2004]
other combination of suitable anti- EFFECTIVE DATE NOTE: At 72 FR 51197,
bacterial cleansing agents. Sept. 6, 2007, paragraph (b) of § 229.7 was
Wide-nose locomotive means a loco- amended by removing the numerical amount
motive with a short hood that spans ‘‘$11,000’’ and adding in its place the numer-
the full width of the locomotive. ical amount ‘‘$16,000’’, effective October 9,
2007.
[70 FR 37938, June 30, 2005, as amended at 71
FR 36911, June 28, 2006; 71 FR 47666, Aug. 17, § 229.9 Movement of non-complying lo-
2006; 71 FR 61857, Oct. 19, 2006; 71 FR 63136, comotives.
Oct. 27, 2006]
(a) Except as provided in paragraphs
§ 229.7 Prohibited acts. (b), (c) and § 229.125(h), a locomotive
with one or more conditions not in
(a) The Locomotive Inspection Act compliance with this part may be
(45 U.S.C. 22–34) makes it unlawful for moved only as a lite locomotive or a
any carrier to use or permit to be used dead locomotive after the carrier has
on its line any locomotive unless the complied with the following:
entire locomotive and its appur- (1) A qualified person shall deter-
tenances— mine—
(1) Are in proper condition and safe (i) That it is safe to move the loco-
to operate in the service to which they motive; and
are put, without unnecessary peril to (ii) The maximum speed and other re-
life or limb; and strictions necessary for safely con-
(2) Have been inspected and tested as ducting the movement;
required by this part. (2)(i) The engineer in charge of the
(b) Any person (an entity of any type movement of the locomotive shall be
covered under 1 U.S.C. 1, including but notified in writing and inform all other
not limited to the following: a railroad; crew members in the cab of the pres-
a manager, supervisor, official, or ence of the non-complying locomotive
other employee or agent of a railroad; and the maximum speed and other re-
any owner, manufacturer, lessor, or strictions determined under paragraph
lessee of railroad equipment, track, or (a)(1)(ii) of this section.
facilities; any independent contractor (ii) A copy of the tag described in
providing goods or services to a rail- paragraph (a)(3) of this section may be
road; and any employee of such owner, used to provide the notification re-
manufacturer, lessor, lessee, or inde- quired by paragraph (a)(2)(i) of this sec-
pendent contractor) who violates any tion.
requirement of this part or of the Loco- (3) A tag bearing the words ‘‘non-
motive Inspection Act or causes the complying locomotive’’ and containing
violation of any such requirement is the following information, shall be se-
subject to a civil penalty of at least curely attached to the control stand on
$550 and not more than $11,000 per vio- each MU or control cab locomotive and
lation, except that: Penalties may be to the isolation switch or near the en-
assessed against individuals only for gine start switch on every other type
willful violations, and, where a grossly of locomotive—
negligent violation or a pattern of re- (i) The locomotive number;
peated violations has created an immi- (ii) The name of the inspecting car-
nent hazard of death or injury to per- rier;
sons, or has caused death or injury, a (iii) The inspection location and
penalty not to exceed $27,000 per viola- date;
tion may be assessed. Each day a viola- (iv) The nature of each defect;
tion continues shall constitute a sepa- (v) Movement restrictions, if any;
rate offense. See appendix B to this (vi) The destination; and
424
(vii) The signature of the person § 229.13 Control of locomotives.

making the determinations required by
Except when a locomotive is moved
this paragraph.
(b) A locomotive that develops a non- in accordance with § 229.9, whenever
complying condition enroute may con- two or more locomotives are coupled in
tinue to utilize its propelling motors, if remote or multiple control, the propul-
the requirements of paragraph (a) are sion system, the sanders, and the
otherwise fully met, until the earlier power brake system of each locomotive
of— shall respond to control from the cab of
(1) The next calendar day inspection, the controlling locomotive. If a dy-
or namic brake or regenerative brake sys-
(2) The nearest forward point where tem is in use, that portion of the sys-
the repairs necessary to bring it into tem in use shall respond to control
compliance can be made. from the cab of the controlling loco-
(c) A non-complying locomotive may motive.
be moved lite or dead within a yard, at
speeds not in excess of 10 miles per § 229.14 Non-MU control cab loco-
motives.
hour, without meeting the require-
ments of paragraph (a) of this section if On each non-MU control cab loco-
the movement is solely for the purpose motive, only those components added
of repair. The carrier is responsible to to the passenger car that enable it to
insure that the movement may be safe- serve as a lead locomotive, control the
ly made. locomotive actually providing tractive
(d) A dead locomotive may not con- power, and otherwise control the move-
tinue in use following a calendar day ment of the train, are subject to this
inspection as a controlling locomotive part.
or at the head of a train or locomotive
consist. § 229.17 Accident reports.
(e) A locomotive does not cease to be (a) In the case of an accident due to
a locomotive because its propelling a failure from any cause of a loco-
motor or motors are inoperative or be- motive or any part or appurtenance of
cause its control jumper cables are not a locomotive, or a person coming in
connected. contact with an electrically energized
(f) Nothing in this section authorizes part or appurtenance, that results in
the movement of a locomotive subject serious injury or death of one or more
to a Special Notice for Repair unless persons, the carrier operating the loco-
the movement is made in accordance motive shall immediately report the
with the restrictions contained in the accident by toll free telephone, Area
Special Notice. Code 800–424–0201. The report shall
(g) Paragraphs (a), (b), and (c) of this state the nature of the accident, num-
section shall not apply to sanitation ber of persons killed or seriously in-
conditions covered by §§ 229.137 and jured, the place at which it occurred,
229.139. Sections 229.137 and 229.139 set the location at which the locomotive
forth specific requirements for the or the affected parts may be inspected
movement and repair of locomotives by the FRA, and the name, title and
with defective sanitation compart- phone number of the person making
ments. the call. The locomotive or the part or
[45 FR 21109, Mar. 31, 1980, as amended at 61 parts affected by the accident shall be
FR 8887, Mar. 6, 1996; 67 FR 16050, Apr. 4, 2002] preserved intact by the carrier until
after the FRA inspection.
§ 229.11 Locomotive identification. (b) Written confirmation of the oral
(a) The letter ‘‘F’’ shall be legibly report required by paragraph (a) of this
shown on each side of every locomotive section shall be immediately mailed to
near the end which for identification the Federal Railroad Administration,
purposes will be known as the front RRS–25, Washington, DC 20590, and con-
end. tain a detailed description of the acci-
(b) The locomotive number shall be dent, including to the extent known,
displayed in clearly legible numbers on the causes and the number of persons
each side of each locomotive. killed and injured. The written report
425
§ 229.19 49 CFR Ch. II (10–1–07 Edition)
required by this paragraph is in addi- found, a separate, individual report

tion to the reporting requirements of shall be made containing the name of
49 CFR part 225. the carrier; the initials and number of
the locomotive; the place, date, and
§ 229.19 Prior waivers. time of the inspection; the non-com-
All waivers of every form and type plying conditions found; and the signa-
from any requirement of any order or ture of the inspector. Except as pro-
regulation implementing the Loco- vided in §§ 229.9, 229.137, and 229.139, any
motive Inspection Act, applicable to conditions that constitute non-compli-
one or more locomotives except those ance with any requirement of this part
propelled by steam power, shall lapse shall be repaired before the locomotive
on August 31, 1980, unless a copy of the is used. Except with respect to condi-
grant of waiver is filed prior to that tions that do not comply with § 229.137
date with the Office of Safety (RRS–23), or § 229.139, a notation shall be made on
Federal Railroad Administration, the report indicating the nature of the
Washington, DC 20590. repairs that have been made. Repairs
made for conditions that do not comply
Subpart B—Inspections and Tests with § 229.137 or § 229.139 may be noted
on the report, or in electronic form. A
§ 229.21 Daily inspection. notation shall be made on the report
(a) Except for MU locomotives, each indicating the nature of the repairs
locomotive in use shall be inspected at that have been made. The person mak-
least once during each calendar day. A ing the repairs shall sign the report.
written report of the inspection shall The report shall be filed in the office of
be made. This report shall contain the the carrier at the place where the in-
name of the carrier; the initials and spection is made or at one central loca-
number of the locomotive; the place, tion and retained for at least 92 days.
date and time of the inspection; a de- (c) Each carrier shall designate quali-
scription of the non-complying condi- fied persons to make the inspections
tions disclosed by the inspection; and required by this section.
the signature of the employee making [45 FR 21109, Mar. 31, 1980, as amended at 50
the inspection. Except as provided in FR 6953, Feb. 19, 1985; 67 FR 16050, Apr. 4,
§§ 229.9, 229.137, and 229.139, any condi- 2002]
tions that constitute non-compliance
with any requirement of this part shall § 229.23 Periodic inspection: General.
be repaired before the locomotive is (a) Each locomotive and steam gener-
used. Except with respect to conditions ator shall be inspected at each periodic
that do not comply with § 229.137 or inspection to determine whether it
§ 229.139, a notation shall be made on complies with this part. Except as pro-
the report indicating the nature of the vided in § 229.9, all non-complying con-
repairs that have been made. Repairs ditions shall be repaired before the lo-
made for conditions that do not comply comotive or the steam generator is
with § 229.137 or § 229.139 may be noted used. Except as provided in § 229.33, the
on the report, or in electronic form. interval between any two periodic in-
The person making the repairs shall spections may not exceed 92 days. Peri-
sign the report. The report shall be odic inspections shall only be made
filed and retained for at least 92 days in where adequate facilities are available.
the office of the carrier at the terminal At each periodic inspection, a loco-
at which the locomotive is cared for. A motive shall be positioned so that a
record shall be maintained on each lo- person may safely inspect the entire
comotive showing the place, date and underneath portion of the locomotive.
time of the previous inspection. (b) The periodic inspection of the
(b) Each MU locomotive in use shall steam generator may be postponed in-
be inspected at least once during each definitely if the water suction pipe to
calendar day and a written report of the water pump and the leads to the
the inspection shall be made. This remain switch (steam generator switch)
port may be part of a single master re- are disconnected, and the train line
port covering an entire group of MU’s. shut-off-valve is wired closed or a blind
If any non-complying conditions are gasket applied. However, the steam
426
generator shall be so inspected before comotive. If the Form FRA F 6180–49A

it is returned to use. removed from the locomotive is not
(c) After April 30, 1980, each new loco- clearly legible, the secondary record
motive shall receive an initial periodic shall be retained until the Form FRA F
inspection before it is used. Except as 6180–49A for the succeeding year is
provided in § 229.33, each locomotive in filed. The Form F 6180–49A removed
use on or before April 30, 1980, shall re- from a locomotive shall be retained
ceive an initial periodic inspection until the Form FRA F 6180–49A for the
within 92 days of the last 30-day inspec- succeeding year is filed.
tion performed under the prior rules (49
CFR 230.331 and 230.451). At the initial FR 39852, June 12, 1980; 50 FR 6953, Feb. 19,
periodic inspection, the date and place 1985]
of the last tests performed that are the
equivalent of the tests required by § 229.25 Tests: Every periodic inspec-
§§ 229.27, 229.29, and 229.31 shall be en- tion.
tered on Form FRA F 6180–49A. These
Each periodic inspection shall in-
dates shall determine when the tests
clude the following:
first become due under §§ 229.27, 229.29,
(a) All mechanical gauges used by the
and 229.31. Out of use credit may be
engineer to aid in the control or brak-
carried over from Form FRA F 6180–49
ing of the train or locomotive, except
and entered on Form FRA F 6180–49A.
load meters used in conjunction with
(d) Each periodic inspection shall be
an auxiliary brake system, shall be
recorded on Form FRA F 6180–49A. The
tested by comparison with a dead-
form shall be signed by the person con-
weight tester or a test gauge designed
ducting the inspection and certified by
for this purpose.
that person’s supervisor that the work
was done. The form shall be displayed (b) All electrical devices and visible
under a transparent cover in a con- insulation shall be inspected.
spicuous place in the cab of each loco- (c) All cable connections between lo-
motive. comotives and jumpers that are de-
(e) At the first periodic inspection in signed to carry 600 volts or more shall
each calendar year the carrier shall re- be thoroughly cleaned, inspected, and
move from each locomotive Form FRA tested for continuity.
F 6180–49A covering the previous cal- (d) Each steam generator that is not
endar year. If a locomotive does not re- isolated as prescribed in § 229.23(b) shall
ceive its first periodic inspection in a be inspected and tested as follows:
calendar year before April 2 because it (1) All automatic controls, alarms
is out of use, the form shall be prompt- and protective devices shall be in-
ly replaced. The Form FRA F 6180–49A spected and tested.
covering the preceding year for each (2) Steam pressure gauges shall be
locomotive, in or out of use, shall be tested by comparison with a dead-
signed by the railroad official respon- weight tester or a test gauge designed
sible for the locomotive and filed as re- for this purpose. The siphons to the
quired in § 229.23(f). The date and place steam gauges shall be removed and
of the last periodic inspection and the their connections examined to deter-
date and place of the last test per- mine that they are open.
formed under §§ 229.27, 229.29, and 229.31 (3) Safety valves shall be set and
shall be transferred to the replacement tested under steam after the steam
Form FRA F 6180–49A. pressure gauge is tested.
(f) The mechanical officer of each (e) Event recorder. A microprocessor-
railroad who is in charge of a loco- based self-monitoring event recorder, if
motive shall maintain in his office a installed, is exempt from periodic in-
secondary record of the information re- spection under paragraphs (e)(1)
ported on Form FRA F 6180–49A under through (e)(5) of this section and shall
this part. The secondary record shall be inspected annually as required by
be retained until Form FRA F 6180–49A § 229.27(d). Other types of event record-
has been removed from the locomotive ers, if installed, shall be inspected,
and filed in the railroad office of the maintained, and tested in accordance
mechanical officer in charge of the lo- with instructions of the manufacturer,
427
§ 229.27 49 CFR Ch. II (10–1–07 Edition)
supplier, or owner thereof and in ac- spections prescribed in paragraph (d) of

cordance with the following criteria: this section. All testing under this sec-
(1) A written or electronic copy of tion shall be performed at intervals
the instructions in use shall be kept at that do not exceed 368 calendar days.
the point where the work is performed (a)(1) The filtering devices or dirt
and a hard-copy version, written in the collectors located in the main reservoir
English language, shall be made avail- supply line to the air brake system
able upon request of a governmental shall be cleaned, repaired, or replaced.
agent empowered to request it. (2) Brake cylinder relay valve por-
(2) The event recorder shall be tested tions, main reservoir safety valves,
before any maintenance work is per- brake pipe vent valve portions, feed
formed on it. At a minimum, the event and reducing valve portions in the air
recorder test shall include cycling, as brake system (including related dirt
practicable, all required recording ele- collectors and filters) shall be cleaned,
ments and determining the full range repaired, and tested.
of each element by reading out re- (3) The date and place of the clean-
corded data. ing, repairing, and testing shall be re-
(3) If the pre-maintenance test does corded on Form FRA F 6180–49A and
not reveal that the device is recording the person performing the work and
all the specified data and that all re- that person’s supervisor shall sign the
cordings are within the designed re- form. A record of the parts of the air
cording elements, this fact shall be brake system that are cleaned, re-
noted, and maintenance and testing paired, and tested shall be kept in the
shall be performed as necessary until a carrier’s files or in the cab of the loco-
subsequent test is successful. motive.
(4) When a successful test is accom- (4) At its option, a carrier may frag-
plished, a copy of the data-verification ment the work required by this para-
results shall be maintained in any me- graph. In that event, a separate air
dium with the maintenance records for record shall be maintained under a
the locomotive until the next one is transparent cover in the cab. The air
filed. record shall include the locomotive
(5) A railroad’s event recorder peri- number, a list of the air brake compo-
odic maintenance shall be considered nents, and the date and place of the
effective if 90 percent of the recorders last inspection and test of each compo-
on locomotives inbound for periodic in- nent. The signature of the person per-
spection in any given calendar month forming the work and the signature of
are still fully functional; maintenance that person’s supervisor shall be in-
practices and test intervals shall be ad- cluded for each component. A duplicate
justed as necessary to yield effective record shall be maintained in the car-
periodic maintenance. rier’s files.
[45 FR 21109, Mar. 31, 1980, as amended at 58 (b) The load meter shall be tested.
FR 36614, July 8, 1993; 60 FR 27905, May 26, Each device used by the engineer to aid
1995; 66 FR 4192, Jan. 17, 2001; 70 FR 37939, in the control or braking of the train
June 30, 2005] or locomotive that provides an indica-
tion of air pressure electronically shall
§ 229.27 Annual tests. be tested by comparison with a test
A locomotive, except for a DMU or gauge or self-test designed for this pur-
MU locomotive, shall be subjected to pose. An error of greater than five per-
the tests and inspections prescribed in cent or three pounds per square inch
paragraphs (a), (b), and (c) of this sec- shall be corrected. The date and place
tion. A DMU locomotive or an MU lo- of the test shall be recorded on Form
comotive shall be subjected to the tests FRA F 6180–49A, and the person con-
and inspections prescribed in para- ducting the test and that person’s su-
graphs (b) and (c) of this section. A lo- pervisor shall sign the form.
comotive, including a DMU locomotive (c) Each steam generator that is not
or an MU locomotive, equipped with a isolated as prescribed in § 229.23(b),
microprocessor-based event recorder shall be subjected to a hydrostatic
that includes a self-monitoring feature, pressure at least 25 percent above the
shall be subjected to the tests and in- working pressure and the visual return
428
water-flow indicator shall be removed cluding related dirt collectors and fil-
and inspected. ters) shall be cleaned, repaired, and
(d) A microprocessor-based event re- tested at intervals that do not exceed
corder with a self-monitoring feature 736 calendar days. The date and place
equipped to verify that all data ele- of the cleaning, repairing, and testing
ments required by this part are re- shall be recorded on Form FRA F 6180–
corded, requires further maintenance 49A, and the person performing the
only if either or both of the following work and that person’s supervisor shall
conditions exist: sign the form. A record of the parts of
(1) The self-monitoring feature dis- the air brake system that are cleaned,
plays an indication of a failure. If a repaired, and tested shall be kept in
failure is displayed, further mainte- the carrier’s files or in the cab of the
nance and testing must be performed locomotive.
until a subsequent test is successful. (b) At its option, a carrier may frag-
When a successful test is accomplished, ment the work required by this sec-
a record, in any medium, shall be made tion. In that event, a separate air
of that fact and of any maintenance record shall be maintained under a
work necessary to achieve the success- transparent cover in the cab. The air
ful result. This record shall be avail- record shall include the locomotive
able at the location where the loco- number, a list of the air brake compo-
motive is maintained until a record of nents, and the date and place of the in-
a subsequent successful test is filed. spection and test of each component.
(2) A download of the event recorder, The signature of the person performing
taken within the preceding 30 days and the work and the signature of that per-
reviewed for the previous 48 hours of son’s supervisor shall be included for
locomotive operation, reveals a failure each component. A duplicate record
to record a regularly recurring data shall be maintained in the carrier’s
element or reveals that any required files.
data element is not representative of
the actual operations of the locomotive § 229.31 Main reservoir tests.
during this time period. If the review is (a) Before it is placed in service, each
not successful, further maintenance main reservoir other than an alu-
and testing shall be performed until a minum reservoir shall be subjected to a
subsequent test is successful. When a pneumatic or hydrostatic pressure of
successful test is accomplished, a at least 25 percent more than the max-
record, in any medium, shall be made imum working pressure fixed by the
of that fact and of any maintenance chief mechanical officer. The test date,
work necessary to achieve the success- place, and pressure shall be recorded on
ful result. This record shall be kept at Form FRA F 6180–49A, block eighteen.
the location where the locomotive is Except as provided in paragraph (c) of
maintained until a record of a subse- this section, at intervals that do not
quent successful test is filed. The exceed 736 calendar days, each main
download shall be taken from informa- reservoir other than an aluminum res-
tion stored in the certified crash- ervoir shall be subjected to a hydro-
worthy crash hardened event recorder static pressure of at least 25 percent
memory module if the locomotive is so more than the maximum working pres-
equipped. sure fixed by the chief mechanical offi-
[45 FR 21109, Mar. 31, 1980, as amended at 66 cer. The test date, place, and pressure
FR 4192, Jan. 17, 2001; 70 FR 37940, June 30, shall be recorded on Form FRA F 6180–
2005] 49A, and the person performing the test
and that person’s supervisor shall sign
§ 229.29 Biennial tests. the form.
(a) Except for the valves and valve (b) Except as provided in paragraph
portions on non-MU locomotives that (c) of this section, each main reservoir
are cleaned, repaired, and tested as pre- other than an aluminum reservoir shall
scribed in § 229.27(a), all valves, valve be hammer tested over its entire sur-
portions, MU locomotive brake cyl- face while the reservoir is empty at in-
inders and electric-pneumatic master tervals that do not exceed 736 calendar
controllers in the air brake system (in- days. The test date and place shall be
429
§ 229.33 49 CFR Ch. II (10–1–07 Edition)
recorded on Form FRA F 6180–49A, and ical officer, but not less than 250 p.s.i.
the person performing the test and The test date, place, and pressure shall
that person’s supervisor shall sign the be recorded on Form FRA F 6180–49A,
form. and the person conducting the test and
(c) Each welded main reservoir origi- that person’s supervisor shall sign the
nally constructed to withstand at least form.
five times the maximum working pres-
sure fixed by the chief mechanical offi- [45 FR 21109, Mar. 31, 1980, as amended at 71
cer may be drilled over its entire sur- FR 61857, Oct. 19, 2006]
face with telltale holes that are three-
§ 229.33 Out-of-use credit.
sixteenths of an inch in diameter. The
holes shall be spaced not more than 12 When a locomotive is out of use for 30
inches apart, measured both longitu- or more consecutive days or is out of
dinally and circumferentially, and use when it is due for any test or in-
drilled from the outer surface to an ex- spection required by § 229.23, 229.25,
treme depth determined by the for- 229.27, 229.29, or 229.31, an out-of-use no-
mula— tation showing the number of out-of-
D = (.6PR/S–0.6P) use days shall be made on an inspec-
tion line on Form FRA F 6180–49A. A
Where:
supervisory employee of the carrier
D = extreme depth of telltale holes in inches
who is responsible for the locomotive
but in no case less than one-sixteenth
inch; shall attest to the notation. If the loco-
P = certified working pressure in pounds per motive is out of use for one or more pe-
square inch; riods of at least 30 consecutive days
S = one-fifth of the minimum specified ten- each, the interval prescribed for any
sile strength of the material in pounds test or inspection under this part may
per square inch; and be extended by the number of days in
R = inside radius of the reservoir in inches.
each period the locomotive is out of
One row of holes shall be drilled use since the last test or inspection in
lengthwise of the reservoir on a line question. A movement made in accord-
intersecting the drain opening. A res- ance with § 229.9 is not a use for pur-
ervoir so drilled does not have to meet poses of determining the period of the
the requirements of paragraphs (a) and out-of-use credit.
(b) of this section, except the require-
ment for a pneumatic or hydrostatic Subpart C—Safety Requirements
test before it is placed in use. When-
ever any such telltale hole shall have GENERAL REQUIREMENTS
penetrated the interior of any res-
ervoir, the reservoir shall be perma- § 229.41 Protection against personal
nently withdrawn from service. A res- injury.
ervoir now in use may be drilled in lieu
Fan openings, exposed gears and pin-
of the tests provided for by paragraphs
ions, exposed moving parts of mecha-
(a) and (b) of this section, but shall re-
nisms, pipes carrying hot gases and
ceive a hydrostatic test before it is re-
high-voltage equipment, switches, cir-
turned to use or may receive a pneu-
cuit breakers, contactors, relays, grid
matic test if conducted by the manu-
resistors, and fuses shall be in non-haz-
facturer in an appropriately safe envi-
ardous locations or equipped with
ronment.
(d) Each aluminum main reservoir guards to prevent personal injury.
before being placed in use and at inter-
§ 229.43 Exhaust and battery gases.
vals that do not exceed 736 calendar
days thereafter, shall be— (a) Products of combustion shall be
(1) Cleaned and given a thorough vis- released entirely outside the cab and
ual inspection of all internal and exter- other compartments. Exhaust stacks
nal surfaces for evidence of defects or shall be of sufficient height or other
deterioration; and means provided to prevent entry of
(2) Subjected to a hydrostatic pres- products of combustion into the cab or
sure at least twice the maximum work- other compartments under usual oper-
ing pressure fixed by the chief mechan- ating conditions.
430
(b) Battery containers shall be vent- or vestibule. The words ‘‘Emergency

ed and batteries kept from gassing ex- Brake Valve’’ shall be legibly stenciled
cessively. or marked near each valve or shall be
shown on an adjacent badge plate.
§ 229.45 General condition.
All systems and components on a lo- FR 61857, Oct. 19, 2006]
comotive shall be free of conditions
that endanger the safety of the crew, § 229.49 Main reservoir system.
locomotive or train. These conditions
(a)(1) The main reservoir system of
include: insecure attachment of compo-
each locomotive shall be equipped with
nents, including third rail shoes or
at least one safety valve that shall pre-
beams, traction motors and motor gear
vent an accumulation of pressure of
cases, and fuel tanks; fuel, oil, water,
more than 15 pounds per square inch
steam, and other leaks and accumula-
above the maximum working air pres-
tions of oil on electrical equipment
sure fixed by the chief mechanical offi-
that create a personal injury hazard;
cer of the carrier operating the loco-
improper functioning of components,
motive.
including slack adjusters, pantograph
operating cylinders, circuit breakers, (2) Except for non-equipped MU loco-
contactors, relays, switches, and fuses; motives built prior to January 1, 1981,
and cracks, breaks, excessive wear and each locomotive that has a pneumati-
other structural infirmities of compo- cally actuated system of power con-
nents, including quill drives, axles, trols shall be equipped with a separate
gears, pinions, pantograph shoes and reservoir of air under pressure to be
horns, third rail beams, traction motor used for operating those power con-
gear cases, and fuel tanks. trols. The reservoir shall be provided
with means to automatically prevent
BRAKE SYSTEM the loss of pressure in the event of a
failure of main air pressure, have stor-
§ 229.46 Brakes: General. age capacity for not less than three
The carrier shall know before each complete operating cycles of control
trip that the locomotive brakes and de- equipment and be located where it is
vices for regulating all pressures, in- not exposed to damage.
cluding but not limited to the auto- (b) A governor shall be provided that
matic and independent brake valves, stops and starts or unloads and loads
operate as intended and that the water the air compressor within 5 pounds per
and oil have been drained from the air square inch above or below the max-
brake system. imum working air pressure fixed by the
carrier.
§ 229.47 Emergency brake valve. (c) Each compressor governor used in
(a) Except for locomotives with cabs connection with the automatic air
designed for occupancy by only one brake system shall be adjusted so that
person, each road locomotive shall be the compressor will start when the
equipped with a brake pipe valve that main reservoir pressure is not less than
is accessible to a member of the crew, 15 pounds per square inch above the
other than the engineer, from that maximum brake pipe pressure fixed by
crew member’s position in the cab. On the carrier and will not stop the com-
car body type locomotives, a brake pressor until the reservoir pressure has
pipe valve shall be attached to the wall increased at least 10 pounds.
adjacent to each end exit door. The
words ‘‘Emergency Brake Valve’’ shall § 229.51 Aluminum main reservoirs.
be legibly stenciled or marked near (a) Aluminum main reservoirs used
each brake pipe valve or shall be shown on locomotives shall be designed and
on an adjacent badge plate. fabricated as follows:
(b) DMU, MU, and control cab loco- (1) The heads and shell shall be made
motives operated in road service shall of Aluminum Association Alloy No.
be equipped with an emergency brake 5083–0, produced in accordance with
valve that is accessible to another crew American Society of Mechnical Engi-
member in the passenger compartment neers (ASME) Specification SB–209, as
431
§ 229.53 49 CFR Ch. II (10–1–07 Edition)
defined in the ‘‘ASME Boiler and Pres- (b) When the brakes are applied on a
sure Vessel Code’’ (1971 edition), sec- standing locomotive, the brake cyl-
tion II, Part B, page 123, with a min- inder piston travel may not exceed 11⁄2
imum tensile strength of 40,000 p.s.i. (40 inches less than the total possible pis-
k.s.i.). ton travel. The total possible piston
(2) Each aluminum main reservoir travel for each locomotive shall be en-
shall be designed and fabricated in ac- tered on Form FRA F 6180–49A.
cordance with the ‘‘ASME Boiler and (c) The minimum brake cylinder
Pressure Vessel Code,’’ section VIII, pressure shall be 30 pounds per square
Division I (1971 edition), except as oth- inch.
erwise provided in this part.
(3) An aluminum main reservoir shall § 229.57 Foundation brake gear.
be constructed to withstand at least A lever, rod, brake beam, hanger, or
five times its maximum working pres- pin may not be worn through more
sure or 800 p.s.i., whichever is greater. than 30 percent of its cross-sectional
(4) Each aluminum main reservoir area, cracked, broken, or missing. All
shall have at least two inspection open- pins shall be secured in place with
ings to permit complete circumferen- cotters, split keys, or nuts. Brake
tial visual observation of the interior shoes shall be fastened with a brake
surface. On reservoirs less than 18 shoe key and aligned in relation to the
inches in diameter, the size of each in- wheel to prevent localized thermal
spection opening shall be at least that stress in the edge of the rim or the
of 11⁄2-inch threaded iron pipe, and on flange.
reservoirs 18 or more inches in diame-
ter, the size of each opening shall be at § 229.59 Leakage.
least that of 2-inch threaded iron pipe.
(a) Leakage from the main air res-
(b) The following publications, which
ervoir and related piping may not ex-
contain the industry standards incor-
ceed an average of 3 pounds per square
porated by reference in paragraph (a) of
inch per minute for 3 minutes after the
this section, may be obtained from the
pressure has been reduced to 60 percent
publishers and are also on file in the
Office of Safety of the Federal Railroad of the maximum pressure.
Administration, Washington, DC 20590. (b) Brake pipe leakage may not ex-
Sections II and VIII of the ‘‘ASME ceed 5 pounds per square inch per
Boiler and Pressure Vessel Code’’ (1971 minute.
edition) are published by the American (c) With a full service application at
Society of Mechanical Engineers, maximum brake pipe pressure and with
United Engineering Center, 345 East communication to the brake cylinders
47th Street, New York, New York 10017. closed, the brakes shall remain applied
at least 5 minutes.
§ 229.53 Brake gauges. (d) Leakage from control air res-
ervoir, related piping, and pneumati-
All mechanical gauges and all de-
cally operated controls may not exceed
vices providing indication of air pres-
sure electronically that are used by the an average of 3 pounds per square inch
engineer to aid in the control or brak- per minute for 3 minutes.
ing of the train or locomotive shall be DRAFT SYSTEM
located so that they may be conven-
iently read from the engineer’s usual § 229.61 Draft system.
position during operation of the loco-
(a) A coupler may not have any of
motive. A gauge or device shall not be
the following conditions:
more than five percent or three pounds
(1) A distance between the guard arm
per square inch in error, whichever is
and the knuckle nose of more than 51⁄8
less.
inches on standard type couplers (MCB
[66 FR 4192, Jan. 17, 2001] contour 1904) or more than 55⁄16 inches
on D&E couplers.
§ 229.55 Piston travel. (2) A crack or break in the side wall
(a) Brake cylinder piston travel shall or pin bearing bosses outside of the
be sufficient to provide brake shoe shaded areas shown in Figure 1 or in
clearance when the brakes are released. the pulling face of the knuckle.
432
(3) A coupler assembly without anti- from dropping to track structure in

creep protection. event of a hanger or spring failure.
(4) Free slack in the coupler or draw- (b) An elliptical spring may not have
bar not absorbed by friction devices or its top (long) leaf broken or any other
draft gears that exceeds one-half three leaves broken, except when that
inches. spring is part of a nest of three or more
(5) A broken or cracked coupler car- springs and none of the other springs in
rier. the nest has its top leaf or any other
(6) A broken or cracked yoke. three leaves broken. An outer coil
(7) A broken draft gear. spring or saddle may not be broken. An
(b) A device shall be provided under equalizer, hanger, bolt, gib, or pin may
the lower end of all drawbar pins and not be cracked or broken. A coil spring
articulated connection pins to prevent may not be fully compressed when the
the pin from falling out of place in case locomotive is at rest.
of breakage. (c) A shock absorber may not be bro-
SUSPENSION SYSTEM ken or leaking clearly formed droplets
of oil or other fluid.
§ 229.63 Lateral motion.
§ 229.67 Trucks.
(a) Except as provided in paragraph
(b), the total uncontrolled lateral mo- (a) The male center plate shall ex-
tion between the hubs of the wheels tend into the female center plate at
and boxes, between boxes and pedestals least 3⁄4 inch. On trucks constructed to
or both, on any pair of wheels may not transmit tractive effort through the
exceed 1 inch on non-powered axles and center plate or center pin, the male
friction bearing powered axles, or 3⁄4 center plate shall extend into the fe-
inch on all other powered axles. male center plate at least 11⁄2 inches.
(b) The total uncontrolled lateral Maximum lost motion in a center plate
motion may not exceed 11⁄4 inches on assemblage may not exceed 1⁄2 inch.
the center axle of three-axle trucks. (b) Each locomotive shall have a de-
vice or securing arrangement to pre-
§ 229.64 Plain bearings. vent the truck and locomotive body
A plain bearing box shall contain from separating in case of derailment.
visible free oil and may not be cracked (c) A truck may not have a loose tie
to the extent that it will leak oil. bar or a cracked or broken center cast-
ing, motor suspension lug, equalizer,
§ 229.65 Spring rigging. hanger, gib or pin. A truck frame may
(a) Protective construction or safety not be broken or have a crack in a
hangers shall be provided to prevent stress area that may affect its struc-
spring planks, spring seats or bolsters tural integrity.
433
EC01AP91.004</GPH>
§ 229.69 49 CFR Ch. II (10–1–07 Edition)
§ 229.69 Side bearings. on wide flange wheels may not be less

(a) Friction side bearings with than 53 inches or more than 531⁄4 inches.
springs designed to carry weight may (d) The distance back to back of
not have more than 25 percent of the flanges of wheels mounted on the same
springs in any one nest broken. axle shall not vary more than 1⁄4 inch.
(b) Friction side bearings may not be § 229.75 Wheels and tire defects.
run in contact unless designed to carry
weight. Maximum clearance of side Wheels and tires may not have any of
bearings may not exceed one-fourth the following conditions:
inch on each side or a total of one-half (a) A single flat spot that is 21⁄2
inch on both sides, except where more inches or more in length, or two ad-
than two side bearings are used under joining spots that are each two or more
the same rigid superstructure. The inches in length.
clearance on one pair of side bearings (b) A gouge or chip in the flange that
under the same rigid superstructure is more than 11⁄2 inches in length and 1⁄2
shall not exceed one-fourth inch on inch in width.
each side or a total of one-half inch on (c) A broken rim, if the tread, meas-
both sides; the other side bearings ured from the flange at a point five-
under the same rigid superstructure eighths inch above the tread, is less
may have one-half inch clearance on than 33⁄4 inches in width.
each side or a total of 1 inch on both (d) A shelled-out spot 21⁄2 inches or
sides. These clearances apply where the more in length, or two adjoining spots
spread of the side bearings is 50 inches that are each two or more inches in
or less; where the spread is greater, the length.
side bearing clearance may only be in- (e) A seam running lengthwise that is
creased proportionately. within 33⁄4 inches of the flange.
(f) A flange worn to a 7⁄8 inch thick-
§ 229.71 Clearance above top of rail. ness or less, gauged at a point 3⁄8 inch
No part or appliance of a locomotive above the tread.
except the wheels, flexible nonmetallic (g) A tread worn hollow 5⁄16 inch or
sand pipe extension tips, and trip cock more on a locomotive in road service
arms may be less than 21⁄2 inches above or 3⁄8 inch or more on a locomotive in
the top of rail. switching service.
(h) A flange height of 11⁄2 inches or
§ 229.73 Wheel sets. more measured from tread to the top of
(a) The variation in the circum- the flange.
ference of wheels on the same axle may (i) Tires less than 11⁄2 inches thick.
not exceed 1⁄4 inch (two tape sizes) (j) Rims less than 1 inch thick on a
when applied or turned. locomotive in road service or less than
3⁄4 inch on a locomotive in yard service.
(b) The maximum variation in the di-
ameter between any two wheel sets in (k) A crack or break in the flange,
a three-powered-axle truck may not ex- tread, rim, plate, or hub.
ceed 3⁄4 inch, except that when shims (l) A loose wheel or tire.
are used at the journal box springs to (m) Fusion welding may not be used
compensate for wheel diameter vari- on tires or steel wheels of locomotives,
ation, the maximum variation may not except for the repair of flat spots and
exceed 11⁄4 inch. The maximum vari- worn flanges on locomotives used ex-
ation in the diameter between any two clusively in yard service. A wheel that
wheel sets on different trucks on a lo- has been welded is a welded wheel for
comotive that has three-powered-axle the life of the wheel.
trucks may not exceed 11⁄4 inch. The di-
ameter of a wheel set is the average di- ELECTRICAL SYSTEM
ameter of the two wheels on an axle.
(c) On standard gauge locomotives, § 229.77 Current collectors.
the distance between the inside gauge (a) Pantographs shall be so arranged
of the flanges on non-wide flange that they can be operated from the en-
wheels may not be less than 53 inches gineer’s normal position in the cab.
or more than 531⁄2 inches. The distance Pantographs that automatically rise
between the inside gauge of the flanges when released shall have an automatic
434
locking device to secure them in the er the switches are open or closed.
down position. Switches that should not be operated
(b) Each pantograph operating on an while under load shall be legibly
overhead trolley wire shall have a de- marked with the words ‘‘must not be
vice for locking and grounding it in the operated under load’’ and the voltage
lowest position, that can be applied carried.
and released only from a position
where the operator has a clear view of § 229.89 Jumpers; cable connections.
the pantograph and roof without (a) Jumpers and cable connections
mounting the roof. between locomotives shall be so lo-
cated and guarded to provide sufficient
§ 229.79 Third rail shoes.
vertical clearance. They may not hang
When locomotives are equipped with with one end free.
both third rail and overhead collectors, (b) Cable and jumper connections be-
third-rail shoes shall be deenergized tween locomotive may not have any of
while in yards and at stations when the following conditions:
current collection is exclusively from (1) Broken or badly chafed insulation.
the overhead conductor.
(2) Broken plugs, receptacles or ter-
§ 229.81 Emergency pole; shoe insula- minals.
tion. (3) Broken or protruding strands of
(a) Each locomotive equipped with a wire.
pantograph operating on an overhead § 229.91 Motors and generators.
trolley wire shall have an emergency
pole suitable for operating the panto- A motor or a generator may not have
graph. Unless the entire pole can be any of the following conditions:
safely handled, the part of the pole (a) Be shorted or grounded.
which can be safely handled shall be (b) Throw solder excessively.
marked to so indicate. This pole shall (c) Show evidence of coming apart.
be protected from moisture when not (d) Have an overheated support bear-
in use. ing.
(b) Each locomotive equipped with (e) Have an excessive accumulation
third-rail shoes shall have a device for of oil.
insulating the current collecting appa-
ratus from the third rail. INTERNAL COMBUSTION EQUIPMENT
§ 229.83 Insulation or grounding of § 229.93 Safety cut-off device.
metal parts.
The fuel line shall have a safety cut-
All unguarded noncurrent-carrying off device that—
metal parts subject to becoming (a) Is located adjacent to the fuel
charged shall be grounded or thor- supply tank or in another safe loca-
oughly insulated. tion;
§ 229.85 Doors and cover plates (b) Closes automatically when
marked ‘‘Danger’’. tripped and can be reset without haz-
ard; and
All doors and cover plates guarding
high voltage equipment shall be (c) Can be hand operated from clearly
marked ‘‘Danger—High Voltage’’ or marked locations, one inside the cab
with the word ‘‘Danger’’ and the nor- and one on each exterior side of the lo-
mal voltage carried by the parts so pro- comotive.
tected.
§ 229.95 Venting.
§ 229.87 Hand-operated switches. Fuel tank vent pipes may not dis-
All hand-operated switches carrying charge on the roof nor on or between
currents with a potential of more than the rails.
150 volts that may be operated while
under load shall be covered and shall be § 229.97 Grounding fuel tanks.
operative from the outside of the cover. Fuel tanks and related piping shall
Means shall be provided to show wheth- be electrically grounded.
435
§ 229.99 49 CFR Ch. II (10–1–07 Edition)
§ 229.99 Safety hangers. to prevent an accumulation of pressure

Drive shafts shall have safety hang- of more than five pounds per square
ers. inch above the allowed working pres-
sure. The safety valves shall be inde-
§ 229.101 Engines. pendently connected to the separator
(a) The temperature and pressure and located as closely to the separator
alarms, controls and related switches as possible without discharging inside
of internal combustion engines shall of the generator compartment. The
function properly. ends of the safety valve discharge lines
(b) Whenever an engine has been shut shall be located or protected so that
down due to mechanical or other prob- discharged steam does not create a haz-
lems, a distinctive warning notice giv- ard.
ing reason for the shut-down shall be
conspicuously attached near the engine § 229.111 Water-flow indicator.
starting control until repairs have been (a) Steam generators shall be
made. equipped with an illuminated visual re-
(c) Wheel slip/slide protection shall turn water-flow indicator.
be provided on a locomotive with an (b) Steam generators shall be
engine displaying a warning notice equipped with an operable test valve or
whenever required by § 229.115(b). other means of determining whether
the steam generator is filled with
STEAM GENERATORS water. The fill test valve may not dis-
§ 229.103 Safe working pressure; factor charge steam or hot water into the
of safety. steam generator compartment.
The safe working pressure for each § 229.113 Warning notice.
steam generator shall be fixed by the
chief mechanical officer of the carrier. Whenever any steam generator has
The minimum factor of safety shall be been shut down because of defects, a
four. The fixed safe working pressure distinctive warning notice giving rea-
shall be indicated on FRA Form F 6180– sons for the shut-down shall be con-
49A. spicuously attached near the steam
generator starting controls until the
§ 229.105 Steam generator number. necessary repairs have been made. The
An identification number shall be locomotive in which the steam gener-
marked on the steam generator’s sepa- ator displaying a warning notice is lo-
rator and that number entered on FRA cated may continue in service until the
Form F 6180–49A. next periodic inspection.
§ 229.107 Pressure gauge. CABS AND CAB EQUIPMENT

(a) Each steam generator shall have
§ 229.115 Slip/slide alarms.
an illuminated steam gauge that cor-
rectly indicates the pressure. The (a) Except for MU locomotives, each
steam pressure gauge shall be grad- locomotive used in road service shall
uated to not less than one and one-half be equipped with a device that provides
times the allowed working pressure of an audible or visual alarm in the cab of
the steam generator. either slipping or sliding wheels on
(b) Each steam pressure gauge on a powered axles under power. When two
steam generator shall have a siphon or more locomotives are coupled in
that prevents steam from entering the multiple or remote control, the wheel
gauge. The pipe connection shall di- slip/slide alarm of each locomotive
rectly enter the separator and shall be shall be shown in the cab of the con-
steam tight between the separator and trolling locomotive.
the gauge. (b) Except as provided in § 229.9, an
equipped locomotive may not be dis-
§ 229.109 Safety valves. patched in road service, or continue in
Every steam generator shall be road service following a daily inspec-
equipped with at least two safety tion, unless the wheel slip/slide protec-
valves that have a combined capacity tive device of whatever type—
436
(1) Is functioning for each powered no passageway is required through the

axle under power; and nose of car body locomotives. There
(2) Would function on each powered shall be a continuous barrier across the
axle if it were under power. full width of the end of a locomotive or
(c) Effective January 1, 1981, all new a continuous barrier between loco-
locomotives capable of being used in motives.
road service shall be equipped with a (f) Containers shall be provided for
device that detects wheel slip/slide for carrying fusees and torpedoes. A single
each powered axle when it is under container may be used if it has a parti-
power. The device shall produce an au- tion to separate fusees from torpedoes.
dible or visual alarm in the cab. Torpedoes shall be kept in a closed
metal container.
§ 229.117 Speed indicators.
(a) After December 31, 1980, each lo- § 229.121 Locomotive cab noise.
comotive used as a controlling loco- (a) Performance Standards for Loco-
motive at speeds in excess of 20 miles motives.
per hour shall be equipped with a speed
(1) When tested for static noise in ac-
indicator which is—
cordance with paragraph (a)(3) of this
(1) Accurate within ±3 miles per hour
section, all locomotives of each design
of actual speed at speeds of 10 to 30
or model that are manufactured after
miles per hour and accurate within ±5
October 29, 2007, shall average less than
miles per hour at speeds above 30 miles
or equal to 85 dB(A), with an upper 99%
per hour; and
confidence limit of 87 dB(A). The rail-
(2) Clearly readable from the engi-
road may rely on certification from the
neer’s normal position under all light
equipment manufacturer for a produc-
conditions.
tion run that this standard is met. The
(b) Each speed indicator required
manufacturer may determine the aver-
shall be tested as soon as possible after
age by testing a representative sample
departure by means of speed test sec-
of locomotives or an initial series of lo-
tions or equivalent procedures.
comotives, provided that there are
§ 229.119 Cabs, floors, and passage- suitable manufacturing quality con-
ways. trols and verification procedures in
place to ensure product consistency.
(a) Cab seats shall be securely
mounted and braced. Cab doors shall be (2) In the maintenance of loco-
equipped with a secure and operable motives that are manufactured in ac-
latching device. cordance with paragraph (a)(1) of this
(b) Cab windows of the lead loco- section, a railroad shall not make any
motive shall provide an undistorted alterations that cause the average
view of the right-of-way for the crew sound level for that locomotive design
from their normal position in the cab. or model to exceed:
(See also, Safety Glazing Standards, 49 (i) 82 dB(A) if the average sound level
CFR part 223, 44 FR 77348, Dec. 31, 1979.) for a locomotive design or model is less
(c) Floors of cabs, passageways, and than 82 dB(A); or
compartments shall be kept free from (ii) 85 dB(A) if the average sound
oil, water, waste or any obstruction level for a locomotive design or model
that creates a slipping, tripping or fire is 82 dB(A) to 85 dB(A), inclusive,
hazard. Floors shall be properly treated (3) The railroad or manufacturer
to provide secure footing. shall follow the static test protocols
(d) The cab shall be provided with set forth in appendix H of this part to
proper ventilation and with a heating determine compliance with paragraph
arrangement that maintains a tem- (a)(1) of this section; and, to the extent
perature of at least 50 degrees Fahr- reasonably necessary to evaluate the
enheit 6 inches above the center of effect of alterations during mainte-
each seat in the cab. nance, to determine compliance with
(e) Similar locomotives with open paragraph (a)(2) of this section.
end platforms coupled in multiple con- (b) Maintenance of locomotives. (1) If a
trol and used in road service shall have railroad receives an excessive noise re-
a means of safe passage between them; port, and if the condition giving rise to
437
§ 229.123 49 CFR Ch. II (10–1–07 Edition)
the noise is not required to be imme- § 229.123 Pilots, snowplows, end plates.
diately corrected under part 229, the After January 1, 1981, each lead loco-
railroad shall maintain a record of the motive shall be equipped with an end
report, and repair or replace the item plate that extends across both rails, a
identified as substantially contributing pilot, or a snowplow. The minimum
to the noise: clearance above the rail of the pilot,
(i) on or before the next periodic in- snowplow or end plate shall be 3 inches,
spection required by § 229.23; or and the maximum clearance 6 inches.
(ii) if the railroad determines that
the repair or replacement of the item § 229.125 Headlights and auxiliary
requires significant shop or material lights.
resources that are not readily avail- (a) Each lead locomotive used in road
able, at the time of the next major service shall have a headlight that pro-
equipment repair commonly used for duces a peak intensity of at least
the particular type of maintenance 200,000 candela. If a locomotive or loco-
needed. motive consist in road service is regu-
(2) Conditions that may lead a loco- larly required to run backward for any
motive cab occupant to file an exces- portion of its trip other than to pick up
sive noise report include, but are not a detached portion of its train or to
limited to: defective cab window seals; make terminal movements, it shall
defective cab door seals; broken or in- also have on its rear a headlight that
operative windows; deteriorated insula- produces at least 200,000 candela. Each
tion or insulation that has been re- headlight shall be arranged to illu-
moved for other reasons; broken or in- minate a person at least 800 feet ahead
operative doors; and air brakes that and in front of the headlight. For pur-
vent inside of the cab. poses of this section, a headlight shall
(3) A railroad has an obligation to re- be comprised of either one or two
spond to an excessive noise report that lamps.
a locomotive cab occupant files. The (1) If a locomotive is equipped with a
railroad meets its obligation to re- single-lamp headlight, the single lamp
spond to an excessive noise report, as shall produce a peak intensity of at
set forth in paragraph (b)(1) of this sec- least 200,000 candela. The following
tion, if the railroad makes a good faith lamps meet the standard set forth in
effort to identify the cause of the re- this paragraph (a)(1): a single operative
ported noise, and where the railroad is PAR–56, 200-watt, 30-volt lamp; or an
successful in determining the cause, if operative lamp of equivalent design
the railroad repairs or replaces the and intensity.
items cause the noise. (2) If a locomotive is equipped with a
(4) Recordkeeping. (i) A railroad shall dual-lamp headlight, a peak intensity
maintain a written or electronic record of at least 200,000 candela shall be pro-
of any excessive noise report, inspec- duced by the headlight based either on
tion, test, maintenance, replacement, a single lamp capable of individually
or repair completed pursuant to producing the required peak intensity
§ 229.121(b) and the date on which that or on the candela produced by the
inspection, test, maintenance, replace- headlight with both lamps illuminated.
ment, or repair occurred. If a railroad If both lamps are needed to produce the
elects to maintain an electronic required peak intensity, then both
record, the railroad must satisfy the lamps in the headlight shall be oper-
conditions listed in § 227.121(a)(2)(i) ational. The following lamps meet the
through (v). standard set forth in this paragraph
(ii) The railroad shall retain these (a)(2): a single operative PAR–56, 200-
records for 92 days if they are made watt, 30-volt lamp; two operative PAR–
pursuant to § 229.21, or for one year if 56, 350-watt, 75-volt lamps; or operative
they are made pursuant to § 229.23. lamp(s) of equivalent design and inten-
sity.
(iii)The railroad shall establish an in-
(b) Each locomotive or locomotive
ternal, auditable, monitorable system
consist used in yard service shall have
that contains these records.
two headlights, one located on the
front of the locomotive or locomotive
[71 FR 63136, Oct. 27, 2006]
438
consist and one on its rear. Each head- or an operative lamp of equivalent de-
light shall produce at least 60,000 can- sign and intensity.
dela and shall be arranged to illu- (3) The auxiliary lights shall be fo-
minate a person at least 300 feet ahead cused horizontally within 15 degrees of
and in front of the headlight. the longitudinal centerline of the loco-
(c) Headlights shall be provided with motive.
a device to dim the light. (e) Auxiliary lights required by para-
(d) Effective December 31, 1997, each graph (d) of this section may be ar-
lead locomotive operated at a speed ranged
greater than 20 miles per hour over one (1) to burn steadily or
or more public highway-rail crossings (2) flash on approach to a crossing.
shall be equipped with operative auxil- If the auxiliary lights are arranged to
iary lights, in addition to the headlight flash;
required by paragraph (a) or (b) of this (i) they shall flash alternately at a
section. A locomotive equipped on rate of at least 40 flashes per minute
March 6, 1996 with auxiliary lights in and at most 180 flashes per minute,
conformance with § 229.133 shall be (ii) the railroad’s operating rules
deemed to conform to this section until shall set a standard procedure for use
March 6, 2000. All locomotives in com- of flashing lights at public highway-
pliance with § 229.133(c) shall be deemed rail grade crossings, and
to conform to this section. Auxiliary (iii) the flashing feature may be acti-
lights shall be composed as follows: vated automatically, but shall be capa-
ble of manual activation and deactiva-
(1) Two white auxiliary lights shall
tion by the locomotive engineer.
be placed at the front of the loco-
(f) Auxiliary lights required by para-
motive to form a triangle with the
graph (d) of this section shall be con-
headlight.
tinuously illuminated immediately
(i) The auxiliary lights shall be at prior to and during movement of the
least 36 inches above the top of the locomotive, except as provided by rail-
rail, except on MU locomotives and road operating rules, timetable or spe-
control cab locomotives where such cial instructions, unless such exception
placement would compromise the in- is disapproved by FRA. A railroad may
tegrity of the car body or be otherwise except use of auxiliary lights at a spe-
impractical. Auxiliary lights on such cific public highway-rail grade crossing
MU locomotives and control cab loco- by designating that exception in the
motives shall be at least 24 inches railroad’s operating rules, timetable,
above the top of the rail. or a special order. Any exception from
(ii) The auxiliary lights shall be use of auxiliary lights at a specific pub-
spaced at least 36 inches apart if the lic grade crossing can be disapproved
vertical distance from the headlight to for a stated cause by FRA’s Associate
the horizontal axis of the auxiliary Administrator for Safety or any one of
lights is 60 inches or more. FRA’s Regional Administrators, after
(iii) The auxiliary lights shall be investigation by FRA and opportunity
spaced at least 60 inches apart if the for response from the railroad.
vertical distance from the headlight to (g) Movement of locomotives with de-
the horizontal axis of the auxiliary fective auxiliary lights.
lights is less than 60 inches. (1) A lead locomotive with only one
(2) Each auxiliary light shall produce failed auxiliary light must be repaired
a peak intensity of at least 200,000 can- or switched to a trailing position be-
dela or shall produce at least 3,000 can- fore departure from the place where an
dela at an angle of 7.5 degrees and at initial terminal inspection is required
least 400 candela at an angle of 20 de- for that train.
grees from the centerline of the loco- (2) A locomotive with only one auxil-
motive when the light is aimed parallel iary light that has failed after depar-
to the tracks. Any of the following ture from an initial terminal, must be
lamps meet the standard set forth in repaired not later than the next cal-
this paragraph (d)(2): an operative endar inspection required by § 229.21.
PAR–56, 200-watt, 30-volt lamp; an op- (3) A lead locomotive with two failed
erative PAR–56, 350-watt, 75-volt lamp; auxiliary lights may only proceed to
439
§ 229.127 49 CFR Ch. II (10–1–07 Edition)
the next place where repairs can be or less of rejecting a lot with a propor-
made. This movement must be con- tion of defectives equal to an AQL of
sistent with § 229.9. 1% or less, as set forth in 7 CFR part
(h) Any locomotive subject to Part 43.
229, that was built before December 31, (2) Each locomotive built before Sep-
1948, and that is not used regularly in tember 18, 2006 shall be tested in ac-
commuter or intercity passenger serv- cordance with this section before June
ice, shall be considered historic equip- 24, 2010 to ensure that the horn in-
ment and excepted from the require- stalled on such locomotive is in com-
ments of paragraphs (d) through (h) of pliance with paragraph (a) of this sec-
this section. tion.
[45 FR 21109, Mar. 31, 1980, as amended at 61 (3) Each remanufactured locomotive,
FR 8887, Mar. 6, 1996; 68 FR 49717, Aug. 19, as determined pursuant to § 229.5 of this
2003; 69 FR 12537, Mar. 16, 2004] part, shall be tested in accordance with
this section to ensure that the horn in-
§ 229.127 Cab lights.
stalled on such locomotive is in com-
(a) Each locomotive shall have cab pliance with paragraph (a).
lights which will provide sufficient il- (4)(i) Except as provided in paragraph
lumination for the control instru- (b)(4)(ii) of this section, each loco-
ments, meters, and gauges to enable motive equipped with a replacement lo-
the engine crew to make accurate read- comotive horn shall be tested, in ac-
ings from their normal positions in the cordance with paragraph (c) of this sec-
cab. These lights shall be located, con- tion, before the next two annual tests
structed, and maintained so that light required by § 229.27 of this part are
shines only on those parts requiring il- completed.
lumination and does not interfere with
(ii) Locomotives that have already
the crew’s vision of the track and sig-
been tested individually or through ac-
nals. Each controlling locomotive shall
also have a conveniently located light ceptance sampling, in accordance with
that can be readily turned on and off paragraphs (b)(1), (b)(2), or (b)(3) of this
by the persons operating the loco- section, shall not be required to under-
motive and that provides sufficient il- go sound level testing when equipped
lumination for them to read train or- with a replacement locomotive horn,
ders and timetables. provided the replacement locomotive
(b) Cab passageways and compart- horn is of the same model as the loco-
ments shall have adequate illumina- motive horn that was replaced and the
tion. mounting location and type of mount-
ing are the same.
§ 229.129 Locomotive horn. (c) Testing of the locomotive horn
(a) Each lead locomotive shall be sound level shall be in accordance with
equipped with a locomotive horn that the following requirements:
produces a minimum sound level of 96 (1) A properly calibrated sound level
dB(A) and a maximum sound level of meter shall be used that, at a min-
110 dB(A) at 100 feet forward of the lo- imum, complies with the requirements
comotive in its direction of travel. The of International Electrotechnical Com-
locomotive horn shall be arranged so mission (IEC) Standard 61672–1 (2002–05)
that it can be conveniently operated for a Class 2 instrument.
from the engineer’s usual position dur- (2) An acoustic calibrator shall be
ing operation of the locomotive. used that, at a minimum, complies
(b)(1) Each locomotive built on or with the requirements of IEC standard
after September 18, 2006 shall be tested 60942 (1997–11) for a Class 2 instrument.
in accordance with this section to en- (3) The manufacturer’s instructions
sure that the horn installed on such lo- pertaining to mounting and orienting
comotive is in compliance with para- the microphone; positioning of the ob-
graph (a) of this section. Locomotives server; and periodic factory recalibra-
built on or after September 18, 2006 tion shall be followed.
may, however, be tested in accordance (4) A microphone windscreen shall be
with an acceptance sampling scheme used and tripods or similar microphone
such that there is a probability of .05 mountings shall be used that minimize
440
interference with the sound being rectly using an integrating-averaging

measured. sound level meter, or recorded once per
(5) The test site shall be free of large second and calculated indirectly. The
reflective structures, such as barriers, arithmetic-average of a series of at
hills, billboards, tractor trailers or least six such 10-second duration read-
other large vehicles, locomotives or ings shall be used to determine compli-
rail cars on adjacent tracks, bridges or ance. The standard deviation of the
buildings, within 200 feet to the front readings shall be less than 1.5 dB.
and sides of the locomotive. The loco- (10) Written reports of locomotive
motive shall be positioned on straight, horn testing required by this part shall
level track. be made and shall reflect horn type;
(6) Measurements shall be taken only the date, place, and manner of testing;
when ambient air temperature is be- and sound level measurements. These
tween 32 degrees and 104 degrees Fahr- reports, which shall be signed by the
enheit inclusively; relative humidity is person who performs the test, shall be
between 20 percent and 95 percent in- retained by the railroad, at a location
clusively; wind velocity is not more of its choice, until a subsequent loco-
than 12 miles per hour and there is no motive horn test is completed and shall
precipitation.
be made available, upon request, to
(7) With the exception of cab-mount-
FRA as provided by 49 U.S.C. 20107.
ed or low-mounted horns, the micro-
phone shall be located 100 feet forward (d) This section does not apply to lo-
of the front knuckle of the locomotive, comotives of rapid transit operations
15 feet above the top of the rail, at an which are otherwise subject to this
angle no greater than 20 degrees from part.
the center line of the track, and ori- [71 FR 47666, Aug. 17, 2006]
ented with respect to the sound source
according to the manufacturer’s rec- § 229.131 Sanders.
ommendations. For cab-mounted and
Except for MU locomotives, each lo-
low-mounted horns, the microphone
comotive shall be equipped with oper-
shall be located 100 feet forward of the
able sanders that deposit sand on each
front knuckle of the locomotive, four
rail in front of the first power operated
feet above the top of the rail, at an
wheel set in the direction of move-
angle no greater than 20 degrees from
the center line of the track, and ori- ment.
ented with respect to the sound source § 229.133 Interim locomotive con-
according to the manufacturer’s rec- spicuity measures—auxiliary exter-
ommendations. The observer shall not nal lights.
stand between the microphone and the
horn. (a) A locomotive at the head of a
(8) Background noise shall be mini- train or other movement is authorized
mal: the sound level at the test site im- to be equipped with auxiliary external
mediately before and after each horn lights, additional to the headlight re-
sounding event shall be at least 10 quired by § 229.125, for the purpose of
dB(A) below the level measured during improved conspicuity. A locomotive
the horn sounding. that is equipped with auxiliary exter-
(9) Measurement procedures. The sound nal lights in conformance with the
level meter shall be set for A-weighting specifications or performance stand-
with slow exponential response and ards set forth in paragraph (b) of this
shall be calibrated with the acoustic section on the date of issuance of a
calibrator immediately before and final rule that requires additional or
after compliance tests. Any change in other external lights on locomotives
the before and after calibration levels for improved conspicuity, as required
shall be less than 0.5 dB. After the out- by section 202(u) of the Federal Rail-
put from the locomotive horn system road Safety Act of 1970, shall be
has reached a stable level, the A- deemed to conform to the requirements
weighted equivalent sound level (slow of the final rule for four years fol-
response) for a 10-second duration lowing the date of issuance of that
(LAeq, 10s) shall be obtained either di- final rule.
441
§ 229.135 49 CFR Ch. II (10–1–07 Edition)
(b) Each qualifying arrangement of (vi) Crossing lights shall be focused

auxiliary external lights shall conform horizontally within 15 degrees of the
to one of the following descriptions: longitudinal centerline of the loco-
(1) Ditch lights. (i) Ditch lights shall motive.
consist of two white lights, each pro- (4) Oscillating light. (i) An oscillating
ducing a steady beam of at least 200,000 light shall consist of:
candela, placed at the front of the loco- (A) One steadily burning white light
motive, at least 36 inches above the top producing at least 200,000 candela in a
of the rail. moving beam that depicts a circle or a
(ii) Ditch lights shall be spaced at horizontal figure ‘‘8’’ to the front,
least 36 inches apart if the vertical dis- about the longitudinal centerline of
tance from the headlight to the hori- the locomotive; or
zontal axis of the ditch lights is 60 (B) Two or more white lights pro-
inches or more. ducing at least 200,000 candela each, at
(iii) Ditch lights shall be spaced at one location on the front of the loco-
least 60 inches apart if the vertical dis- motive, that flash alternately with
tance from the headlight to the hori- beams within five degrees horizontally
zontal axis of the ditch lights is less to either side of the longitudinal cen-
than 60 inches. terline of the locomotive.
(iv) Ditch lights shall be focused (ii) An oscillating light may incor-
horizontally within 45 degrees of the porate a device that automatically ex-
longitudinal centerline of the loco- tinguishes the white light if display of
motive. a light of another color is required to
(2) Strobe lights. (i) Strobe lights shall protect the safety of railroad oper-
consist of two white stroboscopic ations.
lights, each with ‘‘effective intensity,’’ (c)(1) Any lead locomotive equipped
as defined by the Illuminating Engi- with oscillating lights as described in
neering Society’s Guide for Calculating paragraph (b)(4) that were ordered for
the Effective Intensity of Flashing Sig- installation on that locomotive prior
nal Lights (November 1964), of at least to January 1, 1996, is considered in
500 candela. compliance with § 229.125(d) (1) through
(ii) The flash rate of strobe lights (3).
shall be at least 40 flashes per minute (2) Any lead locomotive equipped
and at most 180 flashes per minute. with strobe lights as described in para-
(iii) Strobe lights shall be placed at graph (b)(2) and operated at speeds no
the front of the locomotive, at least 48 greater than 40 miles per hour, is con-
inches apart, and at least 36 inches sidered in compliance with § 229.125(d)
above the top of the rail. (1) through (3) until the locomotive is
(3) Crossing lights. (i) Crossing lights retired or rebuilt, whichever comes
shall consist of two white lights, placed first.
at the front of the locomotive, at least (3) Any lead locomotive equipped
36 inches above the top of the rail. with two white auxiliary lights spaced
(ii) Crossing lights shall be spaced at at least 44 inches apart on at least one
least 36 inches apart if the vertical dis- axis which was equipped with these
tance from the headlight to the hori- auxiliary lights before May 30, 1994,
zontal axis of the ditch lights is 60 will be considered in compliance with
inches or more. § 229.125(d) (1) through (3) until the lo-
(iii) Crossing lights shall be spaced at comotive is retired or rebuilt, which-
least 60 inches apart if the vertical dis- ever comes first.
tance from the headlight to the hori- [58 FR 6902, Feb. 3, 1993, as amended at 59 FR
zontal axis of the ditch lights is less 24963, May 13, 1994; 59 FR 39705, Aug. 4, 1994;
than 60 inches. 61 FR 8887, Mar. 6, 1996]
(iv) Each crossing light shall produce
at least 200,000 candela, either steadily § 229.135 Event recorders.
burning or alternately flashing. (a) Duty to equip and record. Except as
(v) The flash rate of crossing lights provided in paragraphs (c) and (d) of
shall be at least 40 flashes per minute this section, a train operated faster
and at most 180 flashes per minute. than 30 miles per hour shall have an in-
442
service event recorder, of the type de- equipped with an event recorder that
scribed in paragraph (b) of this section, uses magnetic tape as its recording me-
in the lead locomotive. The presence of dium shall have the recorder removed
the event recorder shall be noted on from service on or before October 1,
Form FRA F6180–49A (by writing the 2009 and replaced with an event re-
make and model of event recorder with corder with a certified crashworthy
which the locomotive is equipped) event recorder memory module that
under the REMARKS section, except meets the requirements of Appendix D
that an event recorder designed to of this part and that records at least
allow the locomotive to assume the the same number of data elements as
lead position only if the recorder is the recorder it replaces.
properly functioning is not required to (3) A lead locomotive, a lead manned
have its presence noted on Form FRA helper locomotive, and a controlling
F6180–49A. For the purpose of this sec- remotely distributed power loco-
tion, ‘‘train’’ includes a locomotive or motive, other than a DMU or MU loco-
group of locomotives with or without motive, originally ordered on or after
cars. The duty to equip the lead loco- October 1, 2006 or placed in service on
motive may be met with an event re- or after October 1, 2009, shall be
corder located elsewhere than the lead equipped with an event recorder with a
locomotive provided that such event certified crashworthy event recorder
recorder monitors and records the re- memory module that meets the re-
quired data as though it were located quirements of Appendix D of this part.
in the lead locomotive. The event re- The certified event recorder memory
corder shall record the most recent 48 module shall be mounted for its max-
hours of operation of the electrical sys- imum protection. (Although other
tem of the locomotive on which it is in- mounting standards may meet this
stalled. standard, an event recorder memory
(b) Equipment requirements. Event re- module mounted behind and below the
corders shall monitor and record data top of the collision posts and above the
elements required by this paragraph platform level is deemed to be mounted
with at least the accuracy required of ‘‘for its maximum protection.’’) The
the indicators displaying any of the re- event recorder shall record, and the
quired elements to the engineer. certified crashworthy event recorder
(1) A lead locomotive originally or- memory module shall retain, the fol-
dered before October 1, 2006, and placed lowing data elements:
in service before October 1, 2009, includ-
(i) Train speed;
ing a controlling remote distributed
power locomotive, a lead manned help- (ii) Selected direction of motion;
er locomotive, a DMU locomotive, and (iii) Time;
an MU locomotive, except as provided (iv) Distance;
in paragraphs (c) and (d) of this sec- (v) Throttle position;
tion, shall have an in-service event re- (vi) Applications and operations of
corder that records the following data the train automatic air brake, includ-
elements: ing emergency applications. The sys-
(i) Train speed; tem shall record, or provide a means of
(ii) Selected direction of motion; determining, that a brake application
(iii) Time; or release resulted from manipulation
(iv) Distance; of brake controls at the position nor-
(v) Throttle position; mally occupied by the locomotive engi-
(vi) Applications and operations of neer. In the case of a brake application
the train automatic air brake; or release that is responsive to a com-
(vii) Applications and operations of mand originating from or executed by
the independent brake; an on-board computer (e.g., electronic
(viii) Applications and operations of braking system controller, locomotive
the dynamic brake, if so equipped; and electronic control system, or train con-
(ix) Cab signal aspect(s), if so trol computer), the system shall
equipped and in use. record, or provide a means of deter-
(2) A locomotive originally manufac- mining, the involvement of any such
tured before October 1, 2006, and computer;
443
§ 229.135 49 CFR Ch. II (10–1–07 Edition)
(vii) Applications and operations of The certified event recorder memory

the independent brake; module shall be mounted for its max-
(viii) Applications and operations of imum protection. (Although other
the dynamic brake, if so equipped; mounting standards may meet this
(ix) Cab signal aspect(s), if so standard, an event recorder memory
equipped and in use; module mounted behind the collision
(x) End-of-train (EOT) device loss of posts and above the platform level is
communication front to rear and rear deemed to be mounted ‘‘for its max-
to front; imum protection.’’) The event recorder
(xi) Electronic controlled pneumatic shall record, and the certified crash-
braking (ECP) message (and loss of worthy event recorder memory module
such message), if so equipped; shall retain, the following data ele-
(xii) EOT armed, emergency brake ments:
command, emergency brake applica- (i) Train speed;
tion; (ii) Selected direction of motion;
(xiii) Indication of EOT valve failure; (iii) Time;
(xiv) EOT brake pipe pressure (EOT (iv) Distance;
and ECP devices); (v) Throttle position;
(xv) EOT marker light on/off; (vi) Applications and operations of
(xvi) EOT ‘‘low battery’’ status; the train automatic air brake, includ-
(xvii) Position of on/off switch for ing emergency applications. The sys-
headlights on lead locomotive; tem shall record, or provide a means of
(xviii) Position of on/off switch for determining, that a brake application
auxiliary lights on lead locomotive; or release resulted from manipulation
(xix) Horn control handle activation; of brake controls at the position nor-
(xx) Locomotive number; mally occupied by the locomotive engi-
(xxi) Locomotive automatic brake neer. In the case of a brake application
valve cut in; or release that is responsive to a com-
(xxii) Locomotive position in consist mand originating from or executed by
(lead or trail); an on-board computer (e.g., electronic
(xxiii) Tractive effort; braking system controller, locomotive
(xxiv) Cruise control on/off, if so electronic control system, or train con-
equipped and in use; and trol computer), the system shall
(xxv) Safety-critical train control record, or provide a means of deter-
data routed to the locomotive engi- mining, the involvement of any such
neer’s display with which the engineer computer;
is required to comply, specifically in- (vii) Applications and operations of
cluding text messages conveying man- the independent brake, if so equipped;
datory directives, and maximum au- (viii) Applications and operations of
thorized speed. The format, content, the dynamic brake, if so equipped;
and proposed duration for retention of (ix) Cab signal aspect(s), if so
such data shall be specified in the prod- equipped and in use;
uct safety plan submitted for the train (x) Emergency brake application(s);
control system under subpart H of part (xi) Wheel slip/slide alarm activation
236 of this chapter, subject to FRA ap- (with a property-specific minimum du-
proval under this paragraph. If it can ration);
be calibrated against other data re- (xii) Lead locomotive headlight acti-
quired by this part, such train control vation switch on/off;
data may, at the election of the rail- (xiii) Lead locomotive auxiliary
road, be retained in a separate certified lights activation switch on/off;
crashworthy memory module. (xiv) Horn control handle activation;
(4) A DMU locomotive and an MU lo- (xv) Locomotive number;
comotive originally ordered on or after (xvi) Locomotive position in consist
October 1, 2006 or placed in service on (lead or trail);
or after October 1, 2009, shall be (xvii) Tractive effort;
equipped with an event recorder with a (xviii) Brakes apply summary train
certified crashworthy event recorder line;
memory module that meets the re- (xix) Brakes released summary train
quirements of Appendix D of this part. line;
444
(xx) Cruise control on/off, if so only if the recorder is properly func-

equipped and used; and tioning.
(xxi) Safety-critical train control (d) Response to defective equipment.
data routed to the locomotive engi- Notwithstanding the duty established
neer’s display with which the engineer in paragraph (a) of this section to equip
is required to comply, specifically in- certain locomotives with an in-service
cluding text messages conveying man- event recorder, a locomotive on which
datory directives, and maximum au- the event recorder has been taken out
thorized speed. The format, content, of service as provided in paragraph (c)
and proposed duration for retention of of this section may remain as the lead
such data shall be specified in the prod- locomotive only until the next cal-
uct safety plan submitted for the train endar-day inspection. A locomotive
control system under subpart H of part with an inoperative event recorder is
236 of this chapter, subject to FRA ap- not deemed to be in improper condi-
proval under this paragraph. If it can tion, unsafe to operate, or a non-com-
be calibrated against other data re- plying locomotive under §§ 229.7 and
quired by this part, such train control 229.9, and, other than the requirements
data may, at the election of the rail- of Appendix D of this part, the inspec-
road, be retained in a separate certified tion, maintenance, and testing of event
crashworthy memory module. recorders are limited to the require-
(5) A locomotive equipped with an ments set forth in §§ 229.25(e) and
event recorder that is remanufactured, 229.27(d).
as defined in this part, on or after Oc-
(e) Preserving accident data. If any lo-
tober 1, 2007, shall be equipped with an
comotive equipped with an event re-
event recorder with a certified crash-
corder, or any other locomotive-
worthy event recorder memory module
that meets the requirements of Appen- mounted recording device or devices
dix D to this part and is capable of re- designed to record information con-
cording, at a minimum, the same data cerning the functioning of a loco-
as the recorder that was on the locomotive or train, is involved in an acci-
motive before it was remanufactured. dent/incident that is required to be re-
(6) An event recorder originally man- ported to FRA under part 225 of this
ufactured after January 1, 2010, that is chapter, the railroad that was using
installed on any locomotive identified the locomotive at the time of the acci-
in paragraph (b)(1) of this section shall dent shall, to the extent possible, and
be an event recorder with a certified to the extent consistent with the safe-
crashworthy event recorder memory ty of life and property, preserve the
module that meets the requirements of data recorded by each such device for
Appendix D to this part and that is ca- analysis by FRA. This preservation re-
pable of recording, at a minimum, the quirement permits the railroad to ex-
same data as the event recorder that tract and analyze such data, provided
was previously on the locomotive. the original downloaded data file, or an
(c) Removal from service. Notwith- unanalyzed exact copy of it, shall be
standing the duty established in para- retained in secure custody and shall
graph (a) of this section to equip cer- not be utilized for analysis or any
tain locomotives with an in-service other purpose except by direction of
event recorder, a railroad may remove FRA or the National Transportation
an event recorder from service and, if a Safety Board. This preservation re-
railroad knows that an event recorder quirement shall expire one (1) year
is not monitoring or recording required after the date of the accident unless
data, shall remove the event recorder FRA or the Board notifies the railroad
from service. When a railroad removes in writing that the data are desired for
an event recorder from service, a quali- analysis.
fied person shall record the date that (f) Relationship to other laws. Nothing
the device was removed from service on in this section is intended to alter the
Form FRA F6180–49A, under the RE- legal authority of law enforcement of-
MARKS section, unless the event re- ficials investigating potential viola-
corder is designed to allow the loco- tion(s) of State criminal law(s), and
motive to assume the lead position nothing in this chapter is intended to
445
§ 229.137 49 CFR Ch. II (10–1–07 Edition)
alter in any way the priority of Na- ees upon reporting for duty or occu-
tional Transportation Safety Board in- pying the cab for duty.
vestigations under 49 U.S.C. 1131 and (b) Exceptions. (1) Paragraph (a) of
1134, nor the authority of the Secretary this section shall not apply to:
of Transportation to investigate rail- (i) Locomotives engaged in com-
road accidents under 49 U.S.C. 5121, muter service or other short-haul pas-
5122, 20107, 20111, 20112, 20505, 20702, senger service and commuter work
20703, and 20902. trains on which employees have ready
(g) Disabling event recorders. Except as access to railroad-provided sanitation
provided in paragraph (c) of this sec- facilities outside of the locomotive or
tion, any individual who willfully dis- elsewhere on the train, that meet oth-
ables an event recorder is subject to erwise applicable sanitation standards,
civil penalty and to disqualification at frequent intervals during the course
from performing safety-sensitive func- of their work shift;
tions on a railroad as provided in (ii) Locomotives engaged in switch-
§ 218.55 of this chapter, and any indi- ing service on which employees have
vidual who tampers with or alters the ready access to railroad-provided sani-
data recorded by such a device is sub- tation facilities outside of the loco-
ject to a civil penalty as provided in motive, that meet otherwise applicable
appendix B of part 218 of this chapter sanitation standards, at frequent inter-
and to disqualification from per-
vals during the course of their work
forming safety-sensitive functions on a
shift;
railroad if found unfit for such duties
(iii) Locomotives engaged in transfer
under the procedures in part 209 of this
chapter. service on which employees have ready
access to railroad-provided sanitation
§ 229.137 Sanitation, general require- facilities outside of the locomotive,
ments. that meet otherwise applicable sanita-
(a) Sanitation compartment. Except as tion standards, at frequent intervals
provided in paragraph (b) of this sec- during the course of their work shift;
tion, all lead locomotives in use shall (iv) Locomotives of Class III rail-
be equipped with a sanitation compart- roads engaged in operations other than
ment. Each sanitation compartment switching service or transfer service,
shall be: that are not equipped with a sanitation
(1) Adequately ventilated; compartment as of June 3, 2002. Where
(2) Equipped with a door that: an unequipped locomotive of a Class III
(i) Closes, and railroad is engaged in operations other
(ii) Possesses a modesty lock by [18 than switching or transfer service, em-
months after publication of the final ployees shall have ready access to rail-
rule]; road-provided sanitation facilities out-
(3) Equipped with a toilet facility, as side of the locomotive that meet other-
defined in this part; wise applicable sanitation standards,
(4) Equipped with a washing system, at frequent intervals during the course
as defined in this part, unless the rail- of their work shift, or the railroad
road otherwise provides the washing shall arrange for enroute access to
system to employees upon reporting such facilities;
for duty or occupying the cab for duty, (v) Locomotives of tourist, scenic,
or where the locomotive is equipped historic, or excursion railroad oper-
with a stationary sink that is located ations, which are otherwise covered by
outside of the sanitation compartment; this part because they are not pro-
(5) Equipped with toilet paper in suf- pelled by steam power and operate on
ficient quantity to meet employee the general railroad system of trans-
needs, unless the railroad otherwise portation, but on which employees
provides toilet paper to employees have ready access to railroad-provided
upon reporting for duty or occupying sanitation facilities outside of the lo-
the cab for duty; and comotive, that meet otherwise applica-
(6) Equipped with a trash receptacle, ble sanitation standards, at frequent
unless the railroad otherwise provides intervals during the course of their
portable trash receptacles to employ- work shift; and
446
(vi) Except as provided in § 229.14 of the locomotive in the lead position.

this part, DMU, MU, and control cab The railroad may continue to use a
locomotives designed for passenger oc- lead locomotive with a toilet facility
cupancy and used in intercity push-pull that is defective or unsanitary as of
service that are not equipped with the daily inspection only where all of
sanitation facilities, where employees the following conditions are met:
have ready access to railroad-provided (1) The unsanitary or defective condi-
sanitation in other passenger cars on tion is discovered at a location where
the train at frequent intervals during there are no other suitable locomotives
the course of their work shift. available for use, ie., where it is not
(2) Paragraph (a)(3) of this section possible to switch another locomotive
shall not apply to: into the lead position, or the location
(i) Locomotives of a Class I railroad is not equipped to clean the sanitation
which, prior to [the effective date of compartment if unsanitary or repair
this section], were equipped with a toi- the toilet facility if defective;
let facility in which human waste falls (2) The locomotive, while noncompli-
via gravity to a holding tank where it ant, did not pass through a location
is stored and periodically emptied, where it could have been cleaned if un-
which does not conform to the defini- sanitary, repaired if defective, or
tion of toilet facility set forth in this switched with another compliant loco-
section. For these locomotives, the re- motive, since its last daily inspection
quirements of this section pertaining required by this part;
to the type of toilet facilities required
(3) Upon reasonable request of a loco-
shall be effective as these toilets be-
motive crewmember operating a loco-
come defective or are replaced with
motive with a defective or unsanitary
conforming units, whichever occurs
toilet facility, the railroad arranges for
first. All other requirements set forth
access to a toilet facility outside the
in this section shall apply to these lo-
locomotive that meets otherwise appli-
comotives as of June 3, 2002; and
cable sanitation standards;
(ii) With respect to the locomotives
of a Class I railroad which, prior to (4) If the sanitation compartment is
June 3, 2002, were equipped with a sani- unsanitary, the sanitation compart-
tation system other than the units ad- ment door shall be closed and adequate
dressed by paragraph (b)(2)(i) of this ventilation shall be provided in the cab
section, that contains and removes so that it is habitable; and
human waste by a method that does (5) The locomotive shall not continue
not conform with the definition of toi- in service in the lead position beyond a
let facility as set forth in this section, location where the defective or unsani-
the requirements of this section per- tary condition can be corrected or re-
taining to the type of toilet facilities placed with another compliant loco-
shall apply on locomotives in use on motive, or the next daily inspection re-
July 1, 2003. However, the Class I rail- quired by this part, whichever occurs
road subject to this exception shall not first.
deliver locomotives with such sanita- (d) Defective, unsanitary toilet facility;
tion systems to other railroads for use, use in trailing position. If the railroad
in the lead position, during the time determines during the daily inspection
between June 3, 2002, and July 1, 2003. required by § 229.21 that a locomotive
All other requirements set forth in this toilet facility is defective or is unsani-
section shall apply to the locomotives tary, or both, the railroad may use the
of this Class I railroad as of June 3, locomotive in trailing position. If the
2002. railroad places the locomotive in trail-
(c) Defective, unsanitary toilet facility; ing position, they shall not haul em-
prohibition in lead position. Except as ployees in the unit unless the sanita-
provided in paragraphs (c)(1) through tion compartment is made sanitary
(5) of this section, if the railroad deter- prior to occupancy. If the toilet facil-
mines during the daily inspection re- ity is defective and the unit becomes
quired by § 229.21 that a locomotive toi- occupied, the railroad shall clearly
let facility is defective or is unsani- mark the defective toilet facility as
tary, or both, the railroad shall not use unavailable for use.
447
§ 229.139 49 CFR Ch. II (10–1–07 Edition)
(e) Defective, sanitary toilet facility; use defective, the modesty lock shall be re-
in switching, transfer service. If the rail- paired pursuant to the requirements of
road determines during the daily in- § 229.139(e).
spection required by § 229.21 that a lo- (i) Equipped units; retention and main-
comotive toilet facility is defective, tenance. Except where a railroad down-
but sanitary, the railroad may use the grades a locomotive to service in which
locomotive in switching service, as set it will never be occupied, where a loco-
forth in paragraph (b)(1)(ii) of this sec- motive is equipped with a toilet facil-
tion, or in transfer service, as set forth ity as of [the effective date of the final
in paragraph (b)(1)(iii) of this section rule], the railroad shall retain and
for a period not to exceed 10 days. In maintain the toilet facility in the loco-
this instance, the railroad shall clearly motive consistent with the require-
mark the defective toilet facility as ments of this part, including loco-
unavailable for use. After expiration of motives used in switching service pur-
the 10-day period, the locomotive shall suant to paragraph (b)(1)(ii) of this sec-
be repaired or used in the trailing position, and in transfer service pursuant
tion. to paragraph (b)(1)(iii) of this section.
(f) Lack of toilet paper, washing system, (j) Newly manufactured units; in-cab
trash receptacle. If the railroad deter- facilities. All locomotives manufactured
mines during the daily inspection re- after June 3, 2002, except switching
quired by § 229.21 that the lead loco- units built exclusively for switching
motive is not equipped with toilet service and locomotives built exclu-
paper in sufficient quantity to meet sively for commuter service, shall be
employee needs, or a washing system equipped with a sanitation compart-
as required by paragraph (a)(4) of this ment accessible to cab employees with-
section, or a trash receptacle as re- out exiting to the out-of-doors for use.
quired by paragraph (a)(6) of this sec- No railroad may use a locomotive built
tion, the locomotive shall be equipped after June 3, 2002, that does not comply
with these items prior to departure. with this subsection.
(g) Inadequate ventilation. If the rail- (k) Potable water. The railroad shall
road determines during the daily in- utilize potable water where the wash-
spection required by § 229.21 that the ing system includes the use of water.
sanitation compartment of the lead lo- [67 16050, Apr. 4, 2002, as amended at 71 FR
comotive in use is not adequately ven- 61857, Oct. 19, 2006]
tilated as required by paragraph (a)(1)
of this section, the railroad shall repair § 229.139 Sanitation, servicing require-
the ventilation prior to departure, or ments.
place the locomotive in trailing posi- (a) The sanitation compartment of
tion, in switching service as set forth each lead locomotive in use shall be
in paragraph (b)(1)(ii) of this section, sanitary.
or in transfer service as set forth in (b) All components required by
paragraph (b)(1)(iii) of this section. § 229.137(a) for the lead locomotive in
(h) Door closure and modesty lock. If use shall be present consistent with the
the railroad determines during the requirements of this part, and shall op-
daily inspection required by § 229.21 erate as intended such that:
that the sanitation compartment on (1) All mechanical systems shall
the lead locomotive is not equipped function;
with a door that closes, as required by (2) Water shall be present in suffi-
paragraph (a)(2)(i) of this section, the cient quantity to permit flushing;
railroad shall repair the door prior to (3) For those systems that utilize
departure, or place the locomotive in chemicals for treatment, the chemical
trailing position, in switching service (chlorine or other comparable oxidizing
as set forth in paragraph (b)(1)(ii) of agent) used to treat waste must be
this section, or in transfer service as present; and
set forth in paragraph (b)(1)(iii) of this (4) No blockage is present that pre-
section. If the railroad determines dur- vents waste from evacuating the bowl.
ing the daily inspection required by (c) The sanitation compartment of
§ 229.21 that the modesty lock required each occupied locomotive used in
by paragraph (a)(2)(ii) of this section is switching service pursuant to
448
§ 229.137(b)(1)(ii), in transfer service is used, an auxiliary arrangement shall

pursuant to § 229.137(b)(1)(iii), or in a be provided that complies with these
trailing position when the locomotive requirements.
is occupied, shall be sanitary. (4) The outside end of each loco-
(d) Where the railroad uses a locomotive shall be provided with two main
motive pursuant to § 229.137(e) in vertical members, one at each side of
switching or transfer service with a de- the diaphragm opening; each main
fective toilet facility, such use shall member shall have an ultimate shear
not exceed 10 calendar days from the value of not less than 300,000 pounds at
date on which the defective toilet facil- a point even with the top of the
ity became defective. The date on underframe member to which it is at-
which the toilet facility becomes defec- tached. The attachment of these mem-
tive shall be entered on the daily in- bers at bottom shall be sufficient to de-
spection report. velop their full shear value. If rein-
(e) Where it is determined that the forcement is used to provide the shear
modesty lock required by § 229.137(a)(2) value, the reinforcement shall have full
is defective, the railroad shall repair value for a distance of 18 inches up
the modesty lock on or before the next from the underframe connection and
92-day inspection required by this part. then taper to a point approximately 30
inches above the underframe connec-
[67 16050, Apr. 4, 2002]
tion.
(5) The strength of the means of lock-
Subpart D—Locomotive Crash- ing the truck to the body shall be at
worthiness Design Require- least the equivalent of an ultimate
ments shear value of 250,000 pounds.
(6) On or after November 8, 1999, para-
§ 229.141 Body structure, MU loco- graph (a)(1) of this section does not
motives. apply to ‘‘passenger equipment’’ as de-
(a) MU locomotives built new after fined in § 238.5 of this chapter, unless
April 1, 1956 that are operated in trains such equipment is excluded from the
having a total empty weight of 600,000 requirements of §§ 238.203 through
pounds or more shall have a body 238.219, and § 238.223 of this chapter by
structure designed to meet or exceed operation of § 238.201(a)(2) of this chap-
the following minimum specifications: ter. Paragraphs (a)(2) through (a)(4) of
(1) The body structure shall resist a this section do not apply to ‘‘passenger
minimum static end load of 800,000 equipment’’ as defined in § 238.5 of this
pounds at the rear draft stops ahead of chapter that is placed in service for the
the bolster on the center line of draft, first time on or after September 8, 2000,
without developing any permanent de- unless such equipment is excluded from
formation in any member of the body the requirements of §§ 238.203 through
structure. 238.219, and § 238.223 of this chapter by
(2) An anti-climbing arrangement operation of § 238.201(a)(2) of this chap-
shall be applied at each end that is deter.
signed so that coupled MU locomotives (b) MU locomotives built new after
under full compression shall mate in a April 1, 1956 that are operated in trains
manner that will resist one locomotive having a total empty weight of less
from climbing the other. This arrange- than 600,000 pounds shall have a body
ment shall resist a vertical load of structure designed to meet or exceed
100,000 pounds without exceeding the the following minimum specifications:
yield point of its various parts or its (1) The body structure shall resist a
attachments to the body structure. minimum static end load of 400,000
(3) The coupler carrier and its con- pounds at the rear draft stops ahead of
nections to the body structure shall be the bolster on the center line of draft,
designed to resist a vertical downward without developing any permanent de-
thrust from the coupler shank of 100,000 formation in any member of the body
pounds for any horizontal position of structure.
the coupler, without exceeding the (2) An anti-climbing arrangement
yield points of the materials used. shall be applied at each end that is de-
When yielding type of coupler carrier signed so that coupled locomotives
449
§ 229.201 49 CFR Ch. II (10–1–07 Edition)
under full compression shall mate in a § 229.201 Purpose and scope.

manner that will resist one locomotive (a) Purpose. The purpose of this sub-
from climbing the other. This arrange- part is to help protect locomotive cab
ment shall resist a vertical load of occupants in the event that a loco-
75,000 pounds without exceeding the motive collides with another loco-
yield point of its various parts or its motive or piece of on-track equipment,
attachments to the body structure. a shifted load on a freight car on an ad-
(3) The coupler carrier and its con- jacent parallel track, or a highway ve-
nections to the body structure shall be hicle at a highway-rail grade crossing.
designed to resist a vertical downward (b) This subpart prescribes minimum
thrust from the coupled shank of 75,000 crashworthiness standards for loco-
pounds for any horizontal position of motives. It also establishes the require-
the coupler, without exceeding the ments for obtaining FRA approval of:
yield points of the materials used. new locomotive crashworthiness design
When a yielding type of coupler carrier standards; changes to FRA-approved
is used, an auxiliary arrangement shall locomotive crashworthiness design
be provided that complies with these standards; and alternative locomotive
requirements. crashworthiness designs.
(4) The outside end of each MU loco- [71 FR 36912, June 28, 2006]
motive shall be provided with two main
vertical members, one at each side of § 229.203 Applicability.
the diaphragm opening; each main (a) Except as provided in paragraphs
member shall have an ultimate shear (b) and (c) of this section, this subpart
value of not less than 200,000 pounds at applies to all locomotives manufac-
a point even with the top of the tured or remanufactured on or after
underframe member to which it is at- January 1, 2009.
tached. The attachment of these mem- (b) Cab cars and power cars. The re-
bers at bottom shall be sufficient to de- quirements of this subpart do not apply
velop their full shear value, the rein- to cab control cars, MU locomotives,
forcement shall have full value for a DMU locomotives, and semi-perma-
distance of 18 inches up from the nently coupled power cars that are sub-
underframe connection and then taper ject to the design requirements for
to a point approximately 30 inches such locomotives set forth in part 238
above the underframe connection. of this chapter.
(5) The strength of the means of lock- (c) Locomotives used in designated serv-
ing the truck to the body shall be at ice. Locomotives used in designated
least the equivalent of an ultimate service are exempt from the require-
shear value of 250,000 pounds. ments of this subpart, with the excep-
(6) On or after November 8, 1999, para- tion of § 229.233 (minimum require-
graph (a)(1) of this section does not ments for fuel tank design), which re-
apply to ‘‘passenger equipment’’ as de- mains applicable to such locomotives.
fined in § 238.5 of this chapter, unless [71 FR 36912, June 28, 2006]
such equipment is excluded from the
requirements of §§ 238.203 through § 229.205 General requirements.
238.219, and § 238.223 of this chapter by
(a) Each wide-nose locomotive used
operation of § 238.201(a)(2) of this chap-
in occupied service must meet the min-
ter. Paragraphs (a)(2) through (a)(4) of
imum crashworthiness performance re-
this section do not apply to ‘‘passenger
quirements set forth in Appendix E of
equipment’’ as defined in § 238.5 of this
this part. Compliance with those per-
chapter that is placed in service for the
formance criteria must be established
first time on or after September 8, 2000,
by:
unless such equipment is excluded from (1) Meeting an FRA-approved crash-
the requirements of §§ 238.203 through worthiness design standard (including
238.219, and § 238.223 of this chapter by AAR S–580, Locomotive Crash-
operation of § 238.201(a)(2) of this chap- worthiness Requirements). The Direc-
ter. tor of the Federal Register approves in-
[45 FR 21109, Mar. 31, 1980, as amended at 71 corporation by reference of the AAR S–
580 (revised July 2005), ‘‘Locomotive
FR 36912, June 28, 2006]
450
Crashworthiness Requirements,’’ in § 229.207 New locomotive crash-

this section in accordance with 5 U.S.C. worthiness design standards and
552(a) and 1 CFR part 51. You may ob- changes to existing FRA-approved
tain a copy of the incorporated stand- locomotive crashworthiness design
standards.
ard from the Association of American
Railroads, 50 F Street NW, Washington, (a) General. The following procedures
DC 20001. You may inspect a copy of govern consideration and action upon
the incorporated standard at the Fed- requests for FRA approval of new loco-
eral Railroad Administration, Docket motive crashworthiness design stand-
Clerk, 1120 Vermont Ave., NW Suite ards and changes to existing FRA-ap-
proved locomotive crashworthiness de-
7000, Washington, DC 20590 or at the
sign standards, including AAR S–580
National Archives and Records Admin-
(incorporated by reference, see
istration (NARA). For information on
§ 229.205). Only a standards body which
the availability of this material at has adopted an FRA-approved loco-
NARA, call 202–741–6030, or go to http:// motive crashworthiness design stand-
www.archives.gov/federallregister/ ard may initiate these procedures for
codeloflfederallregulations/ FRA approval of changes to the stand-
ibrllocations.html; ard.
(2) Meeting new design standards and (b) Petitions for FRA approval of new
changes to existing design standards locomotive crashworthiness design stand-
approved by FRA pursuant to § 229.207; ards. Each petition for FRA approval of
or a locomotive crashworthiness design
(3) Meeting an alternative crash- standard must be titled ‘‘Petition for
worthiness design approved by FRA FRA Approval of a New Locomotive
pursuant to § 229.209. Crashworthiness Design Standard,’’
(b) A monocoque or semi-monocoque must be submitted to the Associate Ad-
design locomotive must be designed in ministrator for Safety, Federal Rail-
accordance with the provisions of AAR road Administration, 1120 Vermont
S–580, applicable to those types of loco- Ave., NW., Mail Stop 25, Washington,
motives, in accordance with DC 20590, and must contain the fol-
lowing:
§§ 238.405(a), 238.409 and 238.411 of this
(1) The name, title, address, tele-
chapter, or in accordance with a stand-
phone number and e-mail address of
ard or design approved by FRA as pro- the primary person to be contacted
viding at least equivalent safety. with regard to review of the petition;
(c) A narrow-nose locomotive must (2) The proposed locomotive design
be designed in accordance with the pro- standard, in detail;
visions of AAR S–580, applicable to (3) The intended type of service for
that type of locomotive (notwith- locomotives designed under the pro-
standing any limitation of scope con- posed standard; and
tained in that standard) or in accord- (4) Appropriate data and analysis
ance with a standard or design ap- showing how the proposed design
proved by FRA as providing at least standard either satisfies the require-
equivalent safety. ments of § 229.205 for the type of loco-
motive design or provides at least an
[71 FR 36912, June 28, 2006]
equivalent level of safety. Types of
§ 229.206 Design requirements. data and analysis to be considered are
described in § 229.211(c)(1).
Each locomotive used in occupied (c) Petitions for FRA approval of sub-
service must meet the minimum anti- stantive changes to an FRA-approved lo-
climber, emergency egress, emergency comotive crashworthiness design stand-
interior lighting, and interior configu- ard. Each petition for approval of a
ration design requirements set forth in substantive change to an FRA-ap-
AAR S–580 (incorporated by reference, proved locomotive crashworthiness de-
see § 229.205). sign standard must be titled ‘‘Petition
for FRA Approval of Changes to a Lo-
[71 FR 36912, June 28, 2006] comotive Crashworthiness Design
Standard,’’ must be submitted to the
451
§ 229.209 49 CFR Ch. II (10–1–07 Edition)
Associate Administrator for Safety, are not consistent with any FRA-ap-
Federal Railroad Administration, 1120 proved locomotive crashworthiness de-
Vermont Ave., NW., Mail Stop 25, sign standard.
Washington, DC 20590, and must con- (b) Petitions for FRA approval of alter-
tain the following: native locomotive crashworthiness de-
(1) The name, title, address, tele- signs. Each petition for FRA approval
phone number and e-mail address of of an alternative locomotive crash-
the primary person to be contacted worthiness design must be titled ‘‘Pe-
with regard to review of the petition; tition for FRA Approval of Alternative
(2) The proposed change, in detail; Locomotive Crashworthiness Design,’’
(3) The intended type of service for must be submitted to the Associate Ad-
locomotives built with the proposed ministrator for Safety, Federal Rail-
change; and road Administration, 1120 Vermont
(4) Appropriate data and analysis Ave., NW, Mail Stop 25, Washington,
showing how the resulting standard ei- DC 20590, and must contain the fol-
ther satisfies the requirements for the lowing:
type of locomotive set forth in § 229.205 (1) The name, title, address, tele-
or provides at least an equivalent level phone number and e-mail address of
of safety. Types of data and analysis to the primary person to be contacted
be considered are described in with regard to review of the petition;
§ 229.211(c)(1). (2) The proposed locomotive crash-
(d) Petitions for FRA approval of non- worthiness design, in detail;
substantive changes to the existing FRA-
(3) The intended type of service for
approved crashworthiness design stand-
locomotives built under the proposed
ards. (1) Each petition for approval of a
design; and
non-substantive change to an FRA-ap-
(4) Appropriate data and analysis
proved locomotive crashworthiness de-
showing how the design either satisfies
sign standard must be titled ‘‘Petition
the requirements of § 229.205 for the
for FRA Approval of Non-substantive
type of locomotive or provides at least
Changes to a Locomotive Crash-
an equivalent level of safety. Types of
worthiness Design Standard,’’ must be
data and analysis to be considered are
submitted to the Associate Adminis-
described in § 229.211(c)(1).
trator for Safety, Federal Railroad Ad-
ministration, 1120 Vermont Ave., NW, [71 FR 36913, June 28, 2006]
Mail Stop 25, Washington, DC 20590,
and must contain the following: § 229.211 Processing of petitions.
(i) The name, title, address, tele- (a) Federal Register notice. FRA will
phone number and e-mail address of publish in the FEDERAL REGISTER no-
the primary person to be contacted tice of receipt of each petition sub-
with regard to review of the petition; mitted under §§ 229.207(b), 229.207(c), or
(ii) The proposed change, in detail; 229.209.
and (b) Comment. Not later than 60 days
(iii) Detailed explanation of how the from the date of publication of the no-
proposed change results in a non-sub- tice in the FEDERAL REGISTER con-
stantive change to the existing FRA- cerning a petition submitted under
approved crashworthiness design stand- §§ 229.207(b), 229.207(c), or 229.209(b), any
ard. person may comment on the petition.
(2) If FRA determines that the pro- (1) Each comment must set forth spe-
posed change is substantive, FRA will cifically the basis upon which it is
process the petition in accordance with made, and contain a concise statement
paragraph (c) of this section. of the interest of the commenter in the
[71 FR 36912, June 28, 2006] proceeding.
(2) Each comment must be submitted
§ 229.209 Alternative locomotive crash- to the U.S. Department of Transpor-
worthiness designs. tation Central Docket Management
(a) General. The following procedures System, Nassif Building, Room PL–401,
govern consideration and action upon 400 Seventh Street, SW., Washington,
requests for FRA approval of loco- DC 20590, and must contain the as-
motive crashworthiness designs which signed docket number which appeared
452
in the FEDERAL REGISTER for that pro- the petitioner and other interested par-
ceeding. The form of such submission ties and a copy of the notice will be
may be in written or electronic form placed in the public docket of this pro-
consistent with the standards and re- ceeding.
quirements established by the Central
[71 FR 36913, June 28, 2006]
Docket Management System and post-
ed on its Web site at http://dms.dot.gov. § 229.213 Locomotive manufacturing
(3) In the event FRA requires addi- information.
tional information to appropriately
(a) Each railroad operating a loco-
consider the petition, FRA will con-
motive subject to the requirements of
duct a hearing on the petition in ac-
this subpart must retain the following
cordance with the procedures provided
information:
in § 211.25 of this chapter.
(1) The date upon which the loco-
(c) Disposition of petitions. (1) In order
motive was manufactured or remanu-
to determine compliance with the per-
factured;
formance criteria in Appendix E of this
(2) The name of the manufacturer or
part, FRA will consider proper docu-
remanufacturer of the locomotive; and
mentation of competent engineering
(3) The design specification to which
analysis, or practical demonstrations,
the locomotive was manufactured or
or both which may include validated
remanufactured.
computer modeling, structural crush
(b) The information required in para-
analysis, component testing, full scale
graph (a) of this section must be lo-
crash testing in a controlled environ-
cated permanently in the locomotive
ment, or any combination of the fore-
cab or be provided within two business
going, together with evidence of effec-
days upon request of FRA or an FRA-
tive peer review.
certified State inspector.
(2) If FRA finds that the petition
complies with the requirements of this [71 FR 36914, June 28, 2006]
subpart and that the proposed change
or new design standard satisfies the re- § 229.215 Retention and inspection of
quirements of § 229.205 for the type of designs.
locomotive, the petition will be grant- (a) Retention of records—original de-
ed, normally within 90 days of its re- signs. Each manufacturer or remanu-
ceipt. If the petition is neither granted facturer of a locomotive subject to this
nor denied within 90 days, the petition subpart shall retain all records of the
remains pending for decision. FRA may original locomotive designs, including
attach special conditions to the grant- supporting calculations and drawings,
ing of the petition. Following the pertaining to crashworthiness features
granting of a petition, FRA may re- required by this subpart. These records
open consideration of the petition for must be retained for the lesser period
cause stated. Any decision granting or of:
denying a petition is placed in the pub- (1) The life of such locomotive, ex-
lic docket for the petition. cept that records for a locomotive de-
(3) If FRA finds that the petition stroyed in a rail equipment accident/
does not comply with the requirements incident shall be retained for at least
of this subpart, or that the proposed 12 months following the accident/inci-
change or new design standard does not dent; or
satisfy the performance criteria con- (2) Twenty years after the date of
tained in Appendix E of this part manufacture or, if remanufactured,
(where applicable), the petition will be twenty years after the date of remanu-
denied, normally within 90 days of its facture.
receipt. If the petition is neither grant- (b) Retention of records—repairs and
ed nor denied within 90 days, the peti- modifications. Each owner or lessee of a
tion remains pending for decision. FRA locomotive subject to this subpart
may re-open a denial of a petition for shall retain all records of repair or
cause stated. modification to crashworthiness fea-
(4) When FRA grants or denies a peti- tures required by this subpart. These
tion, or reopens consideration of the records must be retained for the lesser
petition, written notice will be sent to period of:
453
§ 229.217 49 CFR Ch. II (10–1–07 Edition)
(1) The life of such locomotive, ex- eral Register approves incorporation
cept that records for a locomotive de- by reference of the AAR S–5506, ‘‘Per-
stroyed in a rail equipment accident/ formance Requirements for Diesel
incident shall be retained for at least Electric Locomotive Fuel Tanks’’ (Oc-
12 months following the accident/inci- tober 1, 2001) in this section in accord-
dent, or ance with 5 U.S.C. 552(a) and 1 CFR
(2) Twenty years after the date on part 51. You may obtain a copy of the
which the repair or modification was incorporated standard from the Asso-
performed. ciation of American Railroads, 50 F
(c) Inspection of records. Each custo- Street NW., Washington, DC 20001. You
dian of records referred to in para- may inspect a copy of the incorporated
graphs (a) and (b) shall, upon request standard at the Federal Railroad Ad-
by FRA or an FRA-certified State in- ministration, Docket Clerk, 1120
spector, make available for inspection Vermont Ave., NW. Suite 7000, Wash-
and duplication within 7 days, any ington, DC 20590 or at the National Ar-
records referred to in paragraphs (a) chives and Records Administration
and (b) of this section. (NARA). For more information on the
(d) Third party storage of records. Each availability of this material at NARA,
custodian of records referred to in call 202–741–6030, or go to http://
paragraphs (a) and (b) of this section www.archives.gov/federallregister/
may delegate storage duties to a third codeloflfederallregulations/
party; however, the custodian retains ibrllocations.html.
all responsibility for compliance with (b) Internal fuel tanks. Locomotives
this section. equipped with internal fuel tanks shall,
at a minimum, comply with the re-
[71 FR 36914, June 28, 2006]
quirements of § 238.223(b) of this chap-
§ 229.217 Fuel tank. ter.
(a) External fuel tanks. Locomotives [71 FR 36914, June 28, 2006]
equipped with external fuel tanks
shall, at a minimum, comply with the APPENDIX A TO PART 229—FORM FRA
requirements of AAR S–5506, ‘‘Per- 6180–49A
formance Requirements for Diesel
Electric Locomotive Fuel Tanks’’ (Oc- EDITORIAL NOTE: Appendix A, published at
45 FR 21118, Mar. 31, 1980, as part of the origi-
tober 1, 2001), except for section 4.4.
nal document, is not carried in the CFR.
This paragraph does not apply to loco- Copies of Form FRA F6180–49A are available
motives subject to the fuel tank safety by contacting the Federal Railroad Adminis-
requirements of § 238.223 or § 238.423 of tration, Office of Standards and Procedures,
this chapter. The Director of the Fed- 400 7th St., SW., Washington, DC 20590.
APPENDIX B TO PART 229—SCHEDULE OF CIVIL PENALTIES1

Willful viola-
Subpart A—General
229.7 Prohibited acts: Safety deficiencies not governed by specific regulations: To be assessed
on relevant facts ................................................................................................................................ $1,000– $2,000–
5,000 7,500
229.9 Movement of noncomplying locomotives ................................................................................. (1) (1)
229.11 Locomotive identification ........................................................................................................ 1,000 2,000
229.13 Control of locomotives ............................................................................................................ 2,500 5,000
229.17 Accident reports ...................................................................................................................... 2,500 5,000
229.19 Prior Waivers .......................................................................................................................... (1) (1)
Subpart B—Inspection and tests
229.21 Daily inspection:

(a)(b):
(1) Inspection overdue .............................................................................................. 2,000 4,000
(2) Inspection report not made, improperly executed, or not retained .................... 1,000 2,000
(c) Inspection not performed by a qualified person ................................................................ 1,000 2,000
454
Willful viola-
229.23 Periodic inspection General

(a)(b):
(2) Inspection performed improperly or at a location where the underneath por-
tion cannot be safely inspected ............................................................................ 2,500 5,000
(c)(d):
(1) Form missing ...................................................................................................... 1,000 2,000
(2) Form not properly displayed ............................................................................... 1,000 2,000
(3) Form improperly executed .................................................................................. 1,000 2,000
(e) Replace Form FRA F 6180–49A by April 2 ...................................................................... 1,000 2,000
(f) Secondary record of the information reported on Form FRA F 6180.49A ........................ 1,000 2,000
229.25
(a) through (e)(4) Tests: Every periodic inspection ....................................................................... 2,500 5,000
(e)(5) Ineffective maintenance ....................................................................................................... 8,000 16,000
229.27 Annual tests ............................................................................................................................ 2,500 5,000
229.29 Biennial tests .......................................................................................................................... 2,500 5,000
229.31:
(a) Biennial hydrostatic tests of main reservoirs .................................................................... 2,500 5,000
(b) Biennial hammer tests of main reservoirs ........................................................................ 2,500 5,000
(c) Drilled telltale holes in welded main reservoirs ................................................................. 2,500 5,000
(d) Biennial tests of aluminum main reservoirs ...................................................................... 2,500 5,000
229.33 Out-of-use credit ..................................................................................................................... 1,000 2,000
Subpart C—Safety Requirements
229.41 Protection against personal injury .......................................................................................... 2,500 5,000

229.43 Exhaust and battery gases ..................................................................................................... 2,500 5,000
229.45 General condition: To be assessed based on relevant facts ................................................. 1,000–5,000 2,000–7,500
229.46 Brakes: General ...................................................................................................................... 2,500 5,000
229.47 Emergency brake valve .......................................................................................................... 2,500 5,000
229.49 Main reservoir system:
(a)(1) Main reservoir safety valve ........................................................................................... 2,500 5,000
(2) Pneumatically actuated control reservoir .......................................................................... 2,500 5,000
(b)(c) Main reservoir governors .............................................................................................. 2,500 5,000
229.51 Aluminum main reservoirs ...................................................................................................... 2,500 5,000
229.53 Brake gauges .......................................................................................................................... 2,500 5,000
229.55 Piston travel ............................................................................................................................ 2,500 5,000
229.57 Foundation brake gear ........................................................................................................... 2,500 5,000
229.59 Leakage .................................................................................................................................. 2,500 5,000
229.61 Draft system ............................................................................................................................ 2,500 5,000
229.63 Lateral motion ......................................................................................................................... 2,500 5,000
229.64 Plain bearing ........................................................................................................................... 2,500 5,000
229.65 Spring rigging .......................................................................................................................... 2,500 5,000
229.67 Trucks ..................................................................................................................................... 2,500 5,000
229.69 Side bearings .......................................................................................................................... 2,500 5,000
229.71 Clearance above top of rail .................................................................................................... 2,500 5,000
229.73 Wheel sets .............................................................................................................................. 2,500 5,000
229.75 Wheel and tire defects:
(a),(d) Slid flat or shelled spot(s):
(1) One spot 21⁄2″ or more but less than 3″ in length .............................................. 2,500 5,000
(2) One spot 3″ or more in length ............................................................................ 5,000 7,500
(3) Two adjoining spots each of which is 2″ or more in length but less than 21⁄2″
in length ................................................................................................................ 2,500 5,000
(4) Two adjoining spots each of which are at least 2″ in length, if either spot is
21⁄2″ or more in length .......................................................................................... 5,000 7,500
(b) Gouge or chip in flange of:
(1) more than 11⁄2″ but less than 15⁄8″ in length; and more than 1⁄2″ but less than
5⁄8″ in width ........................................................................................................... 2,500 5,000
(2) 15⁄8″ or more in length and 5⁄8″ or more in width ............................................... 5,000 7,500
(c) Broken rim ......................................................................................................................... 5,000 7,500
(e) Seam in tread .................................................................................................................... 2,500 5,000
(f) Flange thickness of:
(1) 7⁄8″ or less but more than 13⁄16″ .......................................................................... 2,500 5,000
(2) 13⁄16″ or less ........................................................................................................ 5,000 7,500
(g) Tread worn hollow ............................................................................................................. 2,500 5,000
(h) Flange height of:
(1) 11⁄2″ or greater but less than 15⁄8″ ...................................................................... 2,500 5,000
(2) 15⁄8″ or more ....................................................................................................... 5,000 7,000
(i) Tire thickness ..................................................................................................................... 2,500 5,000
(j) Rim thickness:
(1) Less than 1″ in road service and 3⁄4″ in yard service ........................................ 2,500 5,000
(2) 15⁄16″ or less in road service and 11⁄16″ in yard service ..................................... 5,000 7,500
(k) Crack of less than 1″ ......................................................................................................... 5,000 7,500
455
Willful viola-
(1) Crack of less than 1″ .......................................................................................... 2,500 5,000

(2) Crack of 1″ or more ............................................................................................ 5,000 7,500
(3) Break ................................................................................................................... 5,000 7,500
(l) Loose wheel or tire ............................................................................................................. 5,000 7,500
(m) Welded wheel or tire ........................................................................................................ 5,000 7,500
229.77 Current collectors .................................................................................................................... 2,500 5,000
229.79 Third rail shoes and beams .................................................................................................... 2,000 4,000
229.81 Emergency pole; shoe insulation ........................................................................................... 2,500 5,000
229.83 Insulation or grounding ........................................................................................................... 5,000 7,500
229.85 Door and cover plates marked ‘‘Danger’’ ............................................................................... 2,500 5,000
229.87 Hand operated switches ......................................................................................................... 2,500 5,000
229.89 Jumpers; cable connections:
(a) Jumpers and cable connections; located and guarded .................................................... 2,500 5,000
(b) Condition of jumpers and cable connections .................................................................... 2,500 5,000
229.91 Motors and generators ........................................................................................................... 2,500 5,000
229.93 Safety cut-off device ............................................................................................................... 2,500 5,000
229.95 Venting .................................................................................................................................... 2,500 5,000
229.97 Grounding fuel tanks .............................................................................................................. 2,500 5,000
229.99 Safety hangers ........................................................................................................................ 2,500 5,000
229.101 Engines:
(a) Temperature and pressure alarms, controls, and switches .............................................. 2,500 5,000
(b) Warning notice .................................................................................................................. 2,500 5,000
(c) Wheel slip/slide protection ................................................................................................. 2,500 5,000
229.103 Safe working pressure; factor of safety ................................................................................ 2,500 5,000
229.105 Steam generator number ...................................................................................................... 500 1,000
229.107 Pressure gauge .................................................................................................................... 2,500 5,000
229.109 Safety valves ........................................................................................................................ 2,500 5,000
229.111 Water-flow indicator .............................................................................................................. 2,500 5,000
229.113 Warning notice ...................................................................................................................... 2,500 5,000
229.115 Slip/slide alarms .................................................................................................................... 2,500 5,000
229.117 Speed indicators ................................................................................................................... 2,500 5,000
229.119 Cabs, floors, and passageways:
(a)(1) Cab set not securely mounted or braced ..................................................................... 2,500 5,000
(2) Insecure or improper latching device ................................................................. 2,500 5,000
(b) Cab windows of lead locomotive ...................................................................................... 2,500 5,000
(c) Floors, passageways, and compartments ......................................................................... 2,500 5,000
(d) Ventilation and heating arrangement ................................................................................ 2,500 5,000
(e) Continuous barrier ............................................................................................................. 2,500 5,000
(f) Containers for fuses and torpedoes ................................................................................... 2,500 5,000
229.121 Locomotive Cab Noise:
(a) Performance Standards
(1) Failure to meet sound level ................................................................................ 5,000 7,500
(2) Improper maintenance alterations ...................................................................... 2,500 5,000
(3) Failure to comply with static test protocols ........................................................ 2,500 5,000
(b) Maintenance of Locomotives
(1) Failure to maintain excessive noise report record or respond to report as re-
quired .................................................................................................................... 2,500 5,000
(3) Failure to make good faith effort as required ..................................................... 2,500 5,000
(4) Failure to maintain record as required ............................................................... 2,000 4,000
229.123 Pilots, snowplows, end plates .............................................................................................. 2,500 5,000
229.125
(a) Headlights ................................................................................................................................. 2,500 5,000
(d) Auxiliary lights ........................................................................................................................... 2,500 5,000
229.127 Cab lights .............................................................................................................................. 2,500 5,000
229.129 Locomotive horn:
(a) Prescribed sound levels .................................................................................................................. 2,500 5,000
Arrangement of horn ............................................................................................................... 2,500 5,000
(b) Failure to perform sound level test .................................................................................................. 2,500 5,000
(c) Sound level test improperly performed ............................................................................................ 2,500 5,000
Record of sound level test improperly executed, or not retained .......................................... 1,000 4,000
229.131 Sanders ................................................................................................................................. 1,000 2,000
229.135 Event Recorders:
(a) Lead locomotive without in-service event recorder .................................................................. 2,500 5,000
(b) Failure to meet equipment requirements ................................................................................. 2,500 5,000
(c) Unauthorized removal or failure to remove from service ......................................................... 2,500 5,000
(d) Improper response to out of service event recorder ................................................................ 2,500 5,000
(e) Failure to preserve data or unauthorized extraction of data .................................................... 2,500 5,000
(g) Tampering with device or data ................................................................................................. 2,500 5,000
229.141 Body structure, MU locomotives ........................................................................................... 2,500 5,000
229.137 Sanitation, general:
(a) Sanitation compartment in lead unit, complete failure to provide required items ............ $5,000 $10,000
(1) Ventilation ........................................................................................................... 2,500 5,000
(2) Door missing ....................................................................................................... 2,000 4,000
456
Willful viola-
(2)(i) Door doesn’t close ........................................................................................... 1,000 2,000

(2)(ii) No modesty lock ............................................................................................. 1,000 2,000
(3) Not equipped with toilet in lead .......................................................................... 5,000 10,000
(4) Not equipped with washing system .................................................................... 1,000 2,000
(5) Lack of paper ...................................................................................................... 1,000 2,000
(6) Lack of trash receptacle ..................................................................................... 1,000 2,000
(b) Exceptions:
(1)(i) Commuter service, failure to meet conditions of exception ............................ 2,500 5,000
(1)(ii) Switching service, failure to meet conditions of exception ............................. 2,500 5,000
(1)(iii) Transfer service, failure to meet conditions of exception .............................. 2,500 5,000
(1)(iv) Class III, failure to meet conditions of exception .......................................... 2,500 5,000
(1)(v) Tourist, failure to meet conditions of exception ............................................. 2,500 5,000
(1)(vi) Control cab locomotive, failure to meet conditions of exception ................... 2,500 5,000
(2) Noncompliant toilet ............................................................................................. 5,000 10,000
(c) Defective/unsanitary toilet in lead unit .............................................................................. 2,500 5,000
(1–5) Failure to meet conditions of exception .......................................................... 2,500 5,000
(d) Defective/unsanitary unit; failure to meet conditions for trailing position ......................... 2,500 5,000
(e) Defective/sanitary unit; failure to meet conditions for switching/transfer service ............. 2,500 5,000
(f) Paper, washing, trash holder; failure to equip prior to departure ...................................... 2,500 5,000
(g) Inadequate ventilation; failure to repair or move prior to departure ................................. 2,500 5,000
(h) Door closure/modesty lock; failure to repair or move ....................................................... 1,000 2,000
(i) Failure to retain/maintain of equipped units ....................................................................... 2,500 5,000
(j) Failure to equip new units/in-cab facility ............................................................................ 2,500 5,000
(k) Failure to provide potable water ........................................................................................ 2,500 5,000
229.139 Servicing requirements:
(a) Lead occupied unit not sanitary ........................................................................................ 2,500 5,000
(b) Components not present/operating ................................................................................... 2,500 5,000
(c) Occupied unit in switching, transfer service, in trailing position not sanitary ................... 2,500 5,000
(d) Defective unit used more than 10 days ............................................................................ 2,500 5,000
(e) Failure to repair defective modesty lock ........................................................................... 1,000 2,000
Subpart D—Locomotive Crashworthiness Design Requirements
229.205 General requirements:.

(a)(1) Wide-nose locomotive not designed in compliance with AAR S–580–2005 ............... $5,000 $7,500
(2) Wide-nose locomotive not designed in compliance with new approved design
standard ................................................................................................................ 5,000 7,500
(3) Wide-nose locomotive not designed in compliance with alternate approved
design standard .................................................................................................... 5,000 7,500
(b) Monocoque or semi-monocoque locomotive not in compliance with design require-
ments ................................................................................................................................... 5,000 7,500
(c) Narrow-nose not in compliance with design requirements ............................................... 5,000 7,500
229.206 Design requirements:
Locomotive fails to meet—
(1) Emergency egress requirements ........................................................................ 2,500 5,000
(2) Emergency interior lighting requirements ........................................................... 2,500 5,000
(3) Interior configuration requirements ..................................................................... 2,500 5,000
229.213 Locomotive manufacturing information:
(a) Failure to retain required information ................................................................................ 2,500 5,000
(b) Failure to produce required information ............................................................................ 2,500 5,000
229.215 Retention and inspection of designs:
(a) Failure to retain required design records .......................................................................... 2,500 5,000
(b) Failure to retain required repair or modification records .................................................. 2,500 5,000
(c) Failure to make records available when requested .......................................................... 2,500 5,000
229.217 Fuel tank:
(a) External fuel tank .............................................................................................................. 5,000 7,500
(b) Internal fuel tank ................................................................................................................ 5,000 7,500
1 A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these
regulations are discovered with respect to a single locomotive that is used by a railroad, the appropriate penalties set forth above
are aggregated up to a maximum of $10,000 per day. However, a failure to perform, with respect to a particular locomotive, any
of the inspections and tests required under subpart B of this part will be treated as a violation separate and distinct from, and in
addition to, any substantive violative conditions found on that locomotive. Moreover, the Administrator reserves the right to as-
sess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
Failure to observe any condition for movement set forth in § 229.9 will deprive the railroad of the benefit of the movement-for-
repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s)
concerning the substantive defect(s) present on the locomotive at the time of movement. Failure to comply with § 229.19 will re-
sult in the lapse of any affected waiver.
[53 FR 52931, Dec. 29, 1988, as amended at 58 FR 36615, July 8, 1993; 61 FR 8888, Mar. 6, 1996;
63 FR 11622, Mar. 10, 199867 FR 16052, Apr. 4, 2002; 69 FR 30594, May 28, 2004; 70 FR 21920, Apr.
27, 2005; 70 FR 37942, June 30, 2005; 71 FR 36915, June 28, 2006; 71 FR 47667, Aug. 17, 2006; 71 FR
63136, Oct. 27, 2006]
457
EFFECTIVE DATE NOTE: At 72 FR 51197, B. MARKING REQUIREMENTS
Sept. 6, 2007, footnote 1 to appendix B to part
1. The outer surface of the event recorder
229 was amended by removing the numerical containing a certified crashworthy ERMM
amount ‘‘$10,000’’ and adding in its place the shall be colored international orange. In ad-
numerical amount ‘‘$16,000’’, effective Octo- dition, the outer surface shall be inscribed,
ber 9, 2007. on the surface allowing the most visible
area, in black letters on an international or-
APPENDIX C TO PART 229—FRA LOCO- ange background, using the largest type size
MOTIVE STANDARDS—CODE OF DE- that can be accommodated, with the words
FECTS CERTIFIED DOT CRASHWORTHY, followed
by the ERMM model number (or other such
designation), and the name of the manufac-
EDITORIAL NOTE: Appendix C, published at
turer of the event recorder. This information
45 FR 21121, Mar. 31, 1980, as part of the origi- may be displayed as follows:
nal document, is not carried in the CFR.
CERTIFIED DOT CRASHWORTHY
APPENDIX D TO PART 229—CRITERIA FOR Event Recorder Memory Module Model Num-
CERTIFICATION OF CRASHWORTHY ber
EVENT RECORDER MEMORY MODULE Manufacturer’s Name
Marking ‘‘CERTIFIED DOT CRASH-
Section 229.135(b) requires that certain lo- WORTHY’’ on an event recorder designed for
comotives be equipped with an event re- installation in a railroad locomotive is the
corder that includes a certified crashworthy certification that all performance criteria
event recorder memory module. This appen- contained in this appendix have been met
dix prescribes the requirements for certi- and all functions performed by, or on behalf
fying an event recorder memory module of, the manufacturer whose name appears as
(ERMM) as crashworthy, including the per- part of the marking, conform to the require-
formance criteria and test sequence for es- ments specified in this appendix.
tablishing the crashworthiness of the ERMM 2. Retro-reflective material shall be ap-
as well as the marking of the event recorder plied to the edges of each visible external
containing the crashworthy ERMM. surface of an event recorder containing a
certified crashworthy ERMM.
A. GENERAL REQUIREMENTS
C. PERFORMANCE CRITERIA FOR THE ERMM
1. Each manufacturer that represents its
An ERMM is crashworthy if it has been
ERMM as crashworthy shall, by marking it
successfully tested for survival under condi-
as specified in Section B of this appendix,
tions of fire, impact shock, static crush,
certify that the ERMM meets the perform-
fluid immersion, and hydro-static pressure
ance criteria contained in this appendix and contained in one of the two tables shown in
that test verification data are available to a this section of Appendix D. (See Tables 1 and
railroad or to FRA upon request. 2.) Each ERMM must meet the individual
2. The test verification data shall contain, performance criteria in the sequence estab-
at a minimum, all pertinent original data lished in Section D of this appendix. A per-
logs and documentation that the test sample formance criterion is deemed to be met if,
preparation, test set up, test measuring de- after undergoing a test established in this
vices and test procedures were performed by Appendix D for that criterion, the ERMM
designated, qualified personnel using recog- has preserved all of the data stored in it. The
nized and acceptable practices. Test data set stored in the ERMM to be tested
verification data shall be retained by the shall include all the recording elements re-
manufacturer or its successor as long as the quired by § 229.135(b). The following tables de-
specific model of ERMM remains in service scribe alternative performance criteria that
on any locomotive. may be used when testing an ERMM’s crash-
3. A crashworthy ERMM shall be marked worthiness. A manufacturer may utilize ei-
ther table during its testing but may not
by its manufacturer as specified in Section B
combine the criteria contained in the two ta-
of this appendix.
bles.
TABLE 1—ACCEPTABLE PERFORMANCE CRITERIA—OPTION A
Parameter Value Duration Remarks
Fire, High Temperature ........... 750 °C (1400 °F) ................... 60 minutes ............................. Heat source: Oven.
Fire, Low Temperature ............ 260 °C (500 °F) ..................... 10 hours.
Impact Shock ........................... 55g ......................................... 100 ms ................................... ⁄ sine crash pulse.
12
Static Crush ............................. 110kN (25,000 lbf) ................. 5 minutes.

458
TABLE 1—ACCEPTABLE PERFORMANCE CRITERIA—OPTION A—Continued

Fluid Immersion ....................... #1 Diesel, #2 Diesel, Water, Any single fluid, 48 hours.
Salt Water, Lube Oil.
............................................. Fire Fighting Fluid .................. 10 minutes, following immer- Immersion followed by 48
sion above. hours in a dry location with-
out further disturbance.
Hydrostatic Pressure ............... Depth equivalent = 15 m. (50 48 hours at nominal tempera-
ft.). ture of 25 °C (77 °F).
TABLE 2—ACCEPTABLE PERFORMANCE CRITERIA—OPTION B

Fire, High Temperature ........... 1000 °C (1832 °F) ................. 60 minutes ............................. Heat source: Open flame.
Fire, Low Temperature ............ 260 °C (500 °F) ..................... 10 hours ................................. Heat source: Oven.
Impact Shock—Option 1 ......... 23gs ....................................... 250 ms.
Impact Shock—Option 2 ......... 55gs ....................................... 100 ms ................................... ⁄ sine crash pulse.
12
Static Crush ............................. 111.2kN (25,000 lbf) .............. 5 minutes.

44.5kN (10,000 lbf) ................ (single ‘‘squeeze’’) ................. Applied to 25% of surface of
largest face.
Fluid Immersion ....................... #1 Diesel, #2 Diesel, Water, 48 hours each.
Salt Water, Lube Oil, Fire
Fighting Fluid.
Hydrostatic Pressure ............... 46.62 psig (= 30.5 m. or 100 48 hours at nominal tempera-
ft.). ture of 25 °C (77 °F).
D. TESTING SEQUENCE utilized throughout. If a manufacturer opts

for split branch testing, each branch of the
In order to reasonably duplicate the condi- test must be conducted using an ERMM of
tions an event recorder may encounter, the the same design type as used for the other
ERMM shall meet the various performance branch. Both alternatives are deemed equiv-
criteria, described in Section C of this appen- alent, and the choice of single branch testing
dix, in a set sequence. (See Figure 1). If all or split branch testing may be determined by
tests are done in the set sequence (single the party representing that the ERMM
branch testing), the same ERMM must be meets the standard.
459
E. TESTING EXCEPTION lowing criteria describes a collision scenario

and a given performance measure for protec-
If a new model ERMM represents an evo-
tion provided to cab occupants, normally
lution or upgrade from an older model
through structural design. Demonstration
ERMM that was previously tested and cer-
that these performance criteria have been
tified as meeting the performance criteria
satisfied may be accomplished through any
contained in Section C of this appendix, the
of the methods described in § 229.205. This
new model ERMM need only be tested for
performance criteria is intended to prevent
compliance with those performance criteria
intrusion into the cab seating area occupied
contained in Section C of this appendix that
by crews. This excludes inner and outer ves-
are potentially affected by the upgrade or
tibule areas.
modification. FRA will consider a perform-
(a) Front end structure (collision posts).—(1)
ance criterion not to be potentially affected
Objective. The front end structure of the loco-
if a preliminary engineering analysis or
motive must withstand a frontal impact
other pertinent data establishes that the
with a proxy object which is intended to sim-
modification or upgrade will not change the
ulate lading carried by a heavy highway ve-
performance of the older model ERMM
hicle (see figure 1).
against the performance criterion in ques-
(2) Proxy object characteristics and orienta-
tion. The manufacturer shall retain and
tion. The proxy object must have the fol-
make available to FRA upon request any
lowing characteristics: Cylindrical shape; 48-
analysis or data relied upon to satisfy the re-
inch diameter; 126-inch length; 65,000 pound
quirements of this paragraph to sustain an
minimum weight; and uniform density. The
exception from testing.
longitudinal axis of the proxy object must be
[70 FR 37942, June 30, 2005] oriented horizontally perpendicular to the
longitudinal axis of the locomotive.
APPENDIX E TO PART 229—PERFORMANCE (3) Impact and result. The front end struc-
CRITERIA FOR LOCOMOTIVE CRASH- ture of the locomotive must withstand a 30-
WORTHINESS mph impact with the proxy object resulting
in no more than 24 inches of crush along the
This appendix provides performance cri- longitudinal axis of the locomotive, meas-
teria for the crashworthiness evaluation of ured from the foremost point on the collision
alternative locomotive designs, and design post, and with no more than 12 inches of in-
standards for wide-nosed locomotives and trusion into the cab. The center of impact
any for other locomotive, except monocoque/ must be 30 inches above the top of the loco-
semi-monocoque design locomotives and nar- motive underframe along the longitudinal
row-nose design locomotives. Each of the fol- centerline of the locomotive.
460
ER30JN05.002</GPH>
Federal Railroad Administration, DOT Pt. 229, App. E
(b) Front end structure (short hood) oriented parallel to the longitudinal axis of
(1) Objective. The front end structure of the the locomotive. At impact, the proxy object
locomotive must withstand an oblique im- must be oriented such that there are 12
pact with a proxy object intended to simu- inches of lateral overlap and 30 inches from
late an intermodal container offset from a the bottom of the proxy object to the top of
freight car on an adjacent parallel track (see the locomotive underframe.
figure 2). (3) Impact and results. The front end struc-
(2) Proxy object characteristics and orienta- ture of the locomotive must withstand a 30-
tion. The proxy object must have the fol- mph impact with the proxy object resulting
lowing characteristics: Block shape; 36-inch in no more than 60 inches of crush along the
width; 60-inch height; 108-inch length; cor- longitudinal axis of the locomotive, meas-
ners having 3-inch radii corners; 65,000 pound ured from the first point of contact on the
minimum weight; and uniform density. The short hood post, and with no more than 12
longitudinal axis of the proxy object must be inches of intrusion into the cab.
461
ER28JN06.004</GPH>
Pt. 229, App. H 49 CFR Ch. II (10–1–07 Edition)
[71 FR 36915, June 28, 2006] tion in accordance with 5 U.S.C. 552(a) and 1
CFR part 51. You may obtain a copy of the
APPENDIXES F–G TO PART 229 incorporated standards from the American
[RESERVED] National Standards Institute at 1819 L
Street, NW., Washington, DC 20036 or http://
APPENDIX H TO PART 229: STATIC NOISE www.ansi.org. You may inspect a copy of the
TEST PROTOCOLS—IN-CAB STATIC incorporated standards at the Federal Rail-
road Administration, Docket Room, 1120
This appendix prescribes the procedures for Vermont Ave., NW., Suite 700, Washington,
the in-cab static measurements of loco- DC 20005, or at the National Archives and
motives. Records Administration (NARA). For infor-
mation on the availability of this material
I. MEASUREMENT INSTRUMENTATION at NARA, call 202–741–6030, or go to http://
The instrumentation used should conform www.archives.gov/federallregister/
to the following: An integrating-averaging codeloflfederallregulations/
sound level meter shall meet all the require- ibrllocations.html
ments of ANSI S1.43–1997 (Reaffirmed 2002),
II. TEST SITE REQUIREMENTS
‘‘Specifications for Integrating-Averaging
Sound Level Meters,’’ for a Type 1 Instru- The test site shall meet the following re-
ment. In the event that a Type 1 instrument quirements:
is not available, the measurements may be (1) The locomotive to be tested should not
conducted with a Type 2 instrument. The be positioned where large reflective surfaces
acoustic calibrator shall meet the require- are directly adjacent to or within 25 feet of
ment of the ANSI S1.40–1984 (Reaffirmed the locomotive cab.
2001), ‘‘Specification for Acoustical Cali- (2) The locomotive to be tested should not
brators.’’ The Director of the Federal Reg- be positioned where other locomotives or
ister approves the incorporation by reference rail cars are present on directly adjacent
of ANSI S1.43–1997 (Reaffirmed 2002) and tracks next to or within 25 feet of the loco-
ANSI S1.40–1984 (Reaffirmed 2001) in this sec- motive cab.
462
ER28JN06.005</GPH>
Federal Railroad Administration, DOT Pt. 229, App. H
(3) All windows, doors, cabinets seals, etc., (2) The sound level meter shall be cali-
must be installed in the locomotive cab and brated with the acoustic calibrator imme-
be closed. diately before and after the in-cab static
(4) The locomotive must be running for suf- tests. The calibration levels shall be re-
ficient time before the test to be at normal corded.
operating temperature. (3) Any change in the before and after cali-
(5) The heating, ventilation and air condi- bration level(s) shall be less than 0.5 dB.
tioning (HVAC) system or a dedicated heat-
(4) The sound level meter shall be meas-
ing or air conditioner system must be oper-
ured at each of the following locations:
ating on high, and the vents must be open
and unobstructed. (A) 30 inches above the center of the left
(6) The locomotive shall not be tested in seat;
any site specifically designed to artificially (B) Centered in the middle of the cab be-
lower in-cab noise levels. tween the right and left seats, and 56 inches
above the floor;
III. PROCEDURES FOR MEASUREMENT (C) 30 inches above the center of the right
(1) LAeq, T is defined as the A-weighted, seat; and
equivalent sound level for a duration of T (D) One foot (0.3 meters) from the center of
seconds, and the sound level meter shall be the back interior wall of the cab and 56
set for A-weighting with slow response. inches above the floor. See Figure 1.
(5) The observer shall stand as far from the minimum duration of 30 seconds at each
microphone as possible. No more than two measurement position (LAeq, 30s).
people (tester, observers or crew members) (9) The highest LAeq, 30s of the 4 measure-
shall be inside the cab during measurements. ment positions shall be used for determining
(6) The locomotive shall be tested under compliance with § 229.121(a).
self-loading conditions if so equipped. If the (10) A locomotive that has failed to meet
locomotive is not equipped with self load, the static test requirements of this regula-
the locomotive shall be tested with no-load tion may be re-tested in accordance with the
(No-load defined as maximum RPM—no elec- requirements in section II of this appendix.
tric load) and an adjustment of 3 dB added to
the measured level. IV. RECORDKEEPING
(7) The sound level shall be recorded at the To demonstrate compliance, the entity
highest horsepower or throttle setting. conducting the test shall maintain records of
(8) After the engine speed has become con- the following data. The records created
stant and the in-cab noise is continuous, under this procedure shall be retained and
LAeq, T shall be measured, either directly or made readily accessible for review for a min-
using a 1 second sampling interval, for a
imum of three years. All records may be
463
ER27OC06.005</GPH>
maintained in either written or electronic Subpart B—Boilers and Appurtenances
form.
(1) Name(s) of persons conducting the test, 230.23 Responsibility for general construc-
and the date of the test. tion and safe working pressure.
(2) Description of locomotive being tested,
ALLOWABLE STRESS
including: make, model number, serial num-
ber, and date of manufacture. 230.24 Maximum allowable stress.
(3) Description of sound level meter and 230.25 Maximum allowable stress on stays
calibrator, including: make, model, type, se- and braces.
rial number, and manufacturer’s calibration
date. STRENGTH OF MATERIALS
(4) The recorded measurement during cali- 230.26 Tensile strength of shell plates.
bration and for each microphone location 230.27 Maximum shearing strength of rivets.
during operating conditions. 230.28 Higher shearing strength of rivets.
(5) Other information as appropriate to de-
scribe the testing conditions and procedure, INSPECTION AND REPAIR
including whether or not the locomotive was 230.29 Inspection and repair.
tested under self-loading conditions, or not. 230.30 Lap-joint seam boilers.
(6) Where a locomotive fails a test and is 230.31 Flues to be removed.
re-tested under the provisions of § III(9) of 230.32 Time and method of inspection.
this appendix, the suspected reason(s) for the 230.33 Welded repairs and alterations.
failure. 230.34 Riveted repairs and alterations.
[71 FR 63136, Oct. 27, 2006]
PRESSURE TESTING OF BOILERS
230.35 Pressure testing.
PART 230—STEAM LOCOMOTIVE 230.36 Hydrostatic testing of boilers.
INSPECTION AND MAINTENANCE 230.37 Steam test following repairs or alter-
STANDARDS ations.
STAYBOLTS
Subpart A—General
230.38 Telltale holes.
Sec. 230.39 Broken staybolts.
230.1 Purpose and scope. 230.40 Time and method of staybolt testing.
230.2 Applicability. 230.41 Flexible staybolts with caps.
230.3 Implementation.
230.4 Penalties. STEAM GAUGES
230.5 Preemptive effect. 230.42 Location of gauges.
230.6 Waivers. 230.43 Gauge siphon.
230.7 Responsibility for compliance. 230.44 Time of testing.
230.8 Definitions. 230.45 Method of testing.
230.9 Information collection. 230.46 Badge plates.
230.10 [Reserved] 230.47 Boiler number.
GENERAL INSPECTION REQUIREMENTS SAFETY RELIEF VALVES

230.11 Repair of non-complying conditions. 230.48 Number and capacity.
230.12 Movement of non-complying steam 230.49 Setting of safety relief valves.
locomotives. 230.50 Time of testing.
230.13 Daily inspection.
230.14 Thirty-one (31) service day inspec- WATER GLASSES AND GAUGE COCKS
tion. 230.51 Number and location.
230.15 Ninety-two (92) service day inspec- 230.52 Water glass valves.
tion. 230.53 Time of cleaning.
230.16 Annual inspection. 230.54 Testing and maintenance.
230.17 One thousand four hundred seventy- 230.55 Tubular type water and lubricator
two (1472) service day inspection. glasses and shields.
230.56 Water glass lamps.
RECORDKEEPING REQUIREMENTS
INJECTORS, FEEDWATER PUMPS, AND FLUE
230.18 Service days. PLUGS
230.19 Posting of FRA Form No. 1 and FRA
Form No. 3. 230.57 Injectors and feedwater pumps.
230.20 Alteration and repair report for 230.58 Flue plugs.
steam locomotive boilers.
FUSIBLE PLUGS
230.21 Steam locomotive number change.
230.22 Accident reports. 230.59 Fusible plugs.
464
WASHING BOILERS 230.94 Crossheads.
230.60 Time of washing. 230.95 Guides.
230.61 Arch tubes, water bar tubes, 230.96 Main, side, and valve motion rods.
circulators and thermic siphons. 230.97 Crank pins.
STEAM PIPES RUNNING GEAR

230.62 Dry pipe. 230.98 Driving, trailing, and engine truck
230.63 Smoke box, steam pipes and pressure axles.
parts. 230.99 Tender truck axles.
230.100 Defects in tender truck axles and
STEAM LEAKS
journals.
230.64 Leaks under lagging. 230.101 Steam locomotive driving journal
230.65 Steam blocking view of engine crew. boxes.
230.102 Tender plain bearing journal boxes.
Subpart C—Steam Locomotives and 230.103 Tender roller bearing journal boxes.
Tenders 230.104 Driving box shoes and wedges.
230.66 Design, construction, and mainte- 230.105 Lateral motion.
nance.
TRUCKS, FRAMES AND EQUALIZING SYSTEM
230.67 Responsibility for inspection and re-
pairs. 230.106 Steam locomotive frame.
230.107 Tender frame and body.
SPEED INDICATORS
230.108 Steam locomotive leading and trail-
230.68 Speed indicators. ing trucks.
230.109 Tender trucks.
ASH PANS
230.110 Pilots.
230.69 Ash pans. 230.111 Spring rigging.
BRAKE AND SIGNAL EQUIPMENT WHEELS AND TIRES
230.70 Safe condition. 230.112 Wheels and tires.
230.71 Orifice testing of compressors.
230.113 Wheels and tire defects.
230.72 Testing main reservoirs.
230.73 Air gauges. 230.114 Wheel centers.
230.74 Time of cleaning. STEAM LOCOMOTIVE TANKS
230.75 Stenciling dates of tests and clean-
ing. 230.115 Feed water tanks.
230.76 Piston travel. 230.116 Oil tanks.
230.77 Foundation brake gear. APPENDIX A TO PART 230—INSPECTION RE-
230.78 Leakage. QUIREMENTS
230.79 Train signal system.
APPENDIX B TO PART 230—DIAGRAMS AND
CABS, WARNING SIGNALS, SANDERS AND DRAWINGS
LIGHTS APPENDIX C TO PART 230—FRA INSPECTION
FORMS
230.80 Cabs.
APPENDIX D TO PART 230—CIVIL PENALTY
230.81 Cab aprons.
SCHEDULE
230.82 Fire doors.
230.83 Cylinder cocks. AUTHORITY: 49 U.S.C. 20103, 20107, 20702; 28
230.84 Sanders. U.S.C. 2461, note; and 49 CFR 1.49.
230.85 Audible warning device.
230.86 Required illumination. SOURCE: 64 FR 62865, Nov. 17, 1999, unless
230.87 Cab lights. otherwise noted.
THROTTLES AND REVERSING GEAR

Subpart A—General
230.88 Throttles.
230.89 Reverse gear. § 230.1 Purpose and scope.
DRAW GEAR AND DRAFT SYSTEMS This part prescribes minimum Fed-
eral safety standards for all steam-pro-
230.90 Draw gear between locomotive and
tender. pelled locomotives operated on rail-
230.91 Chafing irons. roads to which this part applies. This
230.92 Draw gear and draft systems. part does not restrict a railroad from
adopting and enforcing additional or
DRIVING GEAR more stringent requirements not in-
consistent with this part.
230.93 Pistons and piston rods.
465
§ 230.2 49 CFR Ch. II (10–1–07 Edition)
§ 230.2 Applicability. such time, and except as provided in

(a) Except as provided in paragraph paragraphs (a) through (c) of this sec-
(b) of this section, this part applies to tion, compliance with the regulations
all railroads that operate steam loco- in effect prior to January 18, 2000 (See
motives. 49 CFR parts 200–999, revised October 1,
(b) This part does not apply to: 1978) will constitute full compliance
(1) A railroad with track gage of less with this part. Any interested person
than 24 inches; may obtain the October 1, 1978 revision
(2) A railroad that operates exclu- of 49 CFR part s 200–999 by contacting
sively freight trains and does so only the Federal Railroad Administration,
on track inside an installation that is Office of Chief Counsel, 400 7th Street,
not part of the general system of trans- SW, Washington, DC 20590.
portation; (a) One year after January 18, 2000.
(3) Rapid transit operations in an The following sections of this part
urban area that are not connected to must be complied with by January 18,
the general system of transportation; 2001: §§ 230.7, 230.51, 230.57, 230.68, 230.70,
or 230.85, 230.87, 230.115, and 230.116.
(4) A railroad that operates passenger (b) Interim flue removal extensions.
trains and does so only on track inside FRA will continue to consider requests
an installation that is insular, i.e., its for flue removal extensions under the
operations are limited to a separate en- provisions of § 230.10 of the regulations
clave in such a way that there is no in effect prior to January 18, 2000 (See
reasonable expectation that the safety 49 CFR parts 200–999, revised October 1,
of the public—except a business guest, 1978) until January 18, 2002.
a licensee of the railroad or an affili- (c) Petition for special consideration.
ated entity, or a trespasser—would be The locomotive owner or operator may
affected by the operation. An operation petition FRA for special consideration
will not be considered insular if one or of this part’s implementation with re-
more of the following exists on its line: spect to any locomotive that has either
(i) A public highway-rail crossing fully or partially satisfied the require-
that is in use; ments of § 230.17 within the three (3)
(ii) An at-grade rail crossing that is year period prior to September 25,
in use; 1998—provided the locomotive is in full
(iii) A bridge over a public road or compliance with § 230.17 by the time
waters used for commercial navigation; the petition is actually filed.1
or (1) Petition process. Petitions must be
(iv) A common corridor with another filed by January 18, 2001 and must be
railroad, i.e., its operations are con- accompanied by all relevant docu-
ducted within 30 feet of those of any mentation to be considered, including a
other railroad. FRA Form No. 4 (see appendix C of this
(c) See appendix A of part 209 for a part) that has been calculated in ac-
current statement of the FRA’s policy cordance with § 230.17, and all records
on its exercise of jurisdiction. that demonstrate the number of days
the locomotive has been in service.
§ 230.3 Implementation. Based upon the documentation pro-
Except as provided in paragraphs (a) vided, FRA will calculate the number
through (c) of this section, the loco- of ‘‘service days’’ the locomotive has
motive owner and/or operator shall per- accrued and will notify the petitioner
form a 1472 service day inspection that
meets the requirements of § 230.17 when 1 NOTE: As an example, where a locomotive
the locomotive’s flues would be re- has received a proper boiler inspection after
quired to be removed pursuant to September 25, 1995 pursuant to §§ 230.10 and
§ 230.10, of the regulations in effect 230.11 of the regulations in effect prior to
prior to January 18, 2000. (See 49 CFR January 18, 2000 but has not had its FRA
Form No. 4 updated, the locomotive owner or
parts 200–999, revised October 1, 1978) At
operator may update and verify the FRA
the time the locomotive owner and/or Form No. 4 for that locomotive, and submit
operator completes this inspection, it a timely petition that requests retroactive
must begin to comply with the rest of credit for the boiler inspection. (See 49 CFR
the provisions of this part. Up until
parts 200–999, revised October 1, 1978.)
466
of the number of service days that re- for a statement of agency civil penalty
main in the locomotive’s 1472 service policy.
day cycle. Petitions should be sent to (b) Any person who knowingly and
FRA by some form of registered mail willfully falsifies a record or report re-
to ensure a record of delivery. FRA will quired by this part may be subject to
investigate these petitions and will re- criminal penalties under 49 U.S.C.
spond to these petitions within one 21311.
year of their receipt. FRA will send its [64 FR 62865, Nov. 17, 1999, as amended at 69
response by some form of registered FR 30594, May 28, 2004]
mail to ensure that a record of delivery
is created. In its response, FRA may
Sept. 6, 2007, § 230.4 was amended in para-
grant the petition or deny it. If FRA graph (a) by removing the numerical amount
grants the petition, the entirety of the ‘‘$11,000’’ and adding in its place the numer-
revised requirements will become effec- ical amount ‘‘$16,000’’, effective October 9,
tive upon receipt of FRA’s response, 2007.
unless FRA’s response indicates other-
wise. If FRA denies the petition, the § 230.5 Preemptive effect.
rule will become effective as provided The Locomotive Boiler Inspection
in the first paragraph of this section. Act (49 U.S.C. 20701–20703) preempts all
(2) FRA silence. Anyone who does not State laws or regulations concerning
receive a response within one year of locomotive safety. Napier v. Atlantic
the date they filed their petition, Coast Line R.R., 272 U.S. 605 (1926). How-
whether through administrative or ever, FRA believes Congress did not in-
postal error, must notify FRA that the tend to preempt State laws or regula-
response has not been received. The no- tions concerning rail operations over
tification should be provided to FRA which FRA does not exercise jurisdic-
by some form of registered mail to en- tion. Therefore, in issuing this part, it
sure a record of delivery. Upon receipt is FRA’s intent that State laws or reg-
of this notification, FRA will ensure ulations applicable to those rail oper-
that a response is either issued, or re- ations to which this part does not
issued, as soon as possible. In the in- apply (i.e., insular tourist operations)
terim, however, any operator who is at not be preempted.
the end of their inspection cycle under
the rules in effect prior to January 18, § 230.6 Waivers.
2000 (See 49 CFR parts 200–999, revised (a) A person subject to a requirement
October 1, 1978) will be allowed to re- of this part may petition the Adminis-
main in service without conducting the trator of FRA for a waiver of compli-
required inspection under § 230.17 for an ance with such requirement. The filing
additional six months, or until they re- of such a petition does not affect that
ceive FRA’s decision, whichever occurs person’s responsibility for compliance
first. with that requirement while the peti-
tion is being considered.
§ 230.4 Penalties. (b) Each petition for waiver under
(a) Any person who violates any re- this section must be filed in the man-
quirement of this part or causes the ner and contain the information re-
violation of any such requirement is quired by part 211 of this chapter.
subject to a civil penalty of at least (c) If the Administrator finds that a
$550 and not more than $11,000 per vio- waiver of compliance is in the public
lation, except that: Penalties may be interest and is consistent with railroad
assessed against individuals only for safety, the Administrator may grant
willful violations, and, where a grossly the waiver subject to any conditions
negligent violation or a pattern of re- the Administrator deems necessary.
peated violations has created an immi- Where a waiver is granted, the Admin-
nent hazard of death or injury to per- istrator publishes a notice containing
sons, or has caused death or injury, a the reasons for granting the waiver.
penalty not to exceed $27,000 per viola- (d) All waivers of every form and
tion may be assessed. Each day a viola- type from any requirement of any
tion continues shall constitute a sepa- order or regulation implementing the
rate offense. See appendix A of part 209 Locomotive Boiler Inspection Act, 36
467
§ 230.7 49 CFR Ch. II (10–1–07 Edition)
Stat. 913, as amended, 49 U.S.C. 20702, all associated surfaces inside that
applicable to one or more steam loco- space exposed to that water and steam.
motives, shall lapse on January 18, 2000 The boiler exterior is the opposite sur-
unless a copy of the grant of waiver is face of all components directly exposed
filed for reassessment prior to that to the boiler interior. This includes the
date with the Office of Safety, Federal fire side of the firebox sheets.
Railroad Administration, 400 Seventh Break. A fracture resulting in com-
Street, Washington, DC 20590. FRA will plete separation into parts.
review the waiver and notify the appli- Code of original construction. The
cant whether the waiver has been con- manufacturer’s or industry code in ef-
tinued. fect when the boiler was constructed. If
the exact code is not known, the clos-
§ 230.7 Responsibility for compliance. est contemporary code may be used
(a) The locomotive owner and/or op- provided it does not pre-date the con-
erator is directly responsible for ensur- struction date of the boiler.
ing that all requirements of this part Crack. A fracture without complete
are satisfied, and is the entity pri- separation into parts, except that cast-
marily responsible for compliance with ings with shrinkage cracks or hot tears
this part. that do not significantly diminish the
(b) Although the duties imposed by strength of the member are not consid-
this part are generally stated in terms ered to be cracked.
of the duties of a railroad or a steam Dead locomotive. A locomotive unable
locomotive owner and/or operator, any to produce tractive effort.
person, including a contractor for a Fire. Anything that produces prod-
railroad, who performs any function ucts of combustion that heat transfer-
covered by this part must perform that ring components of the locomotive are
function in accordance with this part. exposed to.
(c) Chapter 207 of Title 49 of the FRA. The Federal Railroad Adminis-
United States Codes makes it unlawful tration.
for any railroad to use or permit to be Locomotive operator. Person or entity
used on its line any steam locomotive which operates, but which does not
or tender unless the entire steam loco- necessarily own, one or more steam lo-
motive or tender and its parts and ap- comotives. This term means, for pur-
purtenances are in proper condition poses of inspection and maintenance
and safe to operate in the service to responsibility, the entity responsible
which they are put, without unneces- for the day-to-day operation of the
sary danger of personal injury and have steam locomotive, or the delegate
been inspected and tested as required thereof. This entity may be a railroad
by this part. or a person or persons who operate a
steam locomotive under contract for a
§ 230.8 Definitions. railroad.
As used in this part, the terms listed Locomotive owner. Person or entity
in this section have the following defi- which owns, but which does not nec-
nitions: essarily operate, one or more steam lo-
Administrator. The Administrator of comotives that is operated on a rail-
the Federal Railroad Administration or road to which this part applies. For
the Administrator’s delegate. purposes of inspection and mainte-
Alteration. Any change to the boiler nance responsibility, this term in-
which affects its pressure retention ca- cludes that entity’s delegate as well.
pability. Rating changes are considered MAWP. Maximum allowable working
alterations. pressure as specified by the steam loco-
ANSI. American National Standards motive specification FRA Form No. 4.
Institute. (See appendix C of this part.)
API. American Petroleum Institute. NBIC. National Board Inspection
ASME. American Society of Mechan- Code published by the National Board
ical Engineers. of Boiler and Pressure Vessel Inspec-
Boiler surfaces. The boiler interior is tors.
all the space inside a boiler occupied NDE. Non-destructive Examination.
by water or steam under pressure, and NPS. Nominal Pipe Size.
468
Person. An entity of any type covered either designed or used for moving
under 1 U.S.C. 1, including but not lim- other equipment. This includes a self-
ited to the following: a railroad; a man- propelled unit designed or used to
ager, supervisor, official, or other em- carry freight and/or passenger traffic.
ployee or agent of a railroad; any Unstayed Portion of the Boiler. That
owner, manufacturer, lessor, or lessee portion of the boiler designed to be
of railroad equipment, track, or facili- self-supported in retaining internal
ties; any independent contractor pro- pressure without additional strength
viding goods or services to a railroad; members such as staybolts, braces, di-
and any employee of such owner, man- agonal stays, tubes, etc.
ufacturer, lessor, lessee, or independent Wastage. A reduction in the thickness
contractor. of a mechanical component, such as a
Railroad. Any form of non-highway pipe or sheet.
ground transportation that runs on
rails or electromagnetic guideways and § 230.9 Information collection.
any entity providing such transpor- (a) [Reserved]
tation, including commuter or other (b) The information collection re-
short-haul railroad passenger service in quirements are found in the following
a metropolitan or suburban area and sections: §§ 230.3, 230.12 through 230.21,
commuter railroad service that was op- 230.33, 230.34, 230.41, 230.46, 230.47, 230.75,
erated by the Consolidated Rail Cor- 230.96, 230.98, and 230.116.
poration on January 1, 1979; and high
speed ground transportation systems § 230.10 [Reserved]
that connect metropolitan areas, with- GENERAL INSPECTION REQUIREMENTS
out regard to whether those systems
use new technologies not associated § 230.11 Repair of non-complying con-
with traditional railroads; but does not ditions.
include rapid transit operations in an The steam locomotive owner and/or
urban area that are not connected to operator shall repair any steam loco-
the general railroad system of trans- motive that fails to comply with the
portation. conditions of this part, and shall ap-
Renewal. Replacement in kind with a prove any such repairs made, before
newly manufactured or remanufac- placing the locomotive back into serv-
tured (restored to original tolerances) ice.
component. Materials shall be suitable
for the service intended. § 230.12 Movement of non-complying
Repair. Any work which results in a steam locomotives.
restoration in kind. (a) General limitations on movement. A
Serious injury. An injury that results steam locomotive with one or more
in the amputation of any appendage, non-complying conditions may be
the loss of sight in an eye, the fracture moved only as a lite steam locomotive
of a bone, or the confinement in a hos- or a steam locomotive in tow, except as
pital for a period of more than 24 con- provided in paragraph (b) of this sec-
secutive hours. tion. Cars essential to the movement of
Service day. Any calendar day that the steam locomotive and tender(s), in-
the boiler has steam pressure above at- cluding tool cars and a bunk car, may
mospheric pressure with fire in the accompany lite movements.
firebox. In the case of a fireless steam (b) Conditions for movement. Prior to
locomotive, any calendar day that the movement, the steam locomotive
boiler has steam pressure above atmos- owner and/or operator shall determine
pheric pressure. that it is safe to move the locomotive,
Stayed portion of the boiler. That por- determine the maximum speed and
tion of the boiler designed to require other restrictions necessary for safely
support to retain internal pressure by conducting the movement, and notify
the addition of strength members, such in writing the engineer in charge of the
as staybolts, braces, diagonal stays, defective steam locomotive and, if
tubes, etc. towed, the engineer in charge of the
Steam locomotive. A self-propelled unit towing locomotive consist, as well as
of equipment powered by steam that is all other crew members in the cabs, of
469
§ 230.13 49 CFR Ch. II (10–1–07 Edition)
the presence of the non-complying § 230.13 Daily inspection.

steam locomotive and the maximum
(a) General. An individual competent
speed and other movement restrictions.
to conduct the inspection shall inspect
In addition, a tag bearing the words
each steam locomotive and its tender
‘‘non-complying locomotive’’ shall be
each day that they are offered for use
securely attached to each defective
to determine that they are safe and
steam locomotive and shall contain the
suitable for service. The daily inspec-
following information: tion shall be conducted to comply with
(1) The steam locomotive number; all sections of this part, and a daily in-
(2) The name of the inspecting entity; spection report filed, by an individual
(3) The inspection location and date; competent to conduct the inspection.
(4) The nature of the defect; See appendices A and B of this part.
(5) Movement restrictions, if any; (b) Pre-departure. At the beginning of
(6) The destination; and each day the steam locomotive is used,
(7) The signature of the person mak- an individual competent to do so shall,
ing the determinations required by this together with the daily inspection re-
paragraph (b). quired in paragraph (a) of this section,
(c) Yard movements. A non-complying inspect the steam locomotive and its
steam locomotive may be moved lite or tender and appurtenances to ensure
dead within a yard at speeds not in ex- that they are safe and suitable for serv-
cess of 10 miles per hour without meet- ice, paying special attention to the fol-
ing the requirements of paragraph (b) lowing items:
of this section if the movement is sole- (1) Water glasses and gauge cocks;
ly for the purpose of repair. The loco- (2) Boiler feedwater delivery systems,
motive owner and/or operator is re- such as injectors and feedwater pumps;
sponsible for ensuring that the move- and
ment may be safely made. (3) Air compressors and governors,
(d) Non-complying conditions developed and the air brake system.
en route. The locomotive owner and/or (c) Inspection reports. The results of
operator may continue in use a steam the daily inspection shall be entered on
locomotive that develops a non-com- an FRA Form No. 2 (See appendix C of
plying condition en route until the this part) which shall contain, at a
next daily inspection or the nearest minimum, the name of the railroad,
forward point where the repairs nec- the initials and number of the steam
essary to bring it into compliance can locomotive, the place, date and time of
be made, whichever is earlier. Before the inspection, the signature of the em-
continuing en route, the steam loco- ployee making the inspection, a de-
motive owner and/or operator shall description of the non-complying condi-
termine that it is safe to move the tions disclosed by the inspection, con-
steam locomotive, determine the max- ditions found in non-compliance during
imum speed and other restrictions nec- the day and repaired and the signature
essary for safely conducting the move- of the person who repaired the non-con-
ment, and notify in writing the engi- forming conditions. This report shall
neer in charge of the defective steam be filed even if no non-complying con-
locomotive and, if towed, the engineer ditions are detected. A competent indi-
in charge of the towing steam loco- vidual shall sign the report, certifying
motive consist, as well as all other that all non-complying conditions were
crew members in the cabs, of the pres- repaired before the steam locomotive is
ence of the non-complying steam loco- operated. This report shall be filed and
motive and the maximum speed and retained for at least 92 days at the lo-
other movement restrictions. cation designated by the steam loco-
(e) Special notice for repair. Nothing in motive owner and/or operator.
this section authorizes the movement
of a steam locomotive subject to a Spe- § 230.14 Thirty-one (31) service day in-
cial Notice for Repair unless the move- spection.
ment is made in accordance with the (a) General. An individual competent
restrictions contained in the Special to conduct the inspection shall perform
Notice. the 31 service day inspection after the
470
steam locomotive has accrued 31 serv- available for inspection when requested
ice days. This inspection shall consist by an FRA inspector.
of all 31 service day inspection items (b) Filing inspection reports. Within 10
and all daily inspection items. See ap- days of conducting the 92 service day
pendix A of this part. Days in service inspection, the steam locomotive
shall be counted, recorded and readily owner and/or operator shall file, for
available for inspection when requested each steam locomotive inspected, a re-
by an FRA inspector. port of inspection ( FRA Form No. 1),
(b) FRA notification. FRA Regional in the place the locomotive is main-
Administrators or their delegate(s) tained and with the FRA Regional Ad-
may require a steam locomotive owner ministrator for that region.
or operator to provide FRA with time- When the report of annual inspection
ly notification before performing a 31 ( FRA Form No. 3), is filed, the FRA
service day inspection. If the Regional Form No. 1 does not have to be filed
Administrator or their delegate indi- until the next 92 service day inspec-
cates their desire to be present for the tion. (See appendix C of this part.)
31 service day inspection, the steam lo- § 230.16 Annual inspection.
comotive owner and/or operator shall
provide them a scheduled date and lo- (a) General. (1) An individual com-
cation for inspection. Once scheduled, petent to conduct the inspection shall
the inspection must be performed at perform the annual inspection after 368
the time and place specified, unless the calendar days have elapsed from the
Regional Administrator and the steam time of the previous annual inspection.
locomotive owner and/or operator mu- This inspection shall include all daily,
tually agree to reschedule. If the Re- all 31 service day, all 92 service day,
gional Administrator requests the in- and all annual inspection items. (See
spection be performed on another date appendix B of this part.)
but the steam locomotive owner and/or (2) Fifth annual inspection. An indi-
vidual competent to do so shall per-
operator and the Regional Adminis-
form a flexible staybolt and cap inspec-
trator are unable to agree on a date for
tion in accordance with § 230.41 at each
rescheduling, the inspection may be
fifth annual inspection.
performed as scheduled.
(b) FRA notification. FRA Regional
(c) Filing inspection reports. Within 10 Administrators shall be provided writ-
days of conducting the 31 service day ten notice at least one month prior to
inspection, the steam locomotive an annual inspection and shall be af-
owner and/or operator shall file, for forded an opportunity to be present. If
each steam locomotive inspected, a re- the Regional Administrator or their
port of inspection (FRA Form No. 1), in delegate indicates a desire to be
the place where the steam locomotive present, the steam locomotive owner
is maintained and with the FRA Re- and/or operator will provide a sched-
gional Administrator for that region. uled date and location for the inspec-
When the report of annual inspection ( tion. Once scheduled, the inspection
FRA Form No. 3), is filed, the FRA must be performed at the time and
Form No. 1 does not have to be filed place specified, unless the Regional Ad-
until the next 31 service day inspec- ministrator and the steam locomotive
tion. (See Appendix B of this part.) owner and/or operator mutually agree
to reschedule. If the Regional Adminis-
§ 230.15 Ninety-two (92) service day in- trator requests the inspection be per-
spection.
formed on another date but the steam
(a) General. An individual competent locomotive owner and/or operator and
to conduct the inspection shall perform the Regional Administrator are unable
the 92 service day inspection after the to agree on a date for rescheduling, the
steam locomotive has accrued 92 inspection may be performed as sched-
‘‘service-days.’’ This inspection shall uled.
include all daily, all 31 service day, and (c) Filing inspection reports. Within 10
all 92 service day inspection items. See days of completing the annual inspec-
appendix A of this part. Days in service tion, the steam locomotive owner and/
shall be counted, recorded, and readily or operator shall file, for each steam
471
§ 230.17 49 CFR Ch. II (10–1–07 Edition)
locomotive inspected, a report of in- accrued since the last 31, 92, Annual
spection (FRA Form No. 3), in the and 1472 service day inspections.
place where the steam locomotive is (b) Service day report. By the 31st of
maintained and with the FRA Regional every January, every steam locomotive
Administrator for that region. (See ap- owner and/or operator shall file a serv-
pendix A of this part) ice day report, FRA Form No. 5, with
the Regional Administrator accounting
§ 230.17 One thousand four hundred for the days the steam locomotive was
seventy-two (1472) service day in- in service from January 1 through De-
spection. cember 31st of the preceding year. If
(a) General. Before any steam loco- the steam locomotive was in service
motive is initially put in service or zero (0) days during that period, a re-
brought out of retirement, and after port must still be filed to prevent the
every 1472 service days or 15 years, steam locomotive from being consid-
whichever is earlier, an individual ered retired by FRA. (See appendix B of
competent to conduct the inspection this part.)
shall inspect the entire boiler. In the (c) Retirement where no service day re-
case of a new locomotive or a loco- ports filed. Where the steam locomotive
motive being brought out of retire- owner and/or operator does not file the
ment, the initial 15 year period shall required service day report for a steam
begin on the day that the locomotive is locomotive, that steam locomotive
placed in service or 365 calendar days may be considered retired by FRA. The
after the first flue tube is installed in steam locomotive owner and/or oper-
the locomotive, whichever comes first. ator must complete all 1472 service day
This 1472 service day inspection shall inspection items to return a retired
include all annual, and 5th annual, in- steam locomotive to service.
spection requirements, as well as any
items required by the steam loco- § 230.19 Posting of FRA Form No. 1
motive owner and/or operator or the and FRA Form No. 3.
FRA inspector. At this time, the loco- (a) FRA Form No. 1. The steam loco-
motive owner and/or operator shall motive owner and/or operator shall
complete, update and verify the loco- place a copy of the 31 and 92 service
motive specification card (FRA Form day inspection report (FRA Form No.
No. 4), to reflect the condition of the 1), properly filled out, under trans-
boiler at the time of this inspection. parent cover in a conspicuous place in
See appendices A and B of this part. the cab of the steam locomotive before
(b) Filing inspection reports. Within 30 the inspected boiler is put into service.
days of completing the 1472 service day This FRA Form No. 1 will not be re-
inspection, the steam locomotive quired for the first 31 service days fol-
owner and/or operator shall, for each lowing an annual inspection and the
steam locomotive inspected, file in the posting of an FRA Form No. 3. (See ap-
place where the steam locomotive is pendix B of this part.)
maintained and with the FRA Regional (b) FRA Form No. 3. In addition to the
Administrator for that region a report FRA Form No. 1, the steam locomotive
of inspection (FRA Form No. 3), and a owner and/or operator shall also main-
completed FRA Form No.4. See appen- tain in the cab a current copy of FRA
dix C of this part. Form No. 3 in the manner described in
paragraph (a) of this section. (See ap-
RECORDKEEPING REQUIREMENTS pendix C of this part.)
§ 230.18 Service days. § 230.20 Alteration and repair report
(a) Service day record. For every for steam locomotive boilers.
steam locomotive currently in service, (a) Alterations. When an alteration is
the steam locomotive owner and/or op- made to a steam locomotive boiler, the
erator shall have available, and be able steam locomotive owner and/or oper-
to show an FRA inspector upon re- ator shall file an alteration report
quest, a current copy of the service day (FRA Form No. 19), detailing the
record that contains the number of changes to the locomotive with the
service days the steam locomotive has FRA Regional Administrator within 30
472
days from the date the work was com- or seriously injured, the place at which
pleted. This form shall be attached to, it occurred, and the location where the
and maintained with, the FRA Form steam locomotive may be inspected.
No. 4 until such time as a new FRA Confirmation of this report shall be im-
Form No. 4 reflecting the alteration is mediately mailed to the Associate Ad-
submitted to the Regional Adminis- ministrator for Safety, Federal Rail-
trator. Alteration reports shall be filed road Administration, Washington, DC
and maintained for the life of the boil- 20590, and contain a detailed report of
er. (See appendix B of this part.) the accident, including, to the extent
(b) Welded and riveted repairs to known, the causes and a complete list
unstayed portions of the boiler. Whenever of the casualties.
welded or riveted repairs are performed
on unstayed portions of a steam loco- Subpart B—Boilers and
motive boiler, the steam locomotive Appurtenances
owner and/or operator shall file with
the FRA Regional Administrator, with- § 230.23 Responsibility for general con-
in 30 days from the time the work was struction and safe working pres-
completed, a repair report, FRA Form sure.
No. 19, that details the work done to The steam locomotive owner and op-
the steam locomotive. Repair reports erator are responsible for the general
shall be filed and maintained for the design and construction of the steam
life of the boiler. (See appendix B of locomotive boilers under their control.
this part.) The steam locomotive owner shall es-
(c) Welded and riveted repairs to stayed tablish the safe working pressure for
portions of the boiler. Whenever welded each steam locomotive boiler, after
or riveted repairs are performed on giving full consideration to the general
stayed portions of a steam locomotive design, workmanship, age, and overall
boiler, the steam locomotive owner condition of the complete boiler unit.
and/or operator shall complete a repair The condition of the boiler unit shall
report (FRA Form No. 19), detailing be determined by, among other factors,
the work done. Repair reports shall be the minimum thickness of the shell
maintained for the life of the boiler. plates, the lowest tensile strength of
(See appendix C of this part.) the plates, the efficiency of the longi-
tudinal joint, the inside diameter of
§ 230.21 Steam locomotive number
change. the course, and the maximum allow-
able stress value allowed. The steam
When a steam locomotive number is locomotive operator shall not place the
changed, the steam locomotive owner steam locomotive in service before en-
and/or operator must reflect the suring that the steam locomotive’s safe
change in the upper right-hand corner working pressure has been established.
of all documentation related to the
steam locomotive by showing the old ALLOWABLE STRESS
and new numbers:
Old No. 000 § 230.24 Maximum allowable stress.
New No. XXX. (a) Maximum allowable stress value.
The maximum allowable stress value
§ 230.22 Accident reports. on any component of a steam loco-
In the case of an accident due to fail- motive boiler shall not exceed 1⁄4 of the
ure, from any cause, of a steam loco- ultimate tensile strength of its mate-
motive boiler or any part or appur- rial.
tenance thereof, resulting in serious in- (b) Safety factor. When it is necessary
jury or death to one or more persons, to use the code of original construction
the railroad on whose line the accident in boiler calculations, the safety factor
occurred shall immediately make a value shall not be less than 4.
telephone report of the accident by
calling the National Response Center § 230.25 Maximum allowable stress on
(toll free) at Area Code 800–424–0201. stays and braces.
The report shall state the nature of the The maximum allowable stress per
accident, the number of persons killed square inch of net cross sectional area
473
§ 230.26 49 CFR Ch. II (10–1–07 Edition)
on fire box and combustion chamber service. The steam locomotive owner
stays shall be 7,500 psi. The maximum and/or operator shall not return the
allowable stress per square inch of net steam locomotive boiler or appur-
cross sectional area on round, rectan- tenances to service unless they are in
gular, or gusset braces shall be 9,000 good condition and safe and suitable
psi. for service.
(2) Any welding to unstayed portions
STRENGTH OF MATERIALS of the boiler made pursuant to § 230.33
shall be made in accordance with an
§ 230.26 Tensile strength of shell
plates. accepted national standard for boiler
repairs. The steam locomotive owner
When the tensile strength of steel or and/or operator shall not return the
wrought-iron shell plates is not known, steam locomotive boiler or appur-
it shall be taken at 50,000 psi for steel tenances to service unless they are in
and 45,000 psi for wrought iron. good condition and safe and suitable
§ 230.27 Maximum shearing strength of for service.
rivets. § 230.30 Lap-joint seam boilers.
The maximum shearing strength of Every boiler having lap-joint longitu-
rivets per square inch of cross sectional
dinal seams without reinforcing plates
area shall be taken as follows:
shall have sufficient lagging, jack-
Pounds eting, flues, and tubes removed at
per every annual inspection so that an in-
Rivets square
inch spection of the entire joint, inside and
out, can be made, taking special care
Iron Rivets in Single Shear ..................................... 38,000
Iron Rivets in Double Shear .................................... 76,000 to detect grooving or cracks at the
Steel Rivets in Single Shear ................................... 44,000 edges of the seams.
Steel Rivets in Double Shear .................................. 88,000
§ 230.31 Flues to be removed.
§ 230.28 Higher shearing strength of (a) Inspection of the boiler interior.
rivets. During the 1472 service day inspection,
A higher shearing strength may be the steam locomotive owner and/or op-
used for rivets when it can be shown erator shall remove all flues of steam
through testing that the rivet material locomotive boilers in service, except as
used is of such quality as to justify a provided in paragraph (b) of this sec-
higher allowable shearing strength. tion, for the purpose of inspecting the
entire interior of the boiler and its
INSPECTION AND REPAIR bracing. After removing the flues, the
steam locomotive owner and/or oper-
§ 230.29 Inspection and repair. ator shall enter the boiler to remove
(a) Responsibility. The steam loco- scale from the interior and thoroughly
motive owner and/or operator shall in- clean and inspect it.
spect and repair all steam locomotive (b) NDE testing. If the boiler can be
boilers and appurtenances under their thoroughly cleaned and inspected with-
control. They shall immediately re- out removing the superheater flues,
move from service any boiler that has and it can be shown through appro-
developed cracks in the barrel. The priate NDE testing methods that they
steam locomotive owner and/or oper- are safe and suitable for service, their
ator shall also remove the boiler from removal may not be required at this
service whenever either of them, or the time. Their removal may be required,
FRA inspector, considers it necessary however, if the FRA inspector, or the
due to other defects. steam locomotive owner and/or oper-
(b) Repair standards. (1) All defects ator, considers it necessary due to
disclosed by inspection shall be re- identifiable safety concerns.
paired in accordance with accepted in-
dustry standards—which may include § 230.32 Time and method of inspec-
established railroad practices, or NBIC tion.
or API established standards—before (a) Time of inspection. The entire boil-
the steam locomotive is returned to er shall completely be inspected at the
474
1472 service day inspection. The jacket, gional Administrator. If the approval is
lagging and any other components granted, the steam locomotive owner
interfering with the provision of in- and/or operator shall perform any weld-
spection access shall be removed at ing to unstayed portions of the boiler
this time. Those portions of the boiler in accordance with an accepted na-
that are exposed and able to be in- tional standard for boiler repairs. The
spected as required by the daily, steam locomotive owner and/or oper-
31service day, annual and fifth annual ator shall satisfy reporting require-
inspections shall be inspected at those ments in § 230.20 at this time.
times. The interior of the boiler also (b) Unstayed portions of the boiler con-
shall be inspected at each annual in- taining carbon steel not exceeding 0.25
spection, after the completion of any percent carbon. The steam locomotive
hydrostatic test above MAWP, and owner and/or operator shall perform
whenever a sufficient number of flues any welding to unstayed portions of
are removed to allow examination. The the boiler in accordance with an ac-
jacket, lagging and any other compo- cepted national standard for boiler re-
nents shall also be removed to provide pairs. The steam locomotive owner
inspection access whenever the FRA and/or operator shall satisfy reporting
inspector, or the steam locomotive requirements in § 230.20 at this time.
owner and/or operator, considers it nec- (c) Wastage. The steam locomotive
essary due to identifiable safety con- owner and/or operator shall submit a
cerns. written request for approval to the
(b) Method of inspection.—(1) Entire FRA Regional Administrator before
boiler. During the 1472 service day in- performing weld build up on wasted
spection, the entire boiler shall be ex- areas of unstayed surfaces of the boiler
amined for cracks, pitting, grooving, or that exceed a total of 100 square inches
indications of overheating and for dam- or the smaller of 25 percent of min-
age where mud has collected, or heavy imum required wall thickness or 1/2
scale formed. The edges of plates, all inch. Wasted sheets shall not be re-
laps, seams, and points where cracks paired by weld build up if the wasted
and defects are likely to develop, shall sheet has been reduced to less than 60
be thoroughly inspected. Rivets shall percent of the minimum required
be inspected for corrosion and loose- thickness as required by this part.
ness. (d) Flush patches. The steam loco-
(2) Boiler interior. When inspecting motive owner and/or operator shall
the boiler interior, it must be seen that submit a written request for approval
braces and stays are taut, that pins are to the FRA Regional Administrator for
properly secured in place, and that the installation of flush patches of any
each is in condition to support its pro- size on unstayed portions of the boiler.
portion of the load. Washout plugs (e) Stayed portions of the boiler. The
shall be removed for access and visual steam locomotive owner and/or oper-
inspection of the water side of the fire- ator shall perform welded repairs or al-
box sheets. Washout plug threads, terations on stayed portions of the
sleeves and threaded openings shall be boiler in accordance with established
examined at this time. railroad practices, or an accepted na-
(3) Boiler exterior. A thorough inspec- tional standard for boiler repairs. The
tion shall be made of the entire exte- steam locomotive owner and/or oper-
rior of the boiler while under hydro- ator shall satisfy the reporting require-
static pressure. ments in § 230.20 at this time.
§ 230.33 Welded repairs and alter- § 230.34 Riveted repairs and alter-
ations. ations.
(a) Unstayed portions of the boiler con- (a) Alterations to unstayed portions of
taining alloy steel or carbon steel with a the boiler. Prior to making riveted al-
carbon content over 0.25 percent. Prior to terations on unstayed portions of the
welding on unstayed portions of the boiler, the steam locomotive owner
boiler, the steam locomotive owner and/or operator shall submit a written
and/or operator shall submit a written request for approval to the FRA Re-
request for approval to the FRA Re- gional Administrator. If approval is
475
§ 230.35 49 CFR Ch. II (10–1–07 Edition)
granted, the steam locomotive owner conducted at 25 percent above the

and/or operator shall perform any riv- MAWP.
eting to unstayed portions of the boiler (c) Internal inspection. An internal in-
in accordance with established railroad spection of the boiler shall be con-
practices or an accepted national ducted following any hydrostatic test
standard for boiler repairs. The steam where the pressure exceeds MAWP.
locomotive owner and/or operator shall
satisfy reporting requirements in § 230.37 Steam test following repairs
§ 230.20 at this time. or alterations.
(b) Repairs to unstayed portions of the Upon completion of any repair or al-
boiler. The steam locomotive owner teration, the locomotive owner and/or
and/or operator shall perform any riv- operator shall conduct a steam test of
eted repairs to unstayed portions of the the boiler with steam pressure raised
boiler in accordance with established to between 95 percent and 100 percent
railroad practices, or an accepted na- of the MAWP. At this time, the boiler
tional standard for boiler repairs. The shall be inspected to ensure that it is
steam locomotive owner and/or oper- in a safe and suitable condition for
ator shall satisfy reporting require- service.
ments in § 230.20 at this time.
(c) Repairs to stayed portions of the STAYBOLTS
boiler. The steam locomotive owner
and/or operator shall perform riveted § 230.38 Telltale holes.
repairs or alterations on stayed por- (a) Staybolts less than 8 inches long.
tions of the boiler in accordance with All staybolts shorter than 8 inches, ex-
established railroad practices or an accept flexible bolts, shall have telltale
cepted national standard for boiler re- holes 3/16 inch to 7/32 inch diameter and
pairs. The steam locomotive owner at least 11⁄4 inches deep in the outer
and/or operator shall satisfy reporting end.
requirements in § 230.20 at this time. (b) Reduced body staybolts. On reduced
body staybolts, the telltale hole shall
PRESSURE TESTING OF BOILERS
extend beyond the fillet and into the
§ 230.35 Pressure testing. reduced section of the staybolt.
Staybolts may have through telltale
The temperature of the steam loco- holes.
motive boiler shall be raised to at least (c) Telltale holes kept open. All telltale
70 deg. F any time hydrostatic pressure holes, except as provided for in § 230.41,
is applied to the boiler. must be kept open at all times.
§ 230.36 Hydrostatic testing of boilers. § 230.39 Broken staybolts.
(a) Time of test. The locomotive owner (a) Maximum allowable number of bro-
and/or operator shall hydrostatically ken staybolts. No boiler shall be allowed
test every boiler at the following to remain in service with two broken
times: staybolts located within 24 inches of
(1) During the 1472 service day inspec- each other, as measured inside the fire-
tion, and at every annual inspection box or combustion chamber on a
thereafter; straight line. No boiler shall be allowed
(2) After making any alteration to to remain in service with more than 4
the boiler; broken staybolts inside the entire fire-
(3) After installing a flush patch on box and combustion chamber, com-
an unstayed portion of the boiler; and bined.
(4) After any riveting on an unstayed (b) Staybolt replacement. Broken
portion of the boiler. staybolts must be replaced during the
(b) Method of testing. The metal tem- 31 service day inspection, if detected at
perature of the boiler shall be between that time. Broken staybolts detected
70 degrees Fahrenheit and 120 degrees in between 31 service day inspections
Fahrenheit each time it is subjected to must be replaced no later than 30 cal-
any hydrostatic pressure. Hydrostatic endar days from the time of detection.
testing required by these rules shall be When staybolts 8 inches or less in
476
length are replaced, they shall be re- § 230.41 Flexible staybolts with caps.
placed with bolts that have telltale (a) General. Flexible staybolts with
holes 3⁄16 inch to 7⁄32 inch in diameter caps shall have their caps removed dur-
and at least 11⁄4 inches deep at each ing every 5th annual inspection for the
end, or that have telltale holes 3⁄16 inch purpose of inspecting the bolts for
to 7⁄32 inch in diameter their entire breakage, except as provided in para-
length. At the time of replacement of graph (b) of this section.
broken staybolts, adjacent staybolts (b) Drilled flexible staybolts. For flexi-
shall be inspected. ble staybolts that have telltale holes
(c) Assessment of broken staybolts. between 3⁄16 inch and 7⁄32 inch in diame-
Telltale holes leaking, plugged, or ter, and which extend the entire length
missing shall be counted as broken of the bolt and into the head not less
staybolts. than one third of the diameter of the
(d) Prohibited methods of closing telltale head, the steam locomotive owner and/
holes. Welding, forging, or riveting bro- or operator need not remove the
ken staybolt ends is prohibited as a staybolt caps if it can be established,
method of closing telltale holes. by an electrical or other suitable meth-
od, that the telltale holes are open
§ 230.40 Time and method of staybolt their entire length. Any leakage from
testing. these telltale holes during the hydro-
(a) Time of hammer testing—(1) Gen- static test indicates that the bolt is
eral. All staybolts shall be hammer broken and must be replaced. Before
tested at every 31 service day inspec- the steam locomotive is placed in serv-
tion, except as provided in paragraph ice, the inner ends of all telltale holes
(a)(2) of this section. All staybolts also shall be closed with a fireproof porous
shall be hammer tested under hydro- material that will keep the telltale
static pressure any time hydrostatic holes free of foreign matter and permit
pressure above the MAWP specified on steam or water to exit the telltale hole
when the bolt is broken or fractured.
the boiler specification form (FRA
(c) Recordkeeping. The removal of
Form No. 4), is applied to the boiler.
flexible staybolt caps and other tests
(See appendix B of this part.)
shall be reported on FRA Form No. 3.
(2) Exception for inaccessible (See appendix B of this part.)
staybolts. The removal of brickwork or (d) Testing at request of FRA inspector.
grate bearers for the purpose of ham- Staybolt caps also shall be removed, or
mer testing staybolts during each 31 any of the tests in this section made,
service day inspection will not be re- whenever the FRA inspector or the
quired if the staybolts behind these steam locomotive owner and/or oper-
structural impediments have a telltale ator considers it necessary due to iden-
hole 3/16 inch to 7/32 inch in diameter tifiable safety concerns about the con-
their entire length. Whenever the dition of staybolts, staybolt caps or
brickwork or grate bearers are re- staybolt sleeves.
moved for any other reason, however,
the bolts shall be inspected at that STEAM GAUGES
time.
(b) Method of hammer testing. If § 230.42 Location of gauges.
staybolts are tested while the boiler Every boiler shall have at least one
contains water, the hydrostatic pres- steam gauge which will correctly indi-
sure must be not less than 95 percent of cate the working pressure. The gauge
the MAWP. The steam locomotive shall be positioned so that it will be
owner and/or operator shall tap each kept reasonably cool and can conven-
bolt with a hammer and determine bro- iently be read by the engine crew.
ken bolts from the sound or the vibra-
tion of the sheet. Whenever staybolts § 230.43 Gauge siphon.
are tested while the boiler is not under The steam gauge supply pipe shall
pressure, such as during the 31 service have a siphon on it of ample capacity
day inspection, the staybolt test must to prevent steam from entering the
be made with all the water drained gauge. The supply pipe shall directly
from the boiler. enter the boiler and be maintained
477
§ 230.44 49 CFR Ch. II (10–1–07 Edition)
steam tight. The supply pipe and its SAFETY RELIEF VALVES
connections shall be cleaned each time
the gauge is tested. § 230.48 Number and capacity.
§ 230.44 Time of testing. (a) Number and capacity. Every boiler

shall be equipped with at least two
Steam gauges shall be tested prior to safety relief valves, suitable for the
being installed or being reapplied, dur- service intended, that are capable of
ing the 92 service day inspection, and preventing an accumulation of pressure
whenever any irregularity is reported. greater than 6 percent above the
§ 230.45 Method of testing. MAWP under any conditions of service.
An FRA inspector may require
Steam gauges shall be compared with verification of sufficient safety valve
an accurate test gauge or dead weight relieving capacity.
tester. While under test load at the (b) Determination of capacity. Safety
MAWP of the boiler to which the gauge relief valve capacity may be deter-
will be applied, the gauge shall be set mined by making an accumulation test
to read that pressure as accurately as with the fire in good, bright condition
the physical limitations of the gauge and all steam outlets closed. Addi-
will allow. Under test the gauge shall
tional safety relief valve capacity shall
read within the manufacturer’s toler-
be provided if the safety relief valves
ance at all points on the gauge up to 25
allow an excess pressure of more than 6
percent above the allowed pressure. If
percent above the MAWP during this
the manufacturer’s tolerance is not
test.
known, the gauge must read within 2
percent full scale accuracy at all § 230.49 Setting of safety relief valves.
points on the gauge up to 25 percent
above allowed pressure. (a) Qualifications of individual who ad-
justs. Safety relief valves shall be set
§ 230.46 Badge plates. and adjusted by a competent person
A metal badge plate showing the al- who is thoroughly familiar with the
lowed steam pressure shall be attached construction and operation of the valve
to the boiler backhead in the cab. If being set.
boiler backhead is lagged, the lagging (b) Opening pressures. At least one
and jacket shall be cut away so that safety relief valve shall be set to open
the plate can be seen. at a pressure not exceeding the MAWP.
Safety relief valves shall be set to open
§ 230.47 Boiler number. at pressures not exceeding 6 psi above
(a) Generally. The builder’s number of the MAWP.
the boiler, if known, shall be stamped (c) Setting procedures. When setting
on the steam dome or manhole flange. safety relief valves, two steam gauges
If the builder’s number cannot be ob- shall be used, one of which must be so
tained, an assigned number, which located that it will be in full view of
shall be used in making out specifica- the persons engaged in setting such
tion cards, shall be stamped on the valves; and if the pressure indicated by
steam dome or manhole flange. the gauges varies more than 3 psi they
(b) Numbers after January 10, 1912. shall be removed from the boiler, test-
Numbers which are stamped after Jan- ed, and corrected before the safety re-
uary 10, 1912 shall be located on the lief valves are set. Gauges shall in all
front side of the steam dome or man- cases be tested immediately before the
hole flange at the upper edge of the safety relief valves are set or any
vertical surface, oriented in a hori- change made in the setting. When set-
zontal manner, and have figures at ting safety relief valves, the water
least 3⁄8 inch high. level shall not be higher than 3⁄4 of the
(c) Name of manufacturer or owner. length of the visible water glass, as
The number shall be preceded by the measured from the bottom of the glass.
name of the manufacturer if the origi- (d) Labeling of lowest set pressure. The
nal number is known or the name of set pressure of the lowest safety relief
the steam locomotive owner if a new valve shall be indicated on a tag or
number is assigned. label attached to the steam gauge so
478
that it may be clearly read while ob- § 230.55 Tubular type water and lubri-
serving the steam gauge. cator glasses and shields.
(a) Water glasses. Tubular type water
§ 230.50 Time of testing.
glasses shall be renewed at each 92
All safety relief valves shall be test- service day inspection.
ed, and adjusted if necessary, under (b) Shields. All tubular water glasses
steam at every 92 service day inspec- and lubricator glasses must be
tion, and also whenever any irregu- equipped with a safe and suitable shield
larity is reported. which will prevent the glass from fly-
ing in case of breakage. This shield
WATER GLASSES AND GAUGE COCKS shall be properly maintained.
(c) Location and maintenance. Water
§ 230.51 Number and location. glasses and water glass shields shall be
Every boiler shall be equipped with so located, constructed, and main-
at least two water glasses. The lowest tained that the engine crew can at all
reading of the water glasses shall not times have an unobstructed view of the
be less than 3 inches above the highest water in the glass from their proper po-
part of the crown sheet. If gauge cocks sitions in the cab.
are used, the reading of the lowest
§ 230.56 Water glass lamps.
gauge cock shall not be less than 3
inches above the highest part of the All water glasses must be supplied
crown sheet. with a suitable lamp properly located
to enable the engine crew to easily see
§ 230.52 Water glass valves. the water in the glass.
All water glasses shall be equipped INJECTORS, FEEDWATER PUMPS, AND
with no more than two valves capable FLUE PLUGS
of isolating the water glass from the
boiler. They shall also be equipped with § 230.57 Injectors and feedwater
a drain valve capable of evacuating the pumps.
glass when it is so isolated. (a) Water delivery systems required.
Each steam locomotive must be
§ 230.53 Time of cleaning. equipped with at least two means of de-
The spindles of all water glass valves livering water to the boiler, at least
and of all gauge cocks shall be removed one of which is a live steam injector.
and valves and cocks thoroughly (b) Maintenance and testing. Injectors
cleaned of scale and sediment at every and feedwater pumps must be kept in
31 service day inspection, and when good condition, free from scale, and
testing indicates that the apparatus must be tested at the beginning of each
may be malfunctioning. In addition, day the locomotive is used, and as
the top and bottom passages of the often as conditions require, to ensure
that they are delivering water to the
water column shall be cleaned and in-
boiler. Boiler checks, delivery pipes,
spected at each annual inspection.
feed water pipes, tank hose and tank
§ 230.54 Testing and maintenance. valves must be kept in good condition,
free from leaks and from foreign sub-
(a) Testing. All water glasses must be stances that would obstruct the flow of
blown out, all gauge cocks must be water.
tested, and all passages verified to be (c) Bracing. Injectors, feedwater
open at the beginning of each day the pumps, and all associated piping shall
locomotive is used, and as often as nec- be securely braced so as to minimize
essary to ensure proper functioning. vibration.
(b) Maintenance. Gauge cocks, water
column drain valves, and water glass § 230.58 Flue plugs.
valves must be maintained in such con- (a) When plugging is permitted. Flues
dition that they can easily be opened greater than 21⁄4 inches in outside di-
and closed by hand, without the aid of ameter (OD) shall not be plugged. Flues
a wrench or other tool. 21⁄4 inches in outside diameter (OD) or
479
§ 230.59 49 CFR Ch. II (10–1–07 Edition)
smaller may be plugged following fail- phons shall thoroughly be cleaned,

ure, provided only one flue is plugged washed and inspected.
at any one time. Plugs must be re- (b) Defects. Arch tubes and water bar
moved and proper repairs made no tubes found blistered, bulged, or other-
later than 30 days from the time the wise defective shall be renewed.
plug is applied. Circulators and thermic siphons found
(b) Method of plugging. When used, blistered, bulged or otherwise defective
flue plugs must be made of steel. The shall be either repaired or renewed.
flue must be plugged at both ends. (c) Method of examination. Arch tubes,
Plugs must be tied together by means water bar tubes and circulators shall
of a steel rod not less than 5⁄8 inch in be examined using an appropriate NDE
diameter. method that accurately measures wall
thickness at each annual inspection.
FUSIBLE PLUGS
All arch brick shall be removed for this
§ 230.59 Fusible plugs. inspection. If any are found with wall
thickness reduced below that required
If boilers are equipped with fusible to render them safe and suitable for
plugs, the plugs shall be removed and the service intended at the MAWP
cleaned of scale each time the boiler is specified on the boiler specification
washed but not less frequently than FRA Form No. 4, they must be replaced
during every 31 service day inspection. or repaired. (See appendix B of this
Their removal shall be noted on the part.)
FRA Form No. 1 or FRA Form No. 3.
(See appendix B of this part.) STEAM PIPES
WASHING BOILERS § 230.62 Dry pipe.
§ 230.60 Time of washing. Dry pipes subject to pressure shall be
examined at each annual inspection to
(a) Frequency of washing. All boilers
measure wall thickness. Dry pipes with
shall thoroughly be washed as often as
wall thickness reduced below that re-
the water conditions require, but not
quired to render the pipe suitable for
less frequently than at each 31 service
day inspection. The date of the boiler the service intended at the MAWP
wash shall be noted on the FRA Form must be replaced or repaired.
No. 1 or FRA Form No. 3. (See appendix
§ 230.63 Smoke box, steam pipes and
B of this part.) pressure parts.
(b) Plug removal. All washout plugs,
arch tube plugs, thermic siphon plugs, The smoke box, steam pipes and pres-
circulator plugs and water bar plugs sure parts shall be inspected at each
must be removed whenever locomotive annual inspection, or any other time
boilers are washed. that conditions warrant. The indi-
(c) Plug maintenance. All washout vidual conducting the inspection must
plugs, washout plug sleeves and thread- enter the smoke box to conduct the in-
ed openings shall be maintained in a spection, looking for signs of leaks
safe and suitable condition for service from any of the pressure parts therein
and shall be examined for defects each and examining all draft appliances.
time the plugs are removed.
(d) Fusible plugs cleaned. Fusible STEAM LEAKS
plugs shall be cleaned in accordance
§ 230.64 Leaks under lagging.
with § 230.59.
The steam locomotive owner and/or
§ 230.61 Arch tubes, water bar tubes, operator shall take out of service at
circulators and thermic siphons. once any boiler that has developed a
(a) Frequency of cleaning. Each time leak under the lagging due to a crack
the boiler is washed, arch tubes and in the shell, or to any other condition
water bar tubes shall thoroughly be which may reduce safety. Pursuant to
cleaned mechanically, washed, and in- § 230.29, the boiler must be repaired be-
spected. Circulators and thermic si- fore being returned to service.
480
§ 230.65 Steam blocking view of engine ASH PANS

crew.
§ 230.69 Ash pans.
The steam locomotive owner and/or
operator shall keep the boiler, and its Ash pans shall be securely supported
from mud-rings or frames with no part
piping and appurtenances, in such re-
less than 21⁄2 inches above the rail.
pair that they do not emit steam in a
Their operating mechanism shall be so
manner that obscures the engine crew’s
arranged that they may be safely oper-
vision. ated and securely closed.
Subpart C—Steam Locomotives BRAKE AND SIGNAL EQUIPMENT

and Tenders § 230.70 Safe condition.
§ 230.66 Design, construction, and (a) Pre-departure inspection. At the be-
maintenance. ginning of each day the locomotive is
The steam locomotive owner and op- used, the steam locomotive operator
erator are responsible for the general shall ensure that:
(1) The brakes on the steam loco-
design, construction and maintenance
motive and tender are in safe and suit-
of the steam locomotives and tenders
able condition for service;
under their control. (2) The air compressor or compres-
§ 230.67 Responsibility for inspection sors are in condition to provide an
and repairs. ample supply of air for the locomotive
service intended;
The steam locomotive owner and/or (3) The devices for regulating all
operator shall inspect and repair all pressures are properly performing their
steam locomotives and tenders under functions;
their control. All defects disclosed by (4) The brake valves work properly in
any inspection shall be repaired in ac- all positions; and
cordance with accepted industry stand- (5) The water has been drained from
ards, which may include established the air-brake system.
railroad practices, before the steam lo- (b) Brake pipe valve required. Each
comotive or tender is returned to serv- steam locomotive shall have a brake
ice. The steam locomotive owner and/ pipe valve attached to the front of the
or operator shall not return the steam tender, the rear of the back cab wall,
locomotive or tender to service unless or adjacent to the exit of a vestibuled
they are in good condition and safe and cab. The words ‘‘Emergency Brake
suitable for service. Valve’’ shall be clearly displayed near
the valve.
SPEED INDICATORS
§ 230.71 Orifice testing of compressors.
§ 230.68 Speed indicators. (a) Frequency of testing. The com-
Steam locomotives that operate at pressor or compressors shall be tested
for capacity by orifice test as often as
speeds in excess of 20 miles per hour
conditions may require, but not less
over the general system of railroad
frequently than once every 92 service
transportation shall be equipped with
days.
speed indicators. Where equipped, (b) Orifice testing criteria. (1) Compres-
speed indicators shall be maintained to sors in common use, as listed in the
ensure accurate functioning. following table, shall have orifice test
criteria as follows:
Diameter of Air pressure
Single strokes
Make Compressor size orifice maintained
per minute (in inches) (in pounds)
Westinghouse ........................................................ 91⁄2 ................................ 120 ⁄

11 64 60
Westinghouse ........................................................ 11 .................................. 100 ⁄
3 16 60
Westinghouse ........................................................ 150 CFM 81⁄2 CC .......... 100 9⁄32 60
Westinghouse ........................................................ 120 CFM 81⁄2 ................ 100 15⁄64 60
New York ............................................................... 2a .................................. 120 5⁄32 60
481
§ 230.72 49 CFR Ch. II (10–1–07 Edition)
Diameter of Air pressure

Single strokes
Make Compressor size orifice maintained
per minute (in inches) (in pounds)
New York ............................................................... 6a .................................. 100 ⁄

13 64 60
New York ............................................................... 5b .................................. 100 ⁄
15 64 60
NOTE: This table shall be used for altitudes to and including 1,000 feet. For altitudes over 1,000 feet the speed of compressor
may be increased 5 single strokes per minute for each 1,000 feet increase in altitude.
(2) For compressors not listed in the any reservoir, the reservoir shall be
table in paragraph (b)(1) of this section, permanently withdrawn from service.
the air pressure to be maintained shall (c) Welded main reservoirs without lon-
be no less than 80 percent of the manu- gitudinal lap seams. For welded main
facturer’s rated capacity for the com- reservoirs that do not have longitu-
pressor. dinal lap seams, an appropriate NDE
method that can measure the wall
§ 230.72 Testing main reservoirs. thickness of the reservoir may be used
(a) Hammer and hydrostatic testing. instead of the hammer test and hydro-
Except as described in paragraphs (b) static test required in paragraph (a) of
through (d) of this section, every main this section. The spacing of the sam-
reservoir, except those cast integrally pling points for wall thickness shall
with the frame, shall be hammer and not be greater than 12 inches longitu-
hydrostatically tested during each an- dinally and circumferentially. The res-
nual inspection. The reservoir shall be ervoir shall permanently be withdrawn
hammer tested while empty and with from service where the NDE testing re-
no pressure applied. If no defective veals wall thickness less than the value
areas are detected, a hydrostatic test determined by the following formula:
of MAWP shall be applied. t=(PR/(S¥.6P)
(b) Drilling of main reservoirs. (1) Only
Where:
welded main reservoir originally con-
structed to withstand at least five t = Minimum value for wall thickness;
P = Certified working pressure in psi;
times the MAWP may be drilled over S = 1⁄5 of the minimum specified tensile
its entire surface with telltale holes strength of the material in psi, or 10,000 psi
that are 3⁄16 of an inch in diameter. The if the tensile strength is unknown; and
holes shall be spaced not more than 12 R = Inside radius of the reservoir in inches.
inches apart, measured both longitu- (d) Welded or riveted longitudinal lap
dinally and circumferentially, and seam main reservoirs. (1) For welded or
drilled from the outer surface to an ex- riveted longitudinal lap seam main res-
treme depth determined by the fol- ervoirs, an appropriate NDE method
lowing formula: that can measure wall thickness of the
D=(.6PR/(S¥.6P)) reservoir shall be used instead of, or in
addition to, the hammer test and hy-
Where:
drostatic test. The spacing of the sam-
D = Extreme depth of telltale holes in inches pling points for wall thickness shall
but in no case less than one-sixteenth inch; not be greater than 12 inches longitu-
P = certified working pressure in psi;
dinally and circumferentially. Par-
S = 1⁄5 of the minimum specified tensile
strength of the material in psi; and
ticular care shall be taken to measure
R = inside radius of the reservoir in inches. along the longitudinal seam on both
plates at an interval of no more than 6
(2) One row of holes shall be drilled inches longitudinally. The reservoir
lengthwise of the reservoir on a line shall be withdrawn permanently from
intersecting the drain opening. When service where NDE testing reveals wall
main reservoirs are drilled as described thickness less than the value deter-
in paragraph (b)(1) of this section, the mined by the following formula:
hydrostatic and hammer tests de-
scribed in paragraph (a) of this section t=(PR/(0.5S¥0.6P))
are not required during the annual in- Where:
spection. Whenever any telltale hole t = Minimum value for wall thickness;
shall have penetrated the interior of
P = Certified working pressure in psi;
482
S = 1⁄5 of the minimum specified tensile Maximum
strength of the material in psi, or 10,000 psi Type of wheel brake piston travel
if the tensile strength of steel is unknown; (in inches)
and Other forms of Driving Wheel Brake ................. 6
R = Inside radius of the reservoir in inches. Engine Truck Brake ........................................... 8
(2) Repairs of reservoirs with reduced Tender Brake ..................................................... 9
wall thickness are prohibited.
§ 230.77 Foundation brake gear.
§ 230.73 Air gauges.
(a) Maintenance. Foundation brake
(a) Location. Air gauges shall be so lo-
gear shall be maintained in a safe and
cated that they may be conveniently
suitable condition for service. Levers,
read by the engineer from his or her
usual position in the cab. No air gauge rods, brake beams, hangers, and pins
may be more than 3 psi in error. shall be of ample strength, and shall
(b) Frequency of testing. Air gauges not be fouled in any way which will af-
shall be tested prior to reapplication fect the proper operation of the brake.
following removal, as well as during All pins shall be properly secured in
the 92 service day inspection and when- place with cotter pine, split keys, or
ever any irregularity is reported. nuts. Brake shoes must be properly ap-
(c) Method of testing. Air gauges shall plied and kept approximately in line
be tested using an accurate test gauge with the tread of the wheel.
or dead weight tester designed for this (b) Distance above the rails. No part of
purpose. the foundation brake gear of the steam
locomotive or tender shall be less than
§ 230.74 Time of cleaning. 21⁄2 inches above the rails.
All valves in the air brake system,
including related dirt collectors and § 230.78 Leakage.
filters, shall be cleaned and tested in (a) Main reservoirs and related piping.
accordance with accepted brake equip- Leakage from main reservoir and re-
ment manufacturer’s specifications, or lated piping shall be tested at every 92
as often as conditions require to main- service day inspection and shall not ex-
tain them in a safe and suitable condi- ceed an average of 3 psi per minute in
tion for service, but not less frequently a test of 3 minutes duration that is
than after 368 service days or during
made after the pressure has been re-
the second annual inspection, which-
duced to 60 percent of the maximum
ever occurs first.
operating pressure.
§ 230.75 Stenciling dates of tests and (b) Brake cylinders. Leakage from
cleaning. brake cylinders shall be tested at every
The date of testing and cleaning and 92 service day inspection. With a full
the initials of the shop or station at service application from maximum
which the work is done, shall legibly be brake pipe pressure, and with commu-
stenciled in a conspicuous place on the nication to the brake cylinders closed,
tested parts or placed on a card dis- the brakes on the steam locomotive
played under a transparent cover in the and tender must remain applied for a
cab of the steam locomotive. minimum of 5 minutes.
(c) Brake pipes. Steam locomotive
§ 230.76 Piston travel. brake pipe leakage shall be tested at
(a) Minimum piston travel. The min- the beginning of each day the loco-
imum piston travel shall be sufficient motive is used, and shall not exceed 5
to provide proper brake shoe clearance psi per minute.
when the brakes are released.
(b) Maximum piston travel. The max- § 230.79 Train signal system.
imum piston travel when steam loco- Where utilized, the train signal sys-
motive is standing shall be as follows: tem, or any other form of on-board
Maximum communication, shall be tested and
Type of wheel brake piston travel known to be in safe and suitable condi-
(in inches)
tion for service at the beginning of
each day the locomotive is used.
Cam Type Driving Wheel Brake ........................ 31⁄2
483
§ 230.80 49 CFR Ch. II (10–1–07 Edition)
CABS, WARNING SIGNALS, SANDERS AND doors on all oil-burning locomotives

LIGHTS shall be latched securely with a pin or
key.
§ 230.80 Cabs. (b) Mechanically operated fire doors.
(a) General provisions. Cabs shall be Mechanically operated fire doors shall
securely attached or braced and main- be so constructed and maintained that
tained in a safe and suitable condition they may be operated by pressure of
for service. Cab windows of steam loco- the foot on a pedal, or other suitable
motives shall provide an undistorted appliance, located on the floor of the
view of the track and signals for the cab or tender at a suitable distance
crew from their normal position in the from the fire door, so that they may be
cab. Cab floors shall be kept free of conveniently operated by the person
tripping or slipping hazards. The cab firing the steam locomotive.
climate shall be maintained to provide (c) Hand-operated doors. Hand oper-
an environment that does not unrea- ated fire doors shall be so constructed
sonably interfere with the engine and maintained that they may be con-
crew’s performance of their duties veniently operated by the person firing
under ordinary conditions of service. the steam locomotive.
(b) Steam pipes. Steam pipes shall not
be fastened to the cab. New construc- § 230.83 Cylinder cocks.
tion or renewals made of iron or steel Each steam locomotive shall be
pipe greater than 1⁄8 inch NPS that are equipped with cylinder cocks which can
subject to boiler pressure in cabs shall be operated from the cab of the steam
have a minimum wall thickness equiv- locomotive. All cylinder cocks shall be
alent to schedule 80 pipe, with properly maintained in a safe and suitable con-
rated valves and fittings. Live steam dition for service.
heating radiators must not be fastened
to the cab. Exhaust steam radiators § 230.84 Sanders.
may be fastened to the cab. Steam locomotives shall be equipped
(c) Oil-burning steam locomotives. If with operable sanders that deposit sand
the cab is enclosed, oil burning steam on the rail head in front of a set of
locomotives that take air for combus- driving wheels. Sanders shall be tested
tion through the fire-door opening at the beginning of each day the loco-
shall have a suitable conduit extending motive is used.
from the fire-door to the outside of the
cab. § 230.85 Audible warning device.
(a) General provisions. Each steam lo-
§ 230.81 Cab aprons. comotive shall be equipped with an au-
(a) General provisions. Cab aprons dible warning device that produces a
shall be of proper length and width to minimum sound level of 96db(A) at 100
ensure safety. Cab aprons shall be se- feet in front of the steam locomotive in
curely hinged, maintained in a safe and its direction of travel. The device shall
suitable condition for service, and be arranged so that it may conven-
roughened, or other provision made, to iently be operated by the engineer from
afford secure footing. his or her normal position in the cab.
(b) Width of apron. The cab apron (b) Method of measurement. Measure-
shall be of a sufficient width to pre- ment of the sound level shall be made
vent, when the drawbar is disconnected using a sound level meter conforming,
and the safety chains or the safety bars at a minimum, to the requirements of
are taut, the apron from dropping be- ANSI S1.4–1971, Type 2, and set to an A-
tween the steam locomotive and ten- weighted slow response. While the
der. steam locomotive is on level, tangent
track, the microphone shall be posi-
§ 230.82 Fire doors. tioned 4 feet above the ground at the
(a) General provisions. Each steam lo- center line of the track and shall be
comotive shall have a fire door which oriented with respect to the sound
shall latch securely when closed and source in accordance with the micro-
which shall be maintained in a safe and phone manufacturer’s recommenda-
suitable condition for service. Fire tions.
484
§ 230.86 Required illumination. § 230.89 Reverse gear.

(a) General provisions. Each steam lo- (a) General provisions. Reverse gear,
comotive used between sunset and sun- reverse levers, and quadrants shall be
rise shall be equipped with an operable maintained in a safe and suitable con-
headlight that provides illumination dition for service. Reverse lever latch
sufficient for a steam locomotive engi- shall be so arranged that it can be eas-
neer in the cab to see, in a clear atmos- ily disengaged, and provided with a
phere, a dark object as large as a man spring which will keep it firmly seated
of average size standing at least 800 in quadrant. Proper counterbalance
feet ahead and in front of such head- shall be provided for the valve gear.
light. If a steam locomotive is regu- (b) Air-operated power reverse gear.
larly required to run backward for any Steam locomotives that are equipped
portion of its trip other than to pick up with air operated power reverse gear
a detached portion of its train or to shall be equipped with a connection
make terminal movements, it shall whereby such gear may be operated by
also be equipped on its rear end with an steam or by an auxiliary supply of air
operable headlight that is capable of in case of failure of the main reservoir
providing the illumination described in air pressure. The operating valve han-
this paragraph (a). dle for such connection shall be con-
(b) Dimming device. Such headlights veniently located in the cab of the lo-
shall be provided with a device whereby comotive and shall be plainly marked.
the light from same may be diminished If an independent air reservoir is used
in yards and at stations or when meet- as the source of the auxiliary supply
ing trains. for the reverse gear, it shall be pro-
(c) Where multiple locomotives utilized. vided with means to automatically pre-
When two or more locomotives are vent loss of pressure in event of failure
used in the same train, the leading lo- of the main reservoir air pressure.
comotive only will be required to dis- (c) Power reverse gear reservoirs. Power
play a headlight. reverse gear reservoirs, if provided,
must be equipped with the means to
§ 230.87 Cab lights. automatically prevent the loss of pres-
Each steam locomotive shall have sure in the event of a failure of main
cab lights that sufficiently illuminate air pressure and have storage capacity
the control instruments, meters and for not less than one complete oper-
gauges to allow the engine crew to ating cycle of control equipment.
make accurate readings from their
usual and proper positions in the cab. DRAW GEAR AND DRAFT SYSTEMS
These lights shall be so located and
constructed that the light will shine § 230.90 Draw gear between steam lo-
only on those parts requiring illumina- comotive and tender.
tion and does not interfere with the en- (a) Maintenance and testing. The draw
gine crew’s vision of the track and sig- gear between the steam locomotive and
nals. Each steam locomotive shall also tender, together with the pins and fas-
have a conveniently located additional tenings, shall be maintained in safe
lamp that can be readily turned on and and suitable condition for service. The
off by the persons operating the steam pins and drawbar shall be removed and
locomotive and that provides sufficient tested for defects using an appropriate
illumination to read train orders and NDE method at every annual inspec-
timetables. tion. Where visual inspection does not
disclose any defects, an additional NDE
THROTTLES AND REVERSING GEAR testing method shall be employed.
Suitable means for securing the draw-
§ 230.88 Throttles. bar pins in place shall be provided. In-
Throttles shall be maintained in safe verted drawbar pins shall be held in
and suitable condition for service, and place by plate or stirrup.
efficient means shall be provided to (b) Safety bars and chains generally.
hold the throttle lever in any desired One or more safety bar(s) or two or
position. more safety chains shall be provided
485
§ 230.91 49 CFR Ch. II (10–1–07 Edition)
between the steam locomotive and ten- ⁄

5 16inch lateral clearance between
der. The combined strength of the safe- crossheads and guides.
ty chains or safety bar(s) and their fas-
tenings shall be not less than 50 per- § 230.95 Guides.
cent of the strength of the drawbar and Guides shall be securely fastened and
its connections. These shall be main- maintained in a safe and suitable con-
tained in safe and suitable condition dition for service.
for service, and inspected at the same
time draw gear is inspected. § 230.96 Main, side, and valve motion
(c) Minimum length of safety chains or rods.
bars. Safety chains or safety bar(s)
shall be of the minimum length con- (a) General. Main, side or valve mo-
sistent with the curvature of the rail- tion rods developing cracks or becom-
road on which the steam locomotive is ing otherwise defective shall be re-
operated. moved from service immediately and
(d) Lost motion. Lost motion between repaired or renewed.
steam locomotives and tenders not (b) Repairs. Repairs, and welding of
equipped with spring buffers shall be main, side or valve motion rods shall
kept to a minimum and shall not ex- be made in accordance with an accept-
ceed 1⁄2 inch. ed national standard. The steam loco-
(e) Spring buffers. When spring buffers motive owner and/or operator shall
are used between steam locomotives submit a written request for approval
and tenders the spring shall be applied to the FRA Regional Administrator
with not less than 3⁄4 inch compression, prior to welding defective main rods,
and shall at all times be under suffi- side rods, and valve gear components.
cient compression to keep the chafing (c) Bearings and bushings. Bearings
faces in contact. and bushings shall so fit the rods as to
be in a safe and suitable condition for
§ 230.91 Chafing irons. service, and means shall be provided to
Chafing irons that permit proper prevent bushings from turning in the
curving shall be securely attached to rod. Straps shall fit and be securely
the steam locomotive and tender, and bolted to rods. Floating bushings need
shall be maintained to permit lateral not be provided with means to prevent
and vertical movement. bushings from turning.
(d) Side motion of rods. The total
§ 230.92 Draw gear and draft systems.
amount of side motion of each rod on
Couplers, draft gear and attachments its crank pin shall not exceed 1⁄4 inch.
on steam locomotives and tenders shall (e) Oil and grease cups. Oil and grease
be securely fastened, and maintained in cups shall be securely attached to rods,
safe and suitable condition for service. and grease cup plugs shall be equipped
DRIVING GEAR with a suitable fastening that will pre-
vent them from being ejected.
§ 230.93 Pistons and piston rods. (f) Main rod bearings. The bore of
(a) Maintenance and testing. Pistons main rod bearings shall not exceed pin
and piston rods shall be maintained in diameters more than 3⁄32 inch at front
safe and suitable condition for service. or back end. The total lost motion at
Piston rods shall be inspected for both ends shall not exceed 5⁄32 inch.
cracks each time they are removed, (g) Side rod bearings. The bore of side
and shall be renewed if found defective. rod bearings shall not exceed pin diam-
(b) Fasteners. Fasteners (keys, nuts, eters more than 5⁄32 inch on main pin
etc.) shall be kept tight and shall have nor more than 3⁄16 inch on other pins.
some means to prevent them from loos-
ening or falling out of place. § 230.97 Crank pins.
(a) General provisions. Crank pins
§ 230.94 Crossheads. shall be securely applied. Securing the
Crossheads shall be maintained in a fit of a loose crank pin by shimming,
safe and suitable condition for service, prick punching, or welding is not per-
with not more than 1⁄4 inch vertical or mitted.
486
(b) Maintenance. Crank pin collars (4) Seams in axles causing journals to
and collar fasteners shall be main- run hot;
tained in a safe and suitable condition (5) Axles that are unsafe on account
for service. of usage, accident or derailment;
(6) Any axle worn 1⁄2 inch or more in
RUNNING GEAR
diameter below the original/new jour-
§ 230.98 Driving, trailing, and engine nal diameter, except as provided in
truck axles. paragraph (a)(7) of this section;
(a) Condemning defects. Driving, trail- (7) Any driving axles other than main
ing, and engine truck axles with any of driving axles with an original or new
the following defects shall be removed diameter greater than 6 inches that are
from service immediately and repaired worn 3⁄4 inch or more in diameter below
(see appendix A of this part for inspec- the original/new diameter.
tion requirements): (b) Journal diameter stamped. For
(1) Bent axle; steam locomotives with plain bearings,
(2) Cut journals that cannot be made the original/new journal diameter shall
to run cool without turning; be stamped on one end of the axle no
(3) Transverse seams in iron or steel later than January 18, 2005.
axles;
§ 230.99 Tender truck axles.

The minimum diameters of axles for various axle loads shall be as follows:
Minimum Minimum Minimum
diameter of diameter of diameter of
Axle load (in pounds) journal wheel seat center
(in inches) (in inches) (in inches)
50000 ................................................................................................................. 51⁄2 73⁄8 67⁄16

38000 ................................................................................................................. 5 63⁄4 57⁄8
31000 ................................................................................................................. 41⁄2 61⁄4 55⁄16
22000 ................................................................................................................. 33⁄4 5 43⁄8
15000 ................................................................................................................. 31⁄4 45⁄8 37⁄8
§ 230.100 Defects in tender truck axles (2) Seams in axles causing journals to
and journals. run hot;
(a) Tender truck axle condemning de- (3) Overheating, as evidenced by pro-
fects. Tender truck axles with any of nounced blue black discoloration;
the following defects shall be removed (4) Transverse seams in journals of
from service immediately and repaired: iron or steel axles; or
(1) Axles that are bent; (5) Journal surfaces having any of the
(2) Collars that are broken, cracked, following:
or worn to 1⁄4 inch or less in thickness; (i) A circumferential score;
(3) Truck axles that are unsafe on ac- (ii) Corrugation;
count of usage, accident, or derail- (iii) Pitting;
ment; (iv) Rust;
(4) A fillet in the back shoulder that (v) Etching.
is worn out; or
(5) A gouge between the wheel seats § 230.101 Steam locomotive driving
that is more than 1⁄8 of an inch in journal boxes.
depth.
(b) Tender truck journal condemning (a) Driving journal boxes. Driving jour-
defects. Tender truck journals with any nal boxes shall be maintained in a safe
of the following defects shall be re- and suitable condition for service. Not
moved from service immediately and more than one shim may be used be-
repaired : tween the box and bearing.
(1) Cut journals that cannot be made (b) Broken bearings. Broken bearings
to run cool without turning; shall be renewed.
487
§ 230.102 49 CFR Ch. II (10–1–07 Edition)
(c) Loose bearings. Loose bearings § 230.105 Lateral motion.

shall be repaired or renewed. (a) Condemning limits. The total lat-
§ 230.102 Tender plain bearing journal eral motion or play between the hubs
boxes. of the wheels and the boxes on any pair
of wheels shall not exceed the following
Plain bearing journal boxes with the limits:
following defects shall be removed
from service immediately and repaired: Inches
(a) A box that does not contain visi- Engine truck wheels (with swing centers) ................. 1
ble free oil; Engine truck wheels (with rigid centers) ................... 11⁄2
(b) A box lid that is missing, broken, Trailing truck wheels .................................................. 1
Driving wheels ........................................................... 3⁄4
or open except to receive servicing;
(c) A box containing foreign matter, (b) Limits increased. These limits may
such as dirt, sand, or coal dust that can be increased on steam locomotives op-
reasonably be expected to damage the erating on track where the curvature
bearing; or have a detrimental effect exceeds 20 degrees when it can be
on the lubrication of the journal and shown that conditions require addi-
bearing; tional lateral motion.
(d) A lubricating pad that: (c) Non-interference with other parts.
(1) Is missing; The lateral motion shall in all cases be
(2) Is not in contact with the journal; kept within such limits that the driv-
(3) Has a tear extending half the ing wheels, rods, or crank pins will not
length or width of the pad, or more, ex- interfere with other parts of the steam
cept by design; locomotive.
(4) Shows evidence of having been
scorched, burned, or glazed; TRUCKS, FRAMES AND EQUALIZING
(5) Contains decaying or deteriorated SYSTEM
fabric that impairs proper lubrication
§ 230.106 Steam locomotive frame.
of the pad;
(6) Has an exposed center core (except (a) Maintenance and inspection.
by design); or Frames, decks, plates, tailpieces, ped-
(7) Has metal parts contacting the estals, and braces shall be maintained
journal; in a safe and suitable condition for
(e) A plain bearing that: service, and shall be cleaned and thor-
(1) Is missing, cracked, broken; oughly inspected as often as necessary
to maintain in a safe and suitable con-
(2) Has a bearing liner loose;
dition for service with cleaning inter-
(3) Has a broken out piece; or
vals, in any case, not to exceed every
(4) Has indications of having been
1472 service days.
overheated, as evidenced by: (b) Broken frames. Broken frames
(i) Melted babbitt: properly patched or secured by clamps
(ii) Smoke from hot oil; or or other suitable means which restores
(iii) Journal surface damage; or the rigidity of the frame are permitted.
(f) A plain bearing wedge that:
(1) Is missing, cracked or broken; or § 230.107 Tender frame and body.
(2) Is not located in its design posi- (a) Maintenance. Tender frames shall
tion. be maintained in a safe and suitable
condition for service.
§ 230.103 Tender roller bearing journal (b) Height difference. The difference in
boxes.
height between the deck on the tender
Tender roller bearing journal boxes and the cab floor or deck on the steam
shall be maintained in a safe and suit- locomotive shall not exceed 11⁄2 inches.
able condition. (c) Gangway minimum width. The min-
imum width of the gangway between
§ 230.104 Driving box shoes and steam locomotive and tender, while
wedges. standing on tangent track, shall be 16
Driving box shoes and wedges shall inches.
be maintained in a safe and suitable (d) Tender frame condemning defects. A
tender frame with any of the following
condition for service.
488
defects shall be removed from service be taken out of service immediately

immediately and repaired: and renewed or properly repaired:
(1) Portions of the tender frame or (1) An elliptical spring with its top
body (except wheels) that have less (long) leaf or any other five leaves in
than a 21⁄2 inches clearance from the the entire spring pack broken;
top of rail; (2) A broken coil spring or saddle;
(2) Tender center sill that is broken, (3) A coil spring that is fully com-
cracked more than 6 inches, or perma- pressed;
nently bent or buckled more than 21⁄2 (4) A broken or cracked equalizer,
inches in any six foot length; hanger, bolt, gib or pin;
(3) Tender coupler carrier that is bro- (5) A broken coil spring saddle; and
ken or missing; (6) A semi-elliptical spring with a top
(4) Tender center plate, any portion (long) leaf broken or two leaves in the
of which is missing or broken or that is top half broken, or any three leaves in
not properly secured; or the entire spring broken.
(5) Tender that has a broken side sill, (d) Tender securing arrangement.
crossbearer, or body bolster. Where equipped, tender devices and/or
securing arrangements intended to pre-
§ 230.108 Steam locomotive leading vent the truck and tender body from
and trailing trucks. separating in case of derailment shall
(a) Maintenance. Trucks shall be be maintained in a safe and suitable
maintained in safe and suitable condi- condition for service.
tion for service. Center plates shall fit (e) Side bearings and truck centering
properly, and the male center plate devices. Where equipped, side bearings
shall extend into the female center and truck centering devices shall be
plate not less than 3⁄4 inch. All cen- maintained in a safe and suitable con-
tering devices shall be properly main- dition for service.
tained and shall not permit lost motion (f) Friction side bearings. Friction side
in excess of 1⁄2 inch. bearings shall not be run in contact,
(b) Safety chain required. A suitable and shall not be considered to be in
safety chain shall be provided at each contact if there is clearance between
front corner of all four wheel engine them on either side when measured on
trucks. tangent level track.
(c) Clearance required. All parts of (g) Side bearings. All rear trucks shall
trucks shall have sufficient clearance be equipped with side bearings. When
to prevent them from interfering with the spread of side bearings is 50 inches,
any other part of the steam loco- their maximum clearance shall be 3⁄8
motive. inch on each side for rear trucks and 3⁄4
inch on each side for front trucks,
§ 230.109 Tender trucks. where used. When the spread of the side
(a) Tender truck frames. A tender bearings is increased, the maximum
truck frame shall not be broken, or clearance shall be increased propor-
have a crack in a stress area that af- tionately.
fects its structural integrity. Tender
§ 230.110 Pilots.
truck center plates shall be securely
fastened, maintained in a safe and suit- (a) General provisions. Pilots shall be
able condition for service, and provided securely attached, properly braced, and
with a center pin properly secured. The maintained in a safe and suitable con-
male center plate must extend into the dition for service.
female center plate at least 3⁄4 inch. (b) Minimum and maximum clearance.
Shims may be used between truck cen- The minimum clearance of pilot above
ter plates. the rail shall be 3 inches and the max-
(b) Tender truck bolsters. Truck bol- imum clearance shall be 6 inches meas-
sters shall be maintained approxi- ured on tangent level track.
mately level.
(c) Condemning defects for springs or § 230.111 Spring rigging.
spring rigging. Springs or spring rigging (a) Arrangement of springs and equal-
with any of the following defects shall izers. Springs and equalizers shall be
489
§ 230.112 49 CFR Ch. II (10–1–07 Edition)
arranged to ensure the proper distribu- on the same axle shall not vary more
tion of weight to the various wheels of than 3⁄32 inch.
the steam locomotive, maintained ap- (b) Gage. Wheels used on standard
proximately level and in a safe and gage track will be out of gage if the in-
suitable condition for service. Adjust- side gage of flanges, measured on base
ing weights by shifting weights from line is less than 53 inches or more than
one pair of wheels to another is permis- 533⁄8 inches. Wheels used on less than
sible. standard gage track will be out of gage
(b) Spring or spring rigging condemning if the inside gage of flanges, measured
defects. Springs or spring rigging with on base line, is less than the relevant
any of the following defects shall be re- track gage less 31⁄2 inches or more than
moved from service immediately and the relevant track gage less 31⁄8 inches.
renewed or properly repaired: (c) Flange distance variance. The dis-
(1) Top leaf broken or two leaves in tance back to back of flanges of wheels
top half or any three leaves in spring mounted on the same axle shall not
broken. (The long side of a spring to be vary more than 1⁄4 inch.
considered the top.) Broken springs not (d) Tire thickness. Wheels may not
exceeding these requirements may be have tires with a minimum thickness
repaired by applying clips providing less than that indicated in the table in
the clips can be made to remain in this paragraph (d). When retaining
place; rings are used, measurements of tires
(2) Any spring with leaves excessively to be taken from the outside circum-
shifting in the band; ference of the ring, and the minimum
(3) Broken coil springs; or thickness of tires may be as much
(4) Broken driving box saddle, equal- below the limits specified earlier in
izer, hanger, bolt, or pin. this paragraph (d) as the tires extend
between the retaining rings, provided
WHEELS AND TIRES it does not reduce the thickness of the
tire to less than 11⁄8 inches from the
§ 230.112 Wheels and tires. throat of flange to the counterbore for
(a) Mounting. Wheels shall be se- the retaining rings. The required min-
curely mounted on axles. Prick punch- imum thickness for tires, by wheel cen-
ing or shimming the wheel fit will not ter diameter and weight per axle, is as
be permitted. The diameter of wheels follows:
Minimum
Weight per axle (weight on drivers divided by number of pairs of driving Diameter of wheel center (inches) thickness
wheels) (inches)
30,000 pounds and under ............................................................................. 44 and under ..................................... 11⁄4

Over 44 to 50 .................................... 15⁄16
Over 50 to 56 .................................... 13⁄8
Over 56 to 62 .................................... 17⁄16
Over 62 to 68 .................................... 11⁄2
Over 68 to 74 .................................... 19⁄16
Over 74 .............................................. 15⁄8
Over 30,000 to 35,000 pounds ..................................................................... 44 and under ..................................... 15⁄16
Over 44 to 50 .................................... 13⁄8
Over 50 to 56 .................................... 17⁄16
Over 56 to 62 .................................... 11⁄2
Over 62 to 68 .................................... 19⁄16
Over 68 to 74 .................................... 15⁄8
Over 74 .............................................. 111⁄16
Over 44 to 50 .................................... 17⁄16
Over 50 to 56 .................................... 11⁄2
Over 56 to 62 .................................... 19⁄16
Over 62 to 68 .................................... 15⁄8
Over 68 to 74 .................................... 111⁄16
Over 74 .............................................. 13⁄4
Over 44 to 50 .................................... 11⁄2
Over 50 to 56 .................................... 19⁄16
Over 56 to 62 .................................... 15⁄8
Over 62 to 68 .................................... 111⁄16
Over 68 to 74 .................................... 13⁄4
Over 74 .............................................. 113⁄16
490
Minimum
Weight per axle (weight on drivers divided by number of pairs of driving Diameter of wheel center (inches) thickness
wheels) (inches)

Over 44 to 50 .................................... 19⁄16
Over 50 to 56 .................................... 15⁄8
Over 56 to 62 .................................... 111⁄16
Over 62 to 68 .................................... 13⁄4
Over 68 to 74 .................................... 113⁄16
Over 74 .............................................. 17⁄8
Over 44 to 50 .................................... 15⁄8
Over 50 to 56 .................................... 111⁄16
Over 56 to 62 .................................... 13⁄4
Over 62 to 68 .................................... 113⁄16
Over 68 to 74 .................................... 17⁄8
Over 74 .............................................. 115⁄16
Over 55,000 pounds ...................................................................................... 44 and under ..................................... 15⁄8
Over 44 to 50 .................................... 111⁄16
Over 50 to 56 .................................... 13⁄4
Over 56 to 62 .................................... 113⁄16
Over 62 to 68 .................................... 17⁄8
Over 68 to 74 .................................... 115⁄16
Over 74 .............................................. 2
(e) Tire width. Flanged tires shall be inches or more in length, or two ad-
no less than 51⁄2 inches wide for stand- joining spots that are each two or more
ard gage and no less than 5 inches wide inches in length, or so numerous as to
for narrow gage. Plain tires shall be no endanger the safety of the wheel.
less than 6 inches wide for standard (f) Seams. Wheels and tires may not
gage and no less than 51⁄2 inches wide have a seam running lengthwise that is
for narrow gage. within 33⁄4 inches of the flange.
§ 230.113 Wheels and tire defects. (g) Worn flanges. Wheels and tires
may not have a flange worn to a 15⁄16
Steam locomotive and tender wheels inch thickness or less, as measured at
or tires developing any of the defects a point 3⁄8 inch above the tread.
listed in this section shall be removed
(h) Worn treads. Wheels and tires may
from service immediately and repaired.
not have a tread worn hollow 5⁄16 inch
Except as provided in § 230.114, welding
or more.
on wheels and tires is prohibited. A
wheel that has been welded is a welded (i) Flange height. Wheels and tires
wheel for the life of the wheel. may not have a flange height of less
(a) Cracks or breaks. Wheels and tires than 1 inch nor more than 11⁄2 inches,
may not have a crack or break in the as measured from the tread to the top
flange, tread, rim, plate, hub or brack- of the flange.
ets. (j) Rim thickness. Wheels may not
(b) Flat spots. Wheels and tires may have rims less than 1 inch thick.
not have a single flat spot that is 21⁄2 (k) Wheel diameter. Wheels may not
inches or more in length, or two ad- have wheel diameter variance, for
joining spots that are each two or more wheels on the same axle or in the same
inches in length. driving wheel base, greater than 3⁄32
(c) Chipped flange. Wheels and tires inch, when all tires are turned or new
may not have a gouge or chip in the tires applied to driving and trailing
flange that is more than 11⁄2 inches in wheels. When a single tire is applied,
length and 1⁄2 inch in width. the diameter must not vary more than
(d) Broken rims. Wheels and tires may 3⁄32 inch from that of the opposite wheel
not have a circumferentially broken on the same axle. When a single pair of
rim if the tread, measured from the tires is applied the diameter must be
flange at a point 5⁄8 inch above the
within 3⁄32 inch of the average diameter
tread, is less than 33⁄4 inches in width.
of the wheels in the driving wheel base
(e) Shelled-out spots. Wheels and tires
may not have a shelled-out spot 21⁄2 to which they are applied.
491
§ 230.114 49 CFR Ch. II (10–1–07 Edition)
§ 230.114 Wheel centers. quently than every 92 service days, the

(a) Filling blocks and shims. Driving interior of the tank shall be inspected,
and trailing wheel centers with divided and cleaned if necessary.
rims shall be properly fitted with iron (c) Top of tender. Top of tender behind
or steel filling blocks before the tires fuel space shall be kept clean, and
are applied, and such filling blocks means provided to carry off excess
shall be properly maintained. When water. Suitable covers shall be pro-
shims are inserted between the tire and vided for filling holes.
the wheel center, not more than two § 230.116 Oil tanks.
thicknesses of shims may be used, one
of which must extend entirely around The oil tanks on oil burning steam
the wheel. The shim which extends en- locomotives shall be maintained free
tirely around the wheel may be in from leaks. The oil supply pipe shall be
three or four pieces, providing they do equipped with a safety cut-off device
not lap. that:
(b) Wheel center condemning defects. (a) Is located adjacent to the fuel
Wheel centers with any of the fol- supply tank or in another safe loca-
lowing defects shall be removed from tion;
service immediately and repaired: (b) Closes automatically when
(1) Wheels centers loose on axle; tripped and that can be reset without
(2) Broken or defective tire fas- hazard; and
tenings; (c) Can be hand operated from clearly
(3) Broken or cracked hubs, plates, marked locations, one inside the cab
bolts or spokes, except as provided in and one accessible from the ground on
paragraph (b)(4) of this section; or each exterior side of the steam loco-
(4) Driving or trailing wheel center motive.
with three adjacent spokes or 25 per-
cent or more of the spokes in the wheel APPENDIX A TO PART 230—INSPECTION
broken. REQUIREMENTS
(c) Wheel center repairs. Wheel centers The lists in this appendix are intended as
may be repaired by welding or brazing guidance only. Adherence to this list does
provided that the defect can properly not relieve the steam locomotive owner and/
be so repaired and, following the re- or operator of responsibility for either: (1)
pair, the crankpin and axle shall re- Completing the inspection and maintenance
requirements described in this part; or (2) en-
main tight in the wheel. Banding of the
suring that the steam locomotive, tender
hub is permitted. and its parts and appurtenances are safe and
(d) Counterbalance maintenance. Wheel suitable for service.
counterbalances shall be maintained in
a safe and suitable condition for serv- Daily Inspection Requirements; § 230.13
ice. 1. Observance of lifting pressure of the low-
est safety valve.
STEAM LOCOMOTIVE TANKS 2. Testing of water glasses and gauge
cocks.*
§ 230.115 Feed water tanks. 3. Inspection of tubular water glass shields.
(a) General provisions. Tanks shall be 4. Inspection of all cab lamps.*
maintained free from leaks, and in safe 5. Inspection of boiler feedwater delivery
systems.*
and suitable condition for service. 6. Inspection of lagging for indication of
Suitable screens must be provided for leaks.
tank wells or tank hose and shall be 7. Inspection for leaks obstructing vision of
maintained in a manner that allows engine crew.
the unobstructed flow of water. Feed 8. Observance of compressor(s) and gov-
water tanks shall be equipped with a ernor to ascertain proper operation.*
device that permits the measurement 9. Inspection of brake and signal equip-
of the quantity of water in the tender ment.*
10. Inspection of brake cylinders for piston
feed water tank from the cab or tender travel.
deck of the steam locomotive. Such de- 11. Inspection of foundation brake gear.
vice shall be properly maintained. 12. Inspection of sanders.*
(b) Inspection frequency. As often as 13. Inspection of draw gear and chafing
conditions warrant but not less fre-
irons.
492
14. Inspection of draft gear. 5. Testing of main reservoir and brake cyl-
15. Inspection of crossheads and guides. inder leakage.
16. Inspection of piston rods and fasteners. 6. Entering and inspection of tender tank
17. Inspection of main, side, and valve mo- interior.
tion rods.
Annual Inspection Requirements; § 230.16
18. Inspection of headlights and classifica-
tion lamps.* 1. Testing of thickness of arch and water
19. Inspection of running gear. bar tubes (arch brick to be removed)
20. Inspection of tender frames and tanks. 2. Hydrostatic testing of boiler.
21. Inspection of tender trucks for amount 3. Testing of all staybolts.
of side bearing clearance. 4. Interior inspection of boiler.
NOTE: All items marked (*) should be 5. Thickness verification of dry pipes.
checked at the beginning of each day the lo- 6. Smoke box inspection.
comotive is used. 7. Main reservoir hammer or UT testing
and hydrostatic testing (for non-welded and
31 Service Day Inspection Requirements; § 230.14 drilled main reservoirs)
8. Removal and inspection of steam loco-
1. Washing of boiler. motive drawbar(s) and pins (NDE testing
2. Cleaning and inspection of water glass other than merely visual)
valves and gauge cocks. 9. Inspection of longitudinal lap joint boil-
3. Cleaning, washing and inspection of arch er seams.
tubes, water bar tubes, circulators and si-
phons. 5 Year Inspection Requirements; § 230.16
4. Removal and inspection of all washout 1. Inspection of flexible staybolt caps and
and water tube plugs. sleeves.
5. Testing of all staybolts.
6. Removal, cleaning and inspection of fusi- 1472 Service Day Inspection Requirements;
ble plugs (if any). § 230.17
92 Service Day Inspection Requirements; § 230.15 1. Removal of boiler flues (as necessary)
and cleaning of boiler interior.
1. Removal and testing of all air and steam 2. Removal of jacket and lagging and in-
gauges. spection of boiler interior and exterior.
2. Cleaning of steam gauge siphon pipe. 3. Hydrostatic testing of boiler.
3. Renewal of tubular water glasses. 4. Thickness verification (boiler survey)
4. Testing and adjusting of safety relief and recomputation and update of steam loco-
valves. motive specification card, (FRA Form No. 4).
493
APPENDIX B TO PART 230—DIAGRAMS AND DRAWINGS

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APPENDIX D TO PART 230—CIVIL PENALTY SCHEDULE

Willful
Subpart A—General
230.11 Repair of non-complying conditions:
(a) Failure to repair non-complying steam locomotive prior to use in service ....................... $1,000 $2,500
(b) Failure of owner and/or operator to approve repairs made prior to use of steam loco-
motive .................................................................................................................................. 1,000 1,500
230.12 Movement of non-complying steam locomotive: (1) (1)
230.13 Daily inspection:
(a) (b):
(2) Inspection not performed by qualified person .................................................... 1,000 1,500
(c) Inspection report not made, improperly executed or not retained .................................... 1,000 1,500
230.14 Thirty-one service day inspection:
(a):
(2) Inspection not performed by qualified person.
(b) Failure to notify FRA ......................................................................................................... 1,000 1,500
(c) Inspection report not made, improperly executed, not properly filed ............................... 1,000 1,500
230.15 Ninety-two service day inspection:
(a):
(b) Inspection report not made, improperly executed, not properly filed ............................... 1,000 1,500
230.16 Annual inspection:
(a):
(b) Failure to notify FRA ......................................................................................................... 1,000 1,500
(c) Inspection report not made, improperly executed, not properly filed ............................... 1,000 1,500
230.17 One thousand four hundred seventy-two service day inspection:
(a):
(b) Inspection report not made, improperly executed, not properly maintained, not properly
filed ...................................................................................................................................... 1,000 1,500
230.18 Service days:
(a) Service day record not available for inspection ................................................................ 1,000 1,500
(b) Failure to file service day report with FRA Regional Administrator .................................. 1,000 1,500
(c) Failure to complete all 1,472 service day inspection items prior to returning retired
steam locomotive to service ................................................................................................ 1,500 3,000
230.19 Posting of forms:
(a) FRA Form No. 1:
(1) FRA Form No. 1 not properly filled out .............................................................. 1,000 1,500
(2) FRA Form No. 1 not properly displayed ............................................................. 1,000 1,500
(b) FRA Form No. 3:
(1) FRA Form No. 3 not properly filled out .............................................................. 1,000 1,500
(2) FRA Form No. 3 not properly displayed ............................................................. 1,000 1,500
230.20 Alteration and repair reports:
(a) Alterations:
(1) Failure to properly file FRA Form No. 19 with FRA Regional Administrator ..... 1,000 1,500
(2) FRA Form No. 19 not properly filled out ............................................................ 1,000 1,500
(3) FRA Form No. 19 not properly maintained ........................................................ 1,000 1,500
(b) Repairs to unstayed portions of the boiler:
(c) Repairs to stayed portions of the boiler:
230.21 Failure to properly document steam locomotive number Change ......................................... 1,000 1,500
Subpart B—Boilers and Appurtenances
230.22 Failure to properly report accident resulting from failure of steam locomotive boiler or part
or appurtenance thereof .................................................................................................................... 1,500 2,500
230.23 Responsibility for general construction and safe working pressure:
(a) Failure to properly establish safe working pressure for steam locomotive boiler ............ 5,000 10,000
(b) Placing steam locomotive in service before safe working pressure for boiler has been
established .......................................................................................................................... 5,000 10,000
230.24 Maximum allowable stress values on boiler components:
(a) Use of materials not of sufficient tensile strength ............................................................. 1,000 2,000
(b) Use of a safety factor value of less than 4 when using the code of original construction
in boiler calculations ............................................................................................................ 2,000 4,000
230.25 Maximum allowable stresses on stays and braces:
524
Willful
(a) Exceeding allowable stress values on fire box and/or combustion chamber ................... 1,000 2,000
(b) Exceeding allowable stress values on round, rectangular or gusset braces ................... 1,000 2,000
230.29 Inspection and repair:
(a):
(1) Failure of owner and/or operator to inspect and repair any steam locomotive
boiler and/or appurtenance under control thereof ................................................ 1,500 3,000
(2) Failure to remove steam locomotive from service when considered necessary
to do so ................................................................................................................. 2,500 5,000
(b):
(1) Failure of perform repairs in accordance with accepted industry standards ..... 2,000 4,000
(2) Owner and/or operator returning steam locomotive boiler and/or appur-
tenances to service before they are in good condition and safe and suitable for
service ................................................................................................................... 2,000 4,000
230.30 Lap-joint seam boilers, Failure to properly inspect ................................................................ 2,000 4,000
230.31 Flues to be removed:
(a):
(1) Failure to remove all flues when inspecting boiler ............................................. 1,500 3,000
(2) Failure to enter boiler and clean and inspect ..................................................... 1,500 3,000
(b) Failure to remove superheater flues when deemed necessary to do so ......................... 1,000 2,000
230.32 Time and method of inspection:
(a) Failure to perform 1,472 service day inspection when required to do so ........................ 1,500 3,000
(b) Failure to properly inspect boiler during 1,472 service day inspection ............................ 1,500 3,000
230.33 Welded repairs and alterations:
(a) Failure to obtain permission before welding on unstayed portions of boiler containing
alloy or carbon steel with carbon content over .25 percent carbon ................................... 1,500 3,000
(b) Failure to perform welding on unstayed portions of boiler containing carbon steel not
exceeding .25 percent carbon in accordance with a nationally accepted standard for
boiler repairs ........................................................................................................................ 1,500 3,000
(c):
(1) Failure to submit written request for approval before performing weld buildup
on wasted areas of unstayed boiler surfaces that exceed 100 square inches or
the smaller of 25 percent of minimum required wall thickness or 1⁄2 inch ........... 1,500 3,000
(2) Repairing wasted sheets .................................................................................... 1,500 3,000
230.34 Riveted repairs and alterations:
(a) Failure to obtain approval before making riveted alterations on unstayed portions of
the boiler; failure to do riveting in accordance with established railroad practices or ac-
cepted national standards for boiler repairs ....................................................................... 1,500 3,000
(b) Failure to perform riveted repairs on unstayed boiler portions in accordance with es-
tablished railroad practices or accepted national standards for boiler repairs ................... 1,500 3,000
(c) Failure to perform riveted repairs on stayed boiler portions in accordance with estab-
lished railroad practices or accepted national standards for boiler repairs ........................ 1,000 2,000
230.35 Failure to raise temperature of steam locomotive boiler to 70 degrees F. before applying
hydrostatic pressure to the boiler ...................................................................................................... 1,000 2,000
230.36 Hydrostatic testing of boilers:
(a) Failure to perform hydrostatic test of boiler as required ................................................... 1,500 3,000
(b) Failure to properly perform hydrostatic test ...................................................................... 1,500 3,000
(c) Failure to properly inspect boiler after conducting hydrostatic test above MAWP ........... 1,500 3,000
230.37 Failure to perform proper steam test or inspection of boiler after completion of repair or al-
teration to boiler ................................................................................................................................. 1,000 2,000
230.38 Telltale holes:
(a) Failure to have telltale holes as required in staybolts ...................................................... 1,000 2,000
(b) Failure to have proper telltale holes in reduced body staybolts ....................................... 1,000 2,000
(c) Failure to keep telltales holes when so required .............................................................. 1,000 2,000
230.39 Broken staybolts:
(a) Boiler in service with excess number of broken staybolts ................................................ 1,500 3,000
(b) Failure to replace staybolts when required to do so; to properly replace staybolts when
so required; to inspect adjacent staybolts when replacing broken staybolts ..................... 1,500 3,000
(c) Failure to count leaking, plugged, or missing telltale holes as broken staybolts ............. 1,500 3,000
(d) Closing telltale holes by prohibited means ....................................................................... 1,500 3,000
230.40 Time and method of staybolt testing:
(a) Failure to hammer test staybolts when so required ......................................................... 1,000 2,000
(b) Failure to properly hammer test staybolts ........................................................................ 1,000 2,000
230.41 Flexible staybolts with caps:
(a) Failure to inspect flexible staybolts as required ................................................................ 1,000 2,000
(b) Failure to replace broken flexible staybolts; failure to close inner ends of telltale holes
as required .......................................................................................................................... 1,000 2,000
(c) Failure to report removal of flexible staybolts caps and other tests on FRA Form No. 3
when so required ................................................................................................................. 1,000 2,000
(d) Failure to remove staybolt caps or otherwise test when FRA inspector or steam loco-
motive owner and/or operator consider it necessary to do so ........................................... 1,000 2,000
230.42 Failure to have accurate boiler steam gauge where engine crew can conveniently read .... 2,000 4,000
230.43 Failure to have gauge siphon of proper capacity on steam gauge supply pipe; failure to
properly clean, maintain the steam gauge supply pipe .................................................................... 1,000 2,000
525
Willful
230.44 Failure to test steam gauge when so required ...................................................................... 1,000 2,000
230.45 Failure to properly test and/or set steam gauge .................................................................... 1,000 2,000
230.46 Failure to attach to boiler backhead metal badge plate showing allowable steam pressure 1,000 1,500
230.47 Boiler Number:
(a) (b) (c) Failure to stamp builder’s number on boiler when number is known .................... 1,000 1,500
230.48 Number and capacity of safety relief valves:
(a) Failure to equip steam locomotive boiler with proper safety relief valves ........................ 2,500 5,000
(b) Failure to provide additional safety relief valve capacity when so required ..................... 3,000 6,000
230.49 Setting of safety relief valves:
(a) Safety relief valve(s) set and/or adjusted by person not competent to do so .................. 2,500 5,000
(b) Safety relief valve(s) not set to open at prescribed pressure(s) ...................................... 2,500 5,000
(c) Safety relief valve(s) not properly set ............................................................................... 3,000 6,000
(d) Set pressure of lowest safety relief valve not properly indicated ..................................... 1,000 2,000
230.50 Failure to test and adjust safety relief valves when required to do so .................................. 1,500 3,000
230.51 Failure to equip steam locomotive boiler with at least 2 properly installed water glasses .... 1,000 2,000
230.52 Failure to properly equip water glasses ................................................................................. 2,000 4,000
230.53 Failure to properly clean water glass valves and/or gauge cocks when required to do so .. 1,000 2,000
230.54 Testing and maintenance:
(a) Failure to properly test water glasses and/or gauge cocks .............................................. 1,000 2,000
(b) Failure to properly maintain gauge cocks, water column drain valves, and/or water
glass valves ......................................................................................................................... 1,500 3,000
230.55 Tubular type water and lubricator glasses and shields:
(a) Failure to renew tubular type water glasses as required ................................................. 1,000 2,000
(b) Failure to properly shield tubular water glasses and/or lubricator glasses ...................... 1,000 2,000
(c) Failure to properly locate and/or maintain water glasses and/or water glass shields ...... 1,000 2,000
230.56 Failure to equip water glass with suitable lamp ....................................................................... 1,000 2,000
230.57 Injectors and feedwater pumps:
(a) Failure to equip steam locomotive with proper means for delivering water to the boiler 3,000 6,000
(b) Failure to properly test and/or maintain injectors, feedwater pumps, boiler checks, de-
livery pipes, feed water pipes, tank hose, tank valves ....................................................... 2,500 5,000
(c) Failure to properly brace injectors, feedwater pumps, and/or associated piping ............. 1,000 2,000
230.58 Flue plugs:
(a) Plugging flue plugs when not otherwise permitted ........................................................... 1,000 2,000
(b) Improperly plugging flue plugs, when otherwise permitted .............................................. 1,000 2,000
230.59 Failure to remove and properly clean fusible boiler plugs when required to do so; failure to
properly note removal ........................................................................................................................ 1,500 3,000
230.60 Time of washing:
(a) Failure to thoroughly wash boiler when required to do so ............................................... 1,000 2,000
(b) Failure to remove washout plugs, arch tube plugs, thermic siphon plugs, circulator
plugs, water bar plugs when washing locomotive boiler .................................................... 1,500 3,000
(c) Failure to examine and/or properly maintain washout plugs washout plug sleeves,
threaded openings ............................................................................................................... 1,500 3,000
(d) Failure to clean fusible plugs when required to do so ...................................................... 1,500 3,000
230.61 Arch tubes, water bar tubes, circulators and thermic siphons:
(a) Failure to clean, wash, inspect arch tubes, water bar tubes, circulators and thermic si-
phons as required ............................................................................................................... 1,000 2,000
(b) Failure to renew arch tubes, water bar tubes; failure to repair or renew circulators,
thermic siphons when required ........................................................................................... 1,500 3,000
(c) Failure to properly inspect and/or replace as necessary arch tubes, water bar tubes,
circulators ............................................................................................................................ 1,500 3,000
230.62 Failure to properly inspect and/or repair or replace as necessary dry pipes subject to
pressure ............................................................................................................................................. 2,500 5,000
230.63 Failure to properly inspect smoke box, steam pipes, pressure parts when required to do
so ....................................................................................................................................................... 1,500 3,000
230.64 Failure to remove from service steam locomotive boiler leaking under lagging from condi-
tion which may reduce safety and/or repair the boiler before returning to service .......................... 1,500 3,000
230.65 Failure to keep steam locomotive boiler, piping, appurtenances in repair so steam does
not obscure vision .............................................................................................................................. 1,000 2,000
230.66 Failure to properly oversee general design, construction, maintenance of steam loco-
motive(s) and tender(s) ..................................................................................................................... 1,000 2,000
230.67 Failure to ensure all steam locomotives and tenders are properly inspected and repaired
and/or all defects are properly repaired and steam locomotive and/or tender are in good condi-
tion, safe and suitable for service before being returned to service ................................................. 2,500 5,000
230.68 Failure to equip steam locomotive that operates in excess of 20 miles per hour over the
general system with speed indicator maintained to ensure accurate functioning ............................ 1,000 1,500
230.69 Failure to equip steam locomotive with properly supported ash pan with operating mecha-
nism that may be safely operated and securely closed .................................................................... 1,000 2,000
230.70 Safe condition:
(a) Failure to perform proper pre-departure inspection when so required ............................. 1,000 2,000
(b) Failure to properly equip steam locomotive with brake pipe valve clearly identified as
‘‘Emergency Brake Valve’’ .................................................................................................. 1,000 2,000
230.71 Orifice testing of air compressors:.
(a)(b):
Failure to properly test and/or maintain air compressor(s) capacity ....................... 1,000 2,000
526
Willful
230.72 Testing main reservoirs:

(a) Failure to properly test main reservoir(s) when required .................................................. 1,000 2,000
(b) Impermissibly or improperly drilling main reservoir .......................................................... 1,000 2,000
(c) Impermissibly using NDE method to measure wall thickness of main reservoir .............. 1,000 2,000
(d) Failure to use appropriate method of NDE testing of wall thickness of welded or riv-
eted longitudinal lap seam main reservoir(s); failure to withdraw main reservoir(s) from
service when testing reveals insufficient wall thickness ..................................................... 1,500 3,000
230.73 Air gauges:
(a) Failure to equip steam locomotive with properly located air gauge(s) that are no more
than 3 psi in error ................................................................................................................ 1,000 1,500
(b) Failure to test air gauge(s) when so required ................................................................... 1,000 1,500
(c) Failure to properly test air gauge(s) .................................................................................. 1,000 1,500
230.74 Failure to properly clean and/or test all air brake valves, related dirt collectors, filters when
required to do so ............................................................................................................................... 1,000 1,500
230.75 Failure to properly stencil or display date of testing and cleaning and initials of shop or sta-
tion performing work .......................................................................................................................... 1,000 1,500
230.76 Piston travel:
(a) Insufficient minimum piston travel ..................................................................................... 1,000 1,500
(b) Excessive piston travel when steam locomotive is stationary .......................................... 1,000 2,000
230.77 Foundation brake gear:
(a) Failure to properly maintain foundation brake gear .......................................................... 1,000 2,000
(b) Foundation brake gear less than 2.5 inches above rail ................................................... 1,000 2,000
230.78 Leakage:
(a):
(1) Failure to test for leakage from main reservoir or related piping as required ... 1,000 1,500
(2) Failure to repair excessive leakage from main reservoir or related piping leak-
age ........................................................................................................................ 1,000 2,000
(b) Failure to test for brake cylinder as required .................................................................... 1,000 1,500
(c):
(1) Failure to test for leakage from steam locomotive brake pipe as required ....... 1,000 2,000
(2) Failure to repair excessive brake pipe leakage .................................................. 1,000 2,000
230.79 Train signal system:
(1) Failure to test the train signal system or other form of on-board communica-
tion as required ..................................................................................................... 1,000 1,500
(2) Failure to repair train signal system or other on-board communication when
not safe or suitable for service ............................................................................. 1,000 1,500
230.80 Cabs:
(a) Steam locomotive cab not safe and suitable for service .................................................. 1,000 2,000
(b) Steam pipes: Construction, attachment ............................................................................ 1,000 2,000
(c) Oil-burning steam locomotive, cab-enclosed .................................................................... 1,000 1,500
230.81 Cab aprons:
(a) Cab apron, general provisions .......................................................................................... 1,000 1,500
(b) Cab apron, insufficient width ............................................................................................. 1,000 1,500
230.82 Fire doors:
(a) Safe and suitable for service, general provisions ............................................................. 1,000 2,000
(b) Construction and maintenance of mechanically operated fire doors ............................... 1,000 2,000
(c) Construction and maintenance of hand-operated fire doors ............................................ 1,000 2,000
230.83 Cylinder cocks:
(1) Failure to properly equip with cylinder cocks ..................................................... 1,000 1,500
(2) Failure to properly maintain cylinder cocks ........................................................ 1,000 1,500
230.84 Sanders:
(1) Inoperable sanders ............................................................................................. 1,000 1,500
(2) Failure to test sanders ........................................................................................ 1,000 1,500
230.85 Audible warning devices:
(a) General provisions ............................................................................................................ 1,000 1,500
(b) Sound level measurements, Failure to properly take ....................................................... 1,000 1,500
230.86 Required illumination:
(b) Dimming device, Failure to properly equip with ................................................................ 1,000 1,500
(c) Multiple locomotives, Failure of lead locomotive to display headlight .............................. 1,000 1,500
230.87 Cab lights: Failure to properly equip with ............................................................................... 1,000 2,000
230.88 Throttles: Failure to properly maintain, equip ......................................................................... 1,000 2,000
230.89 Reverse gear:
(b) Air-operated power reverse gear ...................................................................................... 1,000 2,000
(c) Power reverse gear reservoirs .......................................................................................... 1,000 2,000
230.90 Draw gear and draft systems:
(a) Maintenance and testing ................................................................................................... 1,000 1,500
(b) Safety bars and chains, general ....................................................................................... 1,000 1,500
(c) Safety bars and chains, minimum length .......................................................................... 1,000 1,500
(d) Lost motion between steam locomotive and tender ......................................................... 1,000 1,500
(e) Spring buffers: Improper application, compression .......................................................... 1,000 1,500
230.91 Chafing irons: Improper application, maintenance ................................................................. 1,000 1,500
527
Willful
230.92 Draw gear, draft systems: Improperly maintained, fastened ................................................. 1,000 1,500
230.93 Pistons and piston rods:
(a) Failure to properly inspect, maintain, renew ..................................................................... 1,000 2,000
(b) Fasteners: Failure to keep tight, properly equip ............................................................... 1,000 2,000
230.94 Crossheads: Improperly maintained, excess clearance ......................................................... 1,000 2,000
230.95 Guides: Failure to securely fasten, properly maintain ............................................................ 1,000 2,000
230.96 Main, side, valve motion rods:
(a) General .............................................................................................................................. 1,000 2,000
(b) Repairs.
(1) Failure to make in accordance with accepted national standard ....................... 1,000 2,000
(2) Failure to submit written request for approval prior to welding .......................... 1,000 2,000
(c) Bearings and bushings ....................................................................................... 1,000 1,500
(d) Rod side motion: Excessive motion .................................................................................. 1,000 1,500
(e) Oil, grease cups: Failure to securely fasten, properly equip ............................................ 1,000 1,500
(f) Main rod bearings:
(1) excessive bore .................................................................................................... 1,000 1,500
(2) excessive lost motion .......................................................................................... 1,000 1,500
(g) Side rod bearings, excessive bore .................................................................................... 1,000 1,500
230.97 Crank pins:
(b) Maintenance: Failure to maintain in safe, suitable condition ............................................ 1,000 2,000
230.98 Driving, trailing, engine truck axles:
(a) Condemning defects ......................................................................................................... 1,000 2,000
(b) Journal diameter: Failure to stamp on end of axle ........................................................... 750 1,000
230.99 Tender truck axle: Insufficient diameter ................................................................................. 1,000 2,000
230.100 Defects in tender truck axles and journals:
(a) Tender truck axle condemning defects ............................................................................. 1,000 2,000
(b) Tender truck journal condemning defects ......................................................................... 1,000 2,000
230.101 Steam locomotive driving journal boxes:
(a) Driving journal boxes: Failure to properly maintain .......................................................... 1,000 2,000
(b) Broken bearings: Failure to renew .................................................................................... 1,000 2,000
(c) Loose bearings: Failure to repair or renew ....................................................................... 1,000 2,000
230.102 Tender plain bearing journal boxes: Failure to repair .......................................................... 1,000 1,500
230.103 Tender roller bearing journal boxes: Failure to properly maintain ....................................... 1,000 1,500
230.104 Driving box shoes and wedges: Failure to properly maintain .............................................. 1,000 1,500
230.105 Lateral motion:
(a) Condemning limits: Total lateral motion in excess of ....................................................... 1,000 1,500
(b) Limits exceeded, failure to demonstrate conditions require additional lateral motion ...... 1,000 1,500
(c) Interferes with other parts of steam locomotive ................................................................ 1,000 1,500
230.106 Steam locomotive frame:
(a) Failure to properly inspect and/or maintain ...................................................................... 1,000 2,000
(b) Broken frames, not properly patched or secured ............................................................. 2,500 5,000
230.107 Tender frame and body:
(a) Failure to properly maintain .............................................................................................. 1,000 1,500
(b) Height difference between tender deck and steam locomotive cab floor or deck exces-
sive ...................................................................................................................................... 1,000 1,500
(c) Gangway minimum width excessive ................................................................................. 1,000 1,500
(d) Tender frame condemning defects ................................................................................... 1,500 3,000
230.108 Steam locomotive leading and trailing trucks:
(a) Failure to properly maintain .............................................................................................. 1,000 1,500
(b) Safety chain, suitable safety chain not provided .............................................................. 1,000 1,500
(c) Insufficient truck clearance ................................................................................................ 1,000 2,000
230.109 Tender trucks:
(a):
(1) Tender truck frames ............................................................................................ 1,000 2,000
(2) Tender truck center plate .................................................................................... 1,000 2,000
(b) Tender truck bolsters: Failure to properly maintain .......................................................... 1,500 3,000
(c) Condemning defects, springs and/or spring rigging ......................................................... 1,000 2,000
(d) Truck securing arrangement: Not properly maintained .................................................... 1,000 1,500
(e) Side bearings, truck centering devices ............................................................................. 1,000 2,000
(f) Friction side bearings: Run in contact ............................................................................... 1,000 2,000
(g):
(1) Side bearings, failure to equip rear trucks with .................................................. 1,000 2,000
(2) Insufficient clearance of ...................................................................................... 1,000 2,000
230.110 Pilots:
(b) Clearance, insufficient or excessive .................................................................................. 1,000 1,500
230.111 Spring rigging:
(a) Arrangement of springs and equalizers ............................................................................ 1,000 2,000
(b) Spring or spring rigging condemning defects ................................................................... 1,000 2,000
230.112 Wheels and tires:
(a) Improperly Mounted, excess variance in axle diameter ................................................... 1,500 3,000
(b) Out of gage ....................................................................................................................... 1,000 2,000
528
Willful
(c) Flange distance variance, excessive ................................................................................ 1,000 2,000

(d) Tire thickness, insufficient ................................................................................................. 1,000 2,000
(e) Tire width, insufficient ........................................................................................................ 1,000 2,000
230.113 Wheels and tire defects:
(1) Failure to repair ................................................................................................... 1,000 2,000
(2) Welding on, except as otherwise provided for ................................................... 1,500 3,000
(a) Cracks or breaks in ........................................................................................................... 1,000 2,000
(b) Flat spots ........................................................................................................................... 1,000 2,000
(c) Chipped flange .................................................................................................................. 1,000 2,000
(d) Broken rim ......................................................................................................................... 1,000 2,000
(e) Shelled-out spots ............................................................................................................... 1,000 2,000
(f) Seams ................................................................................................................................ 1,000 2,000
(g) Worn flanges, excessive wear .......................................................................................... 1,000 2,000
(h) Worn treads, excessive wear ............................................................................................ 1,000 2,000
(i) Flange height, insufficient or excessive ............................................................................. 1,000 2,000
(j) Rim thickness, insufficient .................................................................................................. 1,000 2,000
(k) Wheel diameter, excessive variance ................................................................................. 1,000 2,000
230.114 Wheel centers:
(a) Filling blocks and shims .................................................................................................... 1,000 2,000
(b) Wheel center condemning limits, failure to repair ............................................................ 1,000 2,000
(c) Wheel center repairs ......................................................................................................... 1,000 2,000
(d) Counterbalance maintenance ........................................................................................... 1,000 2,000
230.115 Feed water tanks:
(b) Inspection frequency, failure to inspect as required ......................................................... 1,000 1,500
(c) Top of tender: Improperly maintained and/or equipped .................................................... 1,000 1,500
230.116 Oil tanks:
(1) Failure to properly maintain ................................................................................ 2,500 5,000
(2) Failure to equip with complying safety cut-off device ........................................ 5,000 7,500
1 Failure to observe any condition for movement set forth in § 230.12 will deprive the railroad of the benefit of the movement-
for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory sec-
tion(s) concerning the substantive defect(s) present on the locomotive at the time of movement. Failure to comply with § 230.12
will result in the lapse of any affected waiver.
PART 231—RAILROAD SAFETY 231.17 Specifications common to all steam

locomotives.
APPLIANCE STANDARDS 231.18 Cars of special construction.
231.19 Definition of ‘‘Right’’ and ‘‘Left.’’
Sec.
231.20 Variation in size permitted.
231.0 Applicability and penalties.
231.21 Tank cars without underframes.
231.1 Box and other house cars built or
placed in service before October 1, 1966. 231.22 Operation of track motor cars.
231.2 Hopper cars and high-side gondolas 231.23 Unidirectional passenger-train cars
with fixed ends. adaptable to van-type semi-trailer use.
231.3 Drop-end high-side gondola cars. 231.24 Box and other house cars with roofs,
231.4 Fixed-end low-side gondola and low- 16 feet 10 inches or more above top of
side hopper cars. rail.
231.5 Drop-end low-side gondola cars. 231.25 Track motorcars (self-propelled 4-
231.6 Flat cars. wheel cars which can be removed from
231.7 Tank cars with side platforms. the rails by men).
231.8 Tank cars without side sills and tank 231.26 Pushcars.
cars with short side sills and end plat- 231.27 Box and other house cars without
forms. roof hatches or placed in service after
231.9 Tank cars without end sills. October 1, 1966.
231.10 Caboose cars with platforms. 231.28 Box and other house cars with roof
231.11 Caboose cars without platforms. hatches built or placed in service after
231.12 Passenger-train cars with wide vesti- October 1, 1966.
bules. 231.29 Road locomotives with corner stair-
231.13 Passenger-train cars with open-end ways.
platforms. 231.30 Locomotives used in switching serv-
231.14 Passenger-train cars without end
ice.
platforms.
231.31 Drawbars for freight cars; standard
231.15 Steam locomotives used in road serv-
ice. height.
231.16 Steam locomotives used in switching APPENDIX A TO PART 231—SCHEDULE OF CIVIL
service. PENALTIES
529
§ 231.0 49 CFR Ch. II (10–1–07 Edition)
AUTHORITY: 49 U.S.C. 20102–20103, 20107, metropolitan or suburban area, and (2)
20131, 20301–20303, 21301–21302, 21304; 28 U.S.C. high speed ground transportation sys-
2461, note; and 49 CFR 1.49. tems that connect metropolitan areas,
SOURCE: 33 FR 19663, Dec. 25, 1968, unless without regard to whether they use
otherwise noted. new technologies not associated with
NOTE: Where rivets or bolts are required in traditional railroads. Such term does
this part 231 a two-piece steel rivet may be not include rapid transit operations
used consisting of: within an urban area that are not con-
(a) A solid shank of one-half (1⁄2) inch min- nected to the general railroad system
imum diameter steel or material of equal or of transportation.
greater strength having cold forged head on
one end, a shank length for material thick- (f) Any person (an entity of any type
ness fastened, locking grooves, breakneck covered under 1 U.S.C. 1, including but
groove and pull grooves (all annular grooves) not limited to the following: a railroad;
on the opposite end. a manager, supervisor, official, or
(b) A collar of similar material which is other employee or agent of a railroad;
cold swaged into the locking grooves form- any owner, manufacturer, lessor, or
ing a head for the opposite end of item (a) lessee of railroad equipment, track, or
after the pull groove section has been re-
moved. facilities; any independent contractor
providing goods or services to a rail-
§ 231.0 Applicability and penalties. road; and any employee of such owner,
(a) Except as provided in paragraphs manufacturer, lessor, lessee, or inde-
(b) and (c) of this section, this part ap- pendent contractor) who violates any
plies to all standard gage railroads. requirement of this part or causes the
(b) This part does not apply to: violation of any such requirement is
(1) A railroad that operates only on subject to a civil penalty of at least
track inside an installation which is $550 and not more than $11,000 per vio-
not part of the general railroad system lation, except that: penalties may be
of transportation; or assessed against individuals only for
(2) Rapid transit operations in an willful violations, and, where a grossly
urban area that are not connected with negligent violation or a pattern of re-
the general railroad system of trans- peated violations has created an immi-
portation. nent hazard of death or injury to per-
(3) Freight and other non-passenger sons, or has caused death or injury, a
trains of four-wheel coal cars. penalty not to exceed $27,000 per viola-
(4) Freight and other non-passenger tion may be assessed. Each day a viola-
trains of eight-wheel standard logging tion continues shall constitute a sepa-
cars if the height of each car from the rate offense. See appendix A to this
top of the rail to the center of the cou- part for a statement of agency civil
pling is not more than 25 inches. penalty policy.
(5) A locomotive used in hauling a (g) Except as provided in paragraph
train referred to in paragraph (b)(4) of (b) of this section, § 231.31 also applies
this section when the locomotive and to an operation on a 24-inch, 36-inch, or
cars of the train are used only to trans- other narrow gage railroad.
port logs. [54 FR 33229, Aug. 14, 1989, as amended at 63
(c) Except for the provisions gov- FR 11623, Mar. 10, 1998; 64 FR 25660, May 12,
erning uncoupling devices, this part 1999; 66 FR 4192, Jan. 17, 2001; 69 FR 30594,
does not apply to Tier II passenger May 28, 2004]
equipment as defined in § 238.5 of this
chapter (i.e., passenger equipment oper- Sept. 6, 2007, paragraph (f) in § 231.0 was
ating at speeds exceeding 125 mph but amended by removing the numerical amount
not exceeding 150 mph). ‘‘$11,000’’ and adding in its place the numer-
(d) As used in this part, carrier means ical amount ‘‘$16,000’’, effective October 9,
‘‘railroad,’’ as that term is defined 2007.
below.
(e) Railroad means all forms of non- § 231.1 Box and other house cars built
highway ground transportation that or placed in service before October
run on rails or electromagnetic guide- 1, 1966.
ways, including (1) commuter or other Except for box and other house cars
short-haul rail passenger service in a that comply with either § 231.27 or
530
§ 231.28, each box and other house car side on steel or steel-underframe cars
shall be equipped to meet the following with platform end sills in service July
specifications: 1, 1911, except when such appliances are
(a) Handbrake—(1) Number. One effi- renewed, at which time they must be
cient handbrake which shall operate in made to comply with the standards
harmony with the power brake in- prescribed.
stalled on the car. Each such hand- (iv) Carriers are not required to
brake shall (i) provide the same degree change the location of brake wheels
of safety as the design shown on plate and brake shafts on cars in service
A, or (ii) provide the same degree of July 1, 1911, where the appliances are
safety as that specified in § 231.27. within 3 inches of the required loca-
(2) Dimensions. (i) The brake shaft tion, except that when cars undergo
shall be not less than 11⁄4 inches in di- regular repairs they must then be made
ameter, of wrought iron or steel with-
to comply with the standards pre-
out weld.
scribed.
(ii) The brake wheel may be flat or
dished, not less than 15, preferably 16, (4) Manner of application. (i) There
inches in diameter, of malleable iron, shall be not less than 4 inches clear-
wrought iron, or steel. ance around rim of brake wheel.
(3) Location. (i) The hand brake shall (ii) Outside edge of brake wheel shall
be so located that it can be safely oper- be not less than 4 inches from a
ated while car is in motion. vertical plane parallel with end of car
(ii) The brake shaft shall be located and passing through the inside face of
on end of car, to the left of and not less knuckle when closed with coupler horn
than 17 nor more than 22 inches from against the buffer block or end sill.
center. (iii) Top brake-shaft support shall be
(iii) Carriers are not required to fastened with not less than 1⁄2-inch
change the brakes from right to left bolts or rivets. (See plate A.)
531
§ 231.1 49 CFR Ch. II (10–1–07 Edition)
(iv) A brake-shaft step shall support or square-headed bolt. Nut on said bolt
the lower end of brake shaft. A brake- shall be secured by riveting end of bolt
shaft step which will permit the brake over nut. (See plate A.)
chain to drop under the brake shaft (vii) Lower end of brake shaft shall
shall not be used. U-shaped form of be provided with a trunnion of not less
brakeshaft step is preferred. (See plate than 3⁄4-, preferably 1, inch in diameter
A.) extending through brake-shaft step and
(v) Brake shaft shall be arranged held in operating position by a suitable
with a square fit at its upper end to se- cotter or ring. (See plate A.)
cure the hand-brake wheel; said square (viii) Brake-shaft drum shall be not
fit shall be not less than seven-eighths less than 11⁄2 inches in diameter. (See
of an inch square. Square-fit taper, plate A.)
nominally 2 in 12 inches. (See plate A.) (ix) Brake ratchet wheel shall be se-
(vi) Brake chain shall be of not less cured to brake shaft by a key or square
than 3⁄8-, preferably 7⁄16-, inch wrought fit; said square fit shall be not less
iron or steel, with a link on the than 15⁄16 inches square. When ratchet
brakerod end of not less than 7⁄16-, pref- wheel with square fit is used, provision
erably 1⁄2-, inch wrought iron or steel, shall be made to prevent ratchet wheel
and shall be secured to brake-shaft from rising on shaft to disengage brake
drum by not less than 1⁄2-inch hexagon pawl. (See plate A.)
532
EC01AP91.005</GPH>
(x) Brake ratchet wheel shall be not (3) Location. Full length of car, center
less than 51⁄4, preferably 51⁄2, inches in of roof. On outside-metal-roof cars
diameter and shall have not less than there shall be two latitudinal exten-
14, preferably 16, teeth. (See plate A.) sions from longitudinal running board
(xi) If brake ratchet wheel is more to ladder locations, except on refrig-
than 36 inches from brake wheel, a erator cars where such latitudinal ex-
brake-shaft support shall be provided tensions cannot be applied on account
to support this extended upper portion of ice hatches.
of brake shaft; said brake-shaft support (4) Manner of application. (i) Running
shall be fastened with not less than 1⁄2- board shall be continuous from end to
inch bolts or rivets. end and not cut or hinged at any point:
(xii) The brake pawl shall be pivoted Provided, That the length and width of
upon a bolt or rivet not less than five- running board may be made up of a
eighths of an inch in diameter, or upon number of pieces securely fastened to
a trunnion secured by not less than 1⁄2- saddle-blocks with screws, bolts, or riv-
inch bolt or rivet, and there shall be a ets.
rigid metal connection between brake (ii) The ends of longitudinal running
shaft and pivot of pawl. board shall be not less than 6 nor more
(xiii) Brake wheel shall be held in po- than 10 inches from a vertical plane
sition on brake shaft by a nut on a parallel with end of car and passing
through the inside face of knuckle
threaded extended end of brake shaft;
when closed with coupler-horn against
said threaded portion shall be not less
the buffer-block or endsill; and if more
than three-fourths of an inch in diame-
than 4 inches from edge of roof of car,
ter; said nut shall be secured by riv-
shall be securely supported their full
eting over or by the use of a lock nut
width by substantial metal braces.
or suitable cotter.
(iii) Running board shall be securely
(xiv) Brake wheel shall be arranged fastened to car and be made of wood or
with a square fit for brake shaft in hub of material which provides the same as
of said wheel; taper of said fit, nomi- or a greater degree of safety than wood
nally 2 in 12 inches. (See plate A.) of 11⁄8 inches thickness. When made of
(b) Brake step. If brake step is used, it material other than wood the tread
shall be not less than 28 inches in surface shall be of anti-skid design and
length. Outside edge shall be not less constructed with sufficient open space
than 8 inches from face of car and not to permit the elimination of snow and
less than 4 inches from a vertical plane ice from the tread surface.
parallel with end of car and passing (d) Sill steps—(1) Number. Four.
through the inside face of knuckle (2) Dimensions. Minimum cross-sec-
when closed with coupler horn against tional area 1⁄2 by 11⁄2 inches, or equiva-
the buffer block or end sill. lent, of wrought iron or steel. Min-
(1) Manner of application. Brake step imum length of tread, 10, preferably 12,
shall be supported by not less than two inches. Minimum clear depth, 8 inches.
metal braces having a minimum cross- (3) Location. (i) One near each end of
sectional area 3⁄8 by 11⁄2 inches or equiv- each side of car, so that there shall be
alent, which shall be securely fastened not more than 18 inches from end of car
to body of car with not less than 1⁄2- to center of tread of sill step.
inch bolts or rivets. (ii) Outside edge of tread of step shall
(c) Running boards—(1) Number. One be not more than 4 inches inside of face
longitudinal running board. On out- of side of car, preferably flush with side
side-metal-roof cars two latitudinal ex- of car.
tensions. (iii) Tread shall be not more than 24,
(2) Dimensions. Longitudinal running preferably not more than 22, inches
board shall be not less than 18 and pref- above the top of rail.
erably 20 inches in width. Latitudinal (iv) Carriers are not required to
extensions shall be not less than 24 change location of sill steps on cars in
inches in width. Wooden running service July 1, 1911, where the appli-
boards or extensions hereafter installed ances are within 3 inches of the re-
shall be constructed of wood not less quired location, except that when cars
than 11⁄8 inches in thickness. undergo regular repairs they must then
533
§ 231.1 49 CFR Ch. II (10–1–07 Edition)
be made to comply with the standards such appliances are renewed, at which
prescribed. time they must be made to comply
(4) Manner of application. (i) Sill steps with the standards prescribed.
exceeding 21 inches in depth shall have (4) Manner of application. (i) Metal
an additional tread. ladders without stiles near corners of
(ii) Sill steps shall be securely fas- cars shall have foot guards or upward
tened with not less than 1⁄2-inch bolts projections not less than 2 inches in
with nuts outside (when possible) and height near inside end of bottom
riveted over, or with not less than 1⁄2- treads.
inch rivets. (ii) Stiles of ladders, projecting 2 or
(e) Ladders—(1) Number. Four. more inches from face of car, will serve
(2) Dimensions. (i) Minimum clear as foot guards.
length of tread: Side ladders 16 inches; (iii) Ladders shall be securely fas-
end ladders 14 inches. Maximum spac- tened with not less than 1⁄2-inch bolts
ing between ladder treads, 19 inches. with nuts outside (when possible) and
(ii) Top ladder tread shall be located riveted over, or with not less than 1⁄2-
not less than 12 nor more than 18 inch rivets. Three-eighths-inch bolts
inches from roof at eaves. may be used for wooden treads which
(iii) Spacing of side ladder treads are gained into stiles.
shall be uniform within a limit of 2 (f) End ladder clearance. (1) No part of
inches from top ladder tread to bottom car above end sills within 30 inches
tread of ladder. from side of car, except buffer block,
(iv) Maximum distance from bottom brake shaft, brake wheel, brake step,
tread of side ladder to top tread of sill running board or uncoupling lever shall
step, 21 inches. extend to within 12 inches of a vertical
(v) End ladder treads shall be spaced plane parallel with end of car and pass-
to coincide with treads of side ladders, ing through the inside face of knuckle
a variation of 2 inches being allowed. when closed with coupler horn against
Where construction of car will not per- the buffer block or end sill, and no
mit the application of a tread of end other part of end of car or fixtures on
ladder to coincide with bottom tread of same above end sills, other than excep-
side ladder, the bottom tread of end tions herein noted, shall extend beyond
ladder must coincide with second tread the outer face of buffer block.
from bottom of side ladder. (2) Carriers are not required to make
(vi) Hardwood treads, minimum di- changes to secure additional end-ladder
mensions 11⁄2 by 2 inches. clearance on cars in service July 1,
(vii) Iron or steel treads, minimum 1911, that have 10 or more inches end-
diameter five-eighths of an inch. ladder clearance, within 30 inches of
(viii) Minimum clearance of treads, 2, side of car, until car is shopped for
preferably 21⁄2, inches. work amounting to practically rebuild-
(3) Location. (i) One on each side, not ing body of car, at which time they
more than 8 inches from right end of must be made to comply with the
car; one on each end, not more than 8 standards prescribed.
inches from left side of car; measured (g) Roof handholds—(1) Number. (i)
from inside edge of ladder stile or One over each ladder.
clearance of ladder treads to corner of (ii) One right-angle handhold may
car. take the place of two adjacent specified
(ii) Carriers are not required to roof handholds, provided the dimen-
change the location of ladders on cars sions and locations coincide, and that
in service July 1, 1911, where the appli- an extra leg is securely fastened to car
ances are within 3 inches of the re- at point of angle.
quired location, except that when cars (2) Dimensions. Minimum diameter,
undergo regular repairs they must then five-eighths of an inch, wrought iron or
be made to comply with the standards steel. Minimum clear length, 16 inches.
prescribed. Minimum clearance, 2, preferably 21⁄2
(iii) Carriers are not required to inches.
change the end ladders on steel or steel (3) Location. (i) On roof of car, one
underframe cars with platform end sill, parallel to treads of each ladder, not
in service July 1, 1911, except when less than 8 nor more than 15 inches
534
from edge of roof, except on refrig- (ii) A handhold 14 inches in length

erator cars where ice hatches prevent, may be used where it is impossible to
when location may be nearer edge of use one 16 inches in length.
roof. (iii) Minimum clearance, 2, pref-
(ii) Carriers are not required to erably 21⁄2, inches.
change the location of handholds on (3) Location. (i) One near each side on
cars in service July 1, 1911, except end each end of car, not less than 24 nor
handhold under end sills, where the ap- more than 30 inches above center line
pliances are within 3 inches of the re- of coupler, except as provided above,
quired location, except that when cars when tread of end ladder is an end
undergo regular repairs they must then handhold. Clearance of outer end of
be made to comply with the standards handhold shall be not more than 8
prescribed. inches from side of car.
(4) Manner of application. Roof (ii) One near each side of each end of
handholds shall be securely fastened car on face of end sill or sheathing over
with not less than 1⁄2-inch bolts with end sill, projecting outward or down-
nuts outside (when possible) and riv- ward. Clearance of outer end of hand-
eted over, or with not less than 1⁄2-inch hold shall be not more than 16 inches
rivets. from side of car.
(h) Side handholds—(1) Number. Four. (iii) On each end of cars with plat-
(Tread of side ladder is a side hand- form end sills 6 or more inches in
hold.) width, measured from end post or sid-
(2) Dimensions. Minimum diameter, ing and extending entirely across end
five-eighths of an inch, wrought iron or of car, there shall be one additional end
steel. Minimum clear length, 16 inches, handhold not less than 24 inches in
preferably 24 inches. Minimum clear- length, located near center of car, not
ance, 2, preferably 21⁄2, inches. less than 30 nor more than 60 inches
(3) Location. (i) Horizontal, one near above platform end sill.
each end on each side of car. Side (iv) Carriers are not required to
handholds shall be not less than 24 nor change the location of handholds, on
more than 30 inches above center line cars in service July 1, 1911, except end
of coupler, except as provided above, handholds under end sills, where the
where tread of ladder is a handhold. appliances are within 3 inches of the
Clearance of outer end of handhold required location, except that when
shall be not more than 8 inches from cars undergo regular repairs they must
end of car. then be made to comply with the
(ii) Carriers are not required to standards prescribed.
change the location of handholds, on (4) Manner of application. Horizontal
cars in service July 1, 1911, except end end handholds shall be securely fas-
handholds under end sills, where the tened with not less than 1⁄2-inch bolts
appliances are within 3 inches of the with nuts outside (when possible) and
required location, except that when riveted over, or with not less than 1⁄2-
cars undergo regular repairs they must inch rivets.
then be made to comply with the (j) Vertical end handholds—(1) Number.
standards prescribed. Two on full-width platform end-sill
(4) Manner of application. Side cars, as heretofore described.
handholds shall be securely fastened (2) Dimensions. Minimum diameter,
with not less than 1⁄2-inch bolts with five-eighths of an inch, wrought iron or
nuts outside (when possible) and riv- steel. Minimum clear length, 18, pref-
eted over, or with not less than 1⁄2-inch erably 24, inches. Minimum clearance,
rivets. 2, preferably 21⁄2, inches.
(i) Horizontal end handholds—(1) Num- (3) Location. (i) One on each end of
ber. Eight or more, four on each end of car opposite ladder, not more than 8
car. (Tread of end ladder is an end inches from side of car; clearance of
handhold.) bottom end of handhold shall be not
(2) Dimensions. (i) Minimum diame- less than 24 nor more than 30 inches
ter, five-eighths of an inch, wrought above center line of coupler.
iron or steel. Minimum clear length, 16 (ii) Carriers are not required to
inches, preferably 24 inches. change the location of handholds, on
535
§ 231.1 49 CFR Ch. II (10–1–07 Edition)
cars in service July 1, 1911, except end plate B or of similar designs, shall be
handholds under end sills, where the not more than 6 inches from sides of
appliances are within 3 inches of the car.
required location, except that when (ii) Uncoupling levers of design
cars undergo regular repairs they must shown on plate B and of similar designs
then be made to comply with the shall conform to the following pre-
standards prescribed. scribed limits:
(4) Manner of application. Vertical end
(iii) Handles shall be not more than
handholds shall be securely fastened
with not less than 1⁄2-inch bolts with 12, preferably 9, inches from sides of

Code of Federal Regulations 49 Parts 200-299

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Code of Federal Regulations 49 Parts 200-299

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49

Parts 200 to 299

Containing a codification of documents

A Special Edition of the Federal Register

Legal Status and Use of Seals and Logos

Use of ISBN Prefix

U.S. GOVERNMENT PRINTING OFFICE

U.S. Superintendent of Documents • Washington, DC 20402–0001

Subtitle B—Other Regulations Relating to Transportation (Contin-

Chapter II—Federal Railroad Administration, Department of

Material Approved for Incorporation by Reference ............................ 917

Table of CFR Titles and Chapters ....................................................... 921

Alphabetical List of Agencies Appearing in the CFR ......................... 939

List of CFR Sections Affected ............................................................. 949

To cite the regulations in

Title 49—TRANSPORTATION is composed of nine volumes. The parts in these vol-

Redesignation tables for chapter III—Federal Motor Carrier Safety Administra-

SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION

CHAPTER II—Federal Railroad Administration, Department

EDITORIAL NOTE: Nomenclature changes to chapter II appear at 69 FR 18803, Apr. 9, 2004.

§ 200.9 Hearings. § 200.13 Publication.

§ 201.12 Ex parte communications. final agenda which shall be published

(1) A statement containing a descrip- (3) Rulings on issues of law.

Subpart E—Reporting of Remedial Actions As used in this part—

FR 77294, Dec. 26, 2006]

§ 209.5 Service. (e) Upon motion, the presiding officer

serve a written motion setting forth part shall be submitted in duplicate to

above apply to violations occurring on and including the maximum penalty

amount proposed to be assessed up to

adequate deterrent to future viola- whether it is admitted or denied. Even

(6) A statement of the respondent’s sion thereto provided under paragraph

(7) Convene, recess, reconvene, ad- § 209.323 Initial decision.

FR 53136, Oct. 12, 1995]

§ 209.327 Appeal. 225, 228, and 233) of this title estab-

(9) Mitigating circumstances sur- fully violates § 209.331(c) or § 209.333(a)

Act’’), 45 U.S.C. 421 et seq., and a group of circumstances make relevant.

a waiver is granted or a rule specifically

CIVIL PENALTY ASSESSMENT GUIDELINES—Continued

49 CFR section Description Guideline amount 2

PART 107—HAZARDOUS MATERIALS PROGRAM PROCEDURES

107.608 .............................................. Failure to register or to renew registration. (Note: 1,500.

PART 171—GENERAL REGULATIONS

49 CFR section Description Guideline amount 2

PART 172—SHIPPING PAPERS

—Undeclared shipment: offering a hazardous 15,000.

172.201(d) .......................................... Failure to put emergency response telephone 4,000.

172.301 ................................ Failure to mark a non-bulk package as required 1,000.

49 CFR section Description Guideline amount 2

172.304 ................................ Obscured marking ................................................ 2,000.

172.502 ................................ —Placarded as hazardous material when car 2,000.

does not represent hazard of the contents.

49 CFR section Description Guideline amount 2

—Display of sign or device that could be con- 2,000.

—Complete failure to placard ............................... 7,500.

172.504(b) ............................ Improper use of DANGEROUS placard for mixed 5,000.

172.504(e) ............................ Use of placard other than as specified in the table:

—Improper placard caused or contributed to im- 15,000.

172.505 ................................ Improper application of placards for subsidiary 5,000.

49 CFR section Description Guideline amount 2

172.516 ................................ Placard not readily visible, improperly located or 1,000.

172.519(b)(4) .................... Improper display of hazard class on placard— 2,500.

172.600–.602 ....................... Where improper emergency response informa- 15,000.

172.702(a) ............................ General failure to train hazardous material em- 7,500.