CFR 2011 Title49 Vol4 PDF

Title 49
Transportation
Parts 200 to 299
Revised as of October 1, 2011
Containing a codification of documents

of general applicability and future effect
As of October 1, 2011
Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
VerDate Mar<15>2010 14:14 Nov 15, 2011 Jkt 223217 PO 00000 Frm 00001 Fmt 8091 Sfmt 8091 Q:\49\49V4.TXT ofr150 PsN: PC150
U.S. GOVERNMENT OFFICIAL EDITION NOTICE
Legal Status and Use of Seals and Logos

The seal of the National Archives and Records Administration
(NARA) authenticates the Code of Federal Regulations (CFR) as
the official codification of Federal regulations established under
the Federal Register Act. Under the provisions of 44 U.S.C. 1507, the
contents of the CFR, a special edition of the Federal Register, shall
be judicially noticed. The CFR is prima facie evidence of the origi-
nal documents published in the Federal Register (44 U.S.C. 1510).
It is prohibited to use NARA’s official seal and the stylized Code
of Federal Regulations logo on any republication of this material
without the express, written permission of the Archivist of the
United States or the Archivist’s designee. Any person using
NARA’s official seals and logos in a manner inconsistent with the
provisions of 36 CFR part 1200 is subject to the penalties specified
in 18 U.S.C. 506, 701, and 1017.
Use of ISBN Prefix

This is the Official U.S. Government edition of this publication
and is herein identified to certify its authenticity. Use of the 0–16
ISBN prefix is for U.S. Government Printing Office Official Edi-
tions only. The Superintendent of Documents of the U.S. Govern-
ment Printing Office requests that any reprinted edition clearly be
labeled as a copy of the authentic work with a new ISBN.
U.S. GOVERNMENT PRINTING OFFICE
U.S. Superintendent of Documents • Washington, DC 20402–0001

http://bookstore.gpo.gov
Phone: toll-free (866) 512-1800; DC area (202) 512-1800
gpologo.eps</GPH>
archives.ai</GPH>
Table of Contents
Page
Explanation ................................................................................................ v
Title 49:
SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION

(CONTINUED)
Chapter II—Federal Railroad Administration, Department of

Transportation ............................................................................ 5
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 1019
Alphabetical List of Agencies Appearing in the CFR ......................... 1039
List of CFR Sections Affected ............................................................. 1049
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, 2011), 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-
off date for the Code a note has been inserted to reflect the future effective
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 April 1, 2001, consult either the List of
CFR Sections Affected, 1949–1963, 1964–1972, 1973–1985, or 1986–2000, published in
eleven separate volumes. For the period beginning April 1, 2001, a ‘‘List of CFR
Sections Affected’’ is published at the end of each CFR volume.
‘‘[RESERVED]’’ TERMINOLOGY
The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal
Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ loca-
tion at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that
a portion of the CFR was left vacant and not accidentally dropped due to a print-
ing or computer error.
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.
What if the material incorporated by reference cannot be found? If you have any
problem locating or obtaining a copy of material listed as an approved incorpora-
tion 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, 8601 Adelphi Road, College Park, MD 20740-6001, or
call 202-741-6010.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a separate
volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS.
This volume contains the Parallel Table of Authorities and Rules. A list of CFR
titles, chapters, subchapters, and parts and an alphabetical list of agencies pub-
lishing in the CFR are also included in this volume.
An index to the text of ‘‘Title 3—The President’’ is carried within that volume.
vi
The Federal Register Index is issued monthly in cumulative form. This index
is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg-
ister.
A List of CFR Sections Affected (LSA) is published monthly, keyed to the
revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing in the
Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this volume,
contact the issuing agency. The issuing agency’s name appears at the top of
odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202–741–6000 or write
to the Director, Office of the Federal Register, National Archives and Records
Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail
fedreg.info@nara.gov.
SALES
The Government Printing Office (GPO) processes all sales and distribution of
the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202-
512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2104, 24 hours
a day. For payment by check, write to: US Government Printing Office – New
Orders, P.O. Box 979050, St. Louis, MO 63197-9000.
ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of CFR Sections
Affected), The United States Government Manual, the Federal Register, Public
Laws, Public Papers of the Presidents of the United States, Compilation of Presi-
dential Documents and the Privacy Act Compilation are available in electronic
format via www.ofr.gov. For more information, contact the GPO Customer Con-
tact Center, U.S. Government Printing Office. Phone 202-512-1800, or 866-512-1800
(toll-free). E-mail, gpo@custhelp.com.
The Office of the Federal Register also offers a free service on the National
Archives and Records Administration’s (NARA) World Wide Web site for public
law numbers, Federal Register finding aids, and related information. Connect
to NARA’s web site at www.archives.gov/federal-register.
RAYMOND A. MOSLEY,
Director,
Office of the Federal Register.
October 1, 2011.
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 100–177, parts 178–
199, parts 200–299, parts 300–399, parts 400–571, parts 572–999, parts 1000–1199, and
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 100–177) and the third volume (parts 178–199) 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 400–571) con-
tains the current regulations issued under chapter IV—Coast Guard (DHS), and
some of chapter V—National Highway Traffic Safety Administration (DOT); the
seventh volume (parts 572–999) contains the rest of the regulations issued under
chapter IV, and 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) con-
tains the current regulations issued under chapter X—Surface Transportation
Board, chapter XI—Research and Innovative Technology Administration, and
chapter XII—Transportation Security Administration, Department of Transpor-
tation. The contents of these volumes represent all current regulations codified
under this title of the CFR as of October 1, 2011.
In the volume containing parts 100–177, 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, III was Chief Editor. The Code of Federal
Regulations publication program is under the direction of Michael L. White, as-
sisted by Ann Worley.
ix
Title 49—Transportation
(This book contains parts 200 to 299)
SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION

(CONTINUED)
Part
CHAPTER II—Federal Railroad Administration, Department

of Transportation ............................................................... 200
Subtitle B—Other Regulations
Relating to Transportation
(Continued)
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 [Reserved]
207 Railroad police officers ........................................... 9
209 Railroad safety enforcement procedures ................. 10
210 Railroad noise emission compliance regulations .... 63
211 Rules of practice ..................................................... 69
212 State safety participation regulations .................... 89
213 Track safety standards ........................................... 100
214 Railroad workplace safety ...................................... 154
215 Railroad freight car safety standards ..................... 183
216 Special notice and emergency order procedures:
Railroad track, locomotive and equipment .......... 198
217 Railroad operating rules ......................................... 202
218 Railroad operating practices ................................... 208
219 Control of alcohol and drug use .............................. 234
220 Railroad communications ....................................... 275
221 Rear end marking device—passenger, commuter
and freight trains ................................................. 287
222 Use of locomotive horns at public highway-rail
grade crossings ..................................................... 292
223 Safety glazing standards—locomotives, passenger
cars and cabooses ................................................. 346
224 Reflectorization of rail freight rolling stock .......... 351
225 Railroad accidents/incidents: Reports classifica-
tion, and investigations ....................................... 377
227 Occupational noise exposure ................................... 404
228 Hours of service of railroad employees ................... 423
229 Railroad locomotive safety standards ..................... 455
230 Steam locomotive inspection and maintenance
standards .............................................................. 502
231 Railroad safety appliance standards ....................... 567
5
49 CFR Ch. II (10–1–11 Edition)
Part Page
232 Brake system safety standards for freight and
other non-passenger trains and equipment; end-
of-train devices .................................................... 613
233 Signal systems reporting requirements .................. 664
234 Grade crossing signal system safety and State ac-
tion plans ............................................................. 666
235 Instructions governing applications for approval of
a discontinuance or material modification of a
signal system or relief from the requirements of
part 236 ................................................................. 678
236 Rules, standards, and instructions governing the
installation, inspection, maintenance, and repair
of signal and train control systems, devices, and
appliances ............................................................. 683
237 Bridge safety standards ........................................... 775
238 Passenger equipment safety standards ................... 787
239 Passenger train emergency preparedness ................ 892
240 Qualification and certification of locomotive engi-
neers ..................................................................... 903
241 United States locational requirement for dis-
patching of United States rail operations ............ 950
244 Regulations on safety integration plans governing
railroad consolidations, mergers, and acquisi-
tions of control ..................................................... 957
245 [Reserved]
250 Guarantee of certificates of trustees of railroads in
reorganization ...................................................... 963
256 Financial assistance for railroad passenger termi-
nals ....................................................................... 968
260 Regulations governing loans and loan guarantees
under the Railroad Rehabilitation and Improve-
ment Financing program ..................................... 978
261 Credit assistance for surface transportation
projects ................................................................ 990
262 Implementation of program for capital grants for
rail line relocation and improvement projects .... 991
266 Assistance to States for local rail service under
section 5 of the Department of Transportation
Act ....................................................................... 994
268 Magnetic levitation transportation technology de-
ployment program ................................................ 1009
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- (a) Each application and objection
tions. under this part shall be submitted in
200.13 Publication.
writing to: Docket Clerk, Office of the
AUTHORITY: Sec. 406 of Pub. L. 91–518, 84 Chief Counsel, Federal Railroad Ad-
Stat. 1327, as amended by sec. 10(2) of Pub. L. ministration, 1200 New Jersey Avenue,
93–146, 87 Stat. 548 and sec. 121 of Pub. L. 96– SE., Washington, DC 20590.
73, 93 Stat. 537 (49 U.S.C. 24309); 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 (10–1–11 Edition)
information, data and documents suffi- (c) Hearings shall be conducted by a

cient to support the analysis. panel designated by the Administrator,
(e) In addition to the data provided consisting of three FRA employees, in-
with their applications, applicants cluding the Chief Counsel or a member
shall furnish the Administrator with of his or her staff who shall serve as
any other information that the Admin- chairman of the panel and the Asso-
istrator finds necessary in order to ciate Administrator for Intercity Pro-
make the determinations required by grams or his or her delegate.
the Act. (d) Hearings shall be informal fact-
(f) Each applicant shall promptly no- finding proceedings, limited to the
tify, by registered or certified mail, issues identified by the panel. Sections
any party affected by any application, 556 and 557 of title 5, U.S.C., shall not
whether Amtrak or a railroad, of the apply.
submission of such application under (e) All direct evidence shall be re-
this part, and shall provide a copy of duced to writing and submitted to the
the application with such notice. An Docket Clerk thirty days in advance of
official United States Postal Service the hearing unless this requirement is
receipt from the registered or certified expressly waived by the panel. Copies
mailing constitutes prima facie evi- shall be furnished to all parties concur-
dence of notice. rently with the submission to the
Docket Clerk.
[45 FR 64192, Sept. 29, 1980, as amended at 74 (f) The panel may provide for oral
FR 25171, May 27, 2009]
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
FRApursuant 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 (b) Orders, approvals, and determina-
such application. Such objections shall tions issued by the Administrator’s
be in writing and shall reference, by panel under this part constitute the
date, railroad, and former passenger Administrator’s action and shall be
routes, the application to which it per- final.
tains and shall list, by facility descrip- (c) Determinations under this part
tion and location, the specific are not required to be based exclusively
downgradings or disposals to which on the record of a hearing.
Amtrak objects.
§ 200.13 Publication.
§ 200.9 Hearings. (a) General notice of any hearing
(a) Pursuant to any application under this subpart shall be published in
under this part, a prehearing con- the FEDERAL REGISTER not less than 10
ference will be held if found necessary days before the hearing, and shall in-
or desirable by the Administrator. clude (1) a statement of the time,
(b) Pursuant to any application place, and nature of the hearing, (2) a
under this part, an oral hearing will be reference to the legal authority under
held if required by statute or if found which the hearing is being held and (3)
necessary or desirable by the Adminis- a description of the subject and issues
trator. involved.
Federal Railroad Administration, DOT § 207.5
(b) Any order, approval, or deter- (b) The designated railroad police of-
mination resulting from any hearing ficer shall be commissioned by the rail-
held under this part shall be published road police officer’s state of legal resi-
in the FEDERAL REGISTER. dence or the railroad police officer’s
state of primary employment.
PART 201 [RESERVED] § 207.4 Notice to State officials.
PART 207—RAILROAD POLICE (a) After the designated railroad po-
lice officer is commissioned by a state
OFFICERS or states, the railroad shall send, by
certified mail, written notice to appro-
Sec.
207.1 Application.
priate officials of every other state in
207.2 Definitions. which the railroad police officer shall
207.3 Designation and commissioning. protect the railroad’s property, per-
207.4 Notice to State officials. sonnel, passengers, and cargo. The no-
207.5 Authority in States where officer not tice of commission shall contain the
commissioned. following information:
AUTHORITY: 45 U.S.C. 446; 49 CFR 1.49(ff). (1) The name of the railroad police
officer;
SOURCE: 59 FR 6587, Feb. 11, 1994, unless (2) The badge number, identification
otherwise noted.
number, rank, code, or other identi-
§ 207.1 Application. fying information assigned to the rail-
road police officer;
This part applies to all railroads, as (3) The date of commission;
such term is defined in section 202(e) of (4) The state or states where the rail-
the Federal Railroad Safety Act of road police officer is commissioned;
1970, as amended, Public Law 91–458 (45 (5) The date the railroad police offi-
U.S.C. 431(e)). cer received training or retraining re-
garding the laws of such state or
§ 207.2 Definitions. states;
As used in this part: (6) The name of the railroad official
(a) Railroad police officer means a who designated the employee as a rail-
peace officer who is commissioned in road police officer; and
his or her state of legal residence or (7) Color photographs of the types of
state of primary employment and em- badges, identification cards, and other
ployed by a railroad to enforce state identifying materials the railroad uses
laws for the protection of railroad to identify its railroad police officers.
property, personnel, passengers, and/or (b) The railroad shall keep copies of
cargo. all such notices at a central location.
(b) Commissioned means that a state (c) The authority set forth in § 207.5
official has certified or otherwise des- shall be effective upon receipt by such
ignated a railroad employee as quali- state(s) of written notice conforming
fied under the licensing requirements to the requirements of this section.
of that state to act as a railroad police
officer in that state. § 207.5 Authority in States where offi-
(c) Property means rights-of-way, cer not commissioned.
easements, appurtenant property, (a) A railroad police officer who is
equipment, cargo, facilities, and build- designated by a railroad and commis-
ings and other structures owned, sioned under the laws of any state is
leased, operated, maintained, or trans- authorized to enforce the laws (as spec-
ported by a railroad. ified in paragraph (b) of this section) of
any state in which the railroad owns
§ 207.3 Designation and commis- property and to which the railroad has
sioning. provided notice in accordance with
(a) A railroad may designate employ- § 207.4.
ees to be commissioned by a state au- (b) Under the authority of paragraph
thority as railroad police officers to (a) of this section, a railroad police of-
serve in the states in which the rail- ficer may enforce only relevant laws
road owns property. for the protection of—
Pt. 209 49 CFR Ch. II (10–1–11 Edition)
(1) The railroad’s employees, pas- CRIMINAL PENALTIES

sengers, or patrons; 209.131 Criminal penalties generally.
(2) The railroad’s property or prop- 209.133 Referral for prosecution.
erty entrusted to the railroad for
transportation purposes; Subpart C—Compliance Orders
(3) The intrastate, interstate, or for- 209.201 Compliance orders generally.
eign movement of cargo in the rail- 209.203 Notice of investigation.
road’s possession or in possession of an- 209.205 Reply.
other railroad or non-rail carrier while 209.207 Consent order.
on the railroad property; and 209.209 Hearing.
(4) The railroad movement of per- 209.211 Presiding officer’s decision.
sonnel, equipment, and materials vital 209.213 Appeal.
209.215 Time limitation.
to the national defense.
(c) The authority exercised under Subpart D—Disqualification Procedures
this part by an officer for whom the
railroad has provided notice in accord- 209.301 Purpose and scope.
ance with § 207.4 shall be the same as 209.303 Coverage.
209.305 Notice of proposed disqualification.
that of a railroad police officer com-
209.307 Reply.
missioned under the laws of that state. 209.309 Informal response.
(d) The railroad police officer’s law 209.311 Request for hearing.
enforcement powers shall apply only on 209.313 Discovery.
railroad property, except that an offi- 209.315 Subpoenas.
cer may pursue off railroad property a 209.317 Official record.
person suspected of violating the law 209.319 Prehearing conference.
on railroad property, and an officer 209.321 Hearing.
209.323 Initial decision.
may engage off railroad property in 209.325 Finality of decision.
law enforcement activities, including, 209.327 Appeal.
without limitation, investigation and 209.329 Assessment considerations.
arrest, if permissible under state law. 209.331 Enforcement of disqualification
order.
209.333 Prohibitions.
PART 209—RAILROAD SAFETY 209.335 Penalties.
ENFORCEMENT PROCEDURES 209.337 Information collection.
Subpart A—General Subpart E—Reporting of Remedial Actions

Sec. 209.401 Purpose and scope.
209.1 Purpose. 209.403 Applicability.
209.3 Definitions. 209.405 Reporting of remedial actions.
209.5 Service. 209.407 Delayed reports.
209.6 Requests for admission. 209.409 Penalties.
209.7 Subpoenas; witness fees.
209.8 Depositions in formal proceedings. Subpart F—Enforcement, Appeal and
209.9 Filing. Hearing Procedures for Rail Routing
209.11 Request for confidential treatment. Decisions Pursuant to 49 CFR § 172.820
209.13 Consolidation.
209.15 Rules of evidence. 209.501 Review of rail transportation safety
209.17 Motions. and security route analysis.
APPENDIX A TO PART 209—STATEMENT OF
Subpart B—Hazardous Materials Penalties AGENCY POLICY CONCERNING ENFORCE-
MENT OF THE FEDERAL RAILROAD SAFETY
CIVIL PENALTIES
LAWS
209.101 Civil penalties generally. APPENDIX B TO PART 209—FEDERAL RAILROAD
209.103 Minimum and maximum penalties. ADMINISTRATION GUIDELINES FOR INITIAL
209.105 Notice of probable violation. HAZARDOUS MATERIALS ASSESSMENTS
209.107 Reply. APPENDIX C TO PART 209—FRA’S POLICY
209.109 Payment of penalty; compromise. STATEMENT CONCERNING SMALL ENTITIES
209.111 Informal response and assessment.
AUTHORITY: 49 U.S.C. 5123, 5124, 20103, 20107,
209.113 Request for hearing.
20111, 20112, 20114; 28 U.S.C. 2461, note; and 49
209.115 Hearing.
CFR 1.49.
209.117 Presiding officer’s decision.
209.119 Assessment considerations. SOURCE: 42 FR 56742, Oct. 28, 1977, unless
209.121 Appeal. otherwise noted.
10
Subpart A—General utory provisions were contained in the

following statutes: (i) the Federal Rail-
§ 209.1 Purpose. road Safety Act of 1970 (Safety Act) (49
Appendix A to this part contains a U.S.C. 20101–20117, 20131, 20133–20141,
statement of agency policy concerning 20143, 21301, 21302, 21304, 21311, 24902, and
enforcement of those laws. This part 24905, and sections 4(b)(1), (i), and (t) of
describes certain procedures employed Pub. L. 103–272, formerly codified at 45
by the Federal Railroad Administra- U.S.C. 421, 431 et seq.); (ii) the Haz-
tion in its enforcement of statutes and ardous Materials Transportation Act
regulations related to railroad safety. (Hazmat Act) (49 U.S.C. 5101 et seq.,
By delegation from the Secretary of formerly codified at 49 App. U.S.C. 1801
Transportation, the Administrator has et seq.); (iii) the Sanitary Food Trans-
responsibility for: portation Act of 1990 (SFTA) (49 U.S.C.
(a) Enforcement of subchapters B and 5713, formerly codified at 49 App. U.S.C.
C of chapter I, subtitle B, title 49, CFR, 2801 (note)); and those laws transferred
with respect to the transportation or to the jurisdiction of the Secretary of
shipment of hazardous materials by Transportation by subsection (e)(1), (2),
railroad (49 CFR 1.49(s)); and (6)(A) of section 6 of the Depart-
(b) Exercise of the authority vested ment of Transportation Act (DOT Act),
in the Secretary by the Federal Rail- as in effect on June 1, 1994 (49 U.S.C.
road Safety Act of 1970, 45 U.S.C. 421, 20302, 21302, 20701–20703, 20305, 20502–
431–441, as amended by the Rail Safety 20505, 20901, 20902, and 80504, formerly
Improvement Act of 1988, Public Law codified at 49 App. U.S.C. 1655(e)(1), (2),
100–342 (June 22, 1988) (49 CFR 1.49(m)); and (6)(A)). 49 U.S.C. 20111 and 20109,
and formerly codified at 45 U.S.C. 437 (note)
(c) Exercise of the authority vested and 441(e). Those laws transferred by
in the Secretary pertaining to railroad the DOT Act include, but are not lim-
safety as set forth in the statutes ited to, the following statutes: (i) the
transferred to the Secretary by section Safety Appliance Acts (49 U.S.C. 20102,
6(e) of the Department of Transpor- 20301, 20302, 20304, 21302, and 21304, for-
tation Act, 49 App. U.S.C. 1655(e) (49 merly codified at 45 U.S.C. 1–14, 16); (ii)
CFR 1.49 (c), (d), (f), and (g)). the Locomotive Inspection Act (49
[42 FR 56742, Oct. 28, 1977, as amended at 53 U.S.C. 20102, 20701–20703, 21302, and
FR 52920, Dec. 29, 1988; 54 FR 42905, Oct. 18, 21304, formerly codified at 45 U.S.C. 22–
1989] 34); (iii) the Accident Reports Act (49
U.S.C. 20102, 20701, 20702, 20901–20903,
§ 209.3 Definitions. 21302, 21304, and 21311, formerly codified
As used in this part— at 45 U.S.C. 38–43); (iv) the Hours of
Administrator means the Adminis- Service Act (49 U.S.C. 20102, 21101–21107,
trator of FRA, the Deputy Adminis- 21303, and 21304, formerly codified at 45
trator of FRA, or the delegate of ei- U.S.C. 61–64b); and (v) the Signal In-
ther. spection Act (49 U.S.C. 20102, 20502–
Associate Administrator means the As- 20505, 20902, 21302, and 21304, formerly
sociate Administrator for Safety, Fed- codified at 49 App. U.S.C. 26).
eral Railroad Administration, or that FRA means the Federal Railroad Ad-
person’s delegate as designated in writ- ministration, U.S. Department of
ing. Transportation.
Chief Counsel means the Chief Coun- FRA Safety Inspector means an FRA
sel of FRA or his or her delegate. safety inspector, a state inspector par-
Day means calendar day. ticipating in railroad safety investiga-
Federal hazardous material transpor- tive and surveillance activities under
tation law means 49 U.S.C. 5101 et seq. part 212 of this chapter, or any other
Federal railroad safety laws means the official duly authorized by FRA.
provisions of law generally at 49 U.S.C. Motion means a request to a presiding
subtitle V, part A or 49 U.S.C. chap. 51 officer to take a particular action.
or 57 and the rules, regulations, orders, Person generally includes all cat-
and standards issued under any of egories of entities covered under 1
those provisions. See Pub. L. 103–272 U.S.C. 1, including but not limited to
(1994). Before recodification, these stat- the following: a railroad; any manager,
11
§ 209.5 49 CFR Ch. II (10–1–11 Edition)
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 Railroad carrier means a person pro-
equipment, track, or facilities; any viding railroad transportation.
independent contractor providing Respondent means a person upon
goods or services to a railroad; and any whom FRA has served a notice of prob-
employee of such owner, manufacturer, able violation, notice of investigation,
lessor, lessee, or independent con- or notice of proposed disqualification.
tractor; however, person, when used to [59 FR 43676, Aug. 24, 1994, as amended at 71
describe an entity that FRA alleges to FR 77294, Dec. 26, 2006; 73 FR 72199, Nov. 26,
have committed a violation of the pro- 2008]
visions of law formerly contained in
the Hazardous Materials Transpor- § 209.5 Service.
tation Act or contained in the Haz- (a) Each order, notice, or other docu-
ardous Materials Regulations, has the ment required to be served under this
same meaning as in 49 U.S.C. 5102(9) part shall be served personally or by
(formerly codified at 49 App. U.S.C. registered or certified mail, except as
1802(11)), i.e., an individual, firm, co- otherwise provided herein.
partnership, corporation, company, as- (b) Service upon a person’s duly au-
sociation, joint-stock association, in- thorized representative constitutes
cluding any trustee, receiver, assignee, service upon that person.
or similar representative thereof, or (c) Service by registered or certified
government, Indian tribe, or authority mail is complete upon mailing. An offi-
of a government or tribe when offering cial United States Postal Service re-
hazardous material for transportation ceipt from the registered or certified
in commerce or transporting hazardous mailing constitutes prima facie evi-
material to further a commercial en- dence of service.
terprise, but such term does not in- (d) Service of requests for admission
clude the United States Postal Service and motions may be made by first-class
or, for the purposes of 49 U.S.C. 5123– mail, postage prepaid.
5124 (formerly contained in sections 110 (e) Each pleading must be accom-
and 111 of the Hazardous Materials panied by a certificate of service speci-
Transportation Act and formerly codi- fying how and when service was made.
fied at 49 App. U.S.C. 1809–1810), a de- [42 FR 56742, Oct. 28, 1977, as amended at 54
partment, agency, or instrumentality FR 42906, Oct. 18, 1989]
of the Federal Government.
Pleading means any written submis- § 209.6 Requests for admission.
sion setting forth claims, allegations, (a) A party to any proceeding under
arguments, or evidence. subpart B, C, or D of this part may
Presiding Officer means any person serve upon any other party written re-
authorized to preside over any hearing quests for the admission of the genu-
or to make a decision on the record, in- ineness of any relevant documents
cluding an administrative law judge. identified within the request, the truth
Railroad means any form of non- of any relevant matters of fact, and the
highway ground transportation that application of law to the facts as set
runs on rails or electro-magnetic forth in the request.
guideways, including (i) commuter or (b) Each matter of which an admis-
other short-haul railroad passenger sion is requested shall be deemed to be
service in a metropolitan or suburban admitted unless, within 30 days after
area and commuter railroad service receipt of the request, the party to
that was operated by the Consolidated whom the request is directed serves
Rail Corporation on January 1, 1979; upon the party requesting the admis-
and (ii) high speed ground transpor- sion a written answer under oath or ob-
tation systems that connect metropoli- jection addressed to the matter, signed
tan areas, without regard to whether by the party.
those systems use new technologies not (c) The sworn answer shall specifi-
associated with traditional railroads; cally admit or deny the matter or set
but does not include rapid transit oper- forth in detail the reasons why the an-
ations in an urban area that are not swering party cannot truthfully admit
12
or deny the matter. If an objection is (ii) Leaving it at his or her office

made, the reasons therefor shall be with the person in charge thereof;
stated. (iii) Leaving it at his or her dwelling
(d) Any matter admitted under this place or usual place of abode with some
section is conclusively established un- person of suitable age and discretion
less the presiding official permits with- then residing therein;
drawal or amendment of the admission (iv) Mailing it by registered or cer-
for good cause shown. tified mail to him or her at his or her
(e) Upon motion, the presiding officer last known address; or
may order any party to respond to a re- (v) Any method whereby actual no-
quest for admission. tice of the issuance and content is
[54 FR 42906, Oct. 18, 1989] given (and the fees are made available)
prior to the return date.
§ 209.7 Subpoenas; witness fees. (2) To an entity other than a natural
(a) The Chief Counsel may issue a person by:
subpoena on his or her own initiative (i) Handing a copy of the subpoena to
in any matter related to enforcement a registered agent for service or to any
of the railroad safety laws. However, officer, director, or agent in charge of
where a proceeding under subpart B, C, any office of the person;
or D of this part has been initiated, (ii) Mailing it by registered or cer-
only the presiding officer may issue tified mail to any representative listed
subpoenas, and only upon the written in paragraph (d)(2)(i) of this section at
request of any party to the proceeding his or her last known address; or
who makes an adequate showing that (iii) Any method whereby actual no-
the information sought will materially tice is given to such representative
advance the proceeding. (and the fees are made available) prior
(b) A subpoena may require attend- to the return date.
ance of a witness at a deposition or (e) The original subpoena bearing a
hearing or the production of documen- certificate of service shall be filed in
tary or other tangible evidence in the accordance with § 209.9.
possession or control of the person (f) A witness subpoenaed by the FRA
served, or both.
shall be entitled to the same fees and
(c) A subpoena may be served person- mileage as would be paid to a witness
ally by any person who is not an inter-
in a proceeding in the district courts of
ested person and is not less than eight-
the United States. See 28 U.S.C. 1821.
een (18) years of age, or by certified or
The witness fees and mileage shall be
registered mail.
paid by the person requesting that the
(d) Service of a subpoena shall be
subpoena be issued. In an appropriate
made by delivering a copy of the sub-
poena in the appropriate manner, as case, the Chief Counsel or the hearing
set forth below. Service of a subpoena officer may direct the person request-
requiring attendance of a person is not ing issuance of a subpoena for the pro-
complete unless delivery is accom- duction of documentary or other tan-
panied by tender of fees for one day’s gible evidence to reimburse the re-
attendance and mileage as specified by sponding person for actual costs of pro-
paragraph (f) of this section. However, ducing and/or transporting such evi-
when a subpoena is issued upon the re- dence.
quest of any officer or agency of the (g) Notwithstanding the provisions of
United States, fees and mileage need paragraph (f) of this section, and upon
not be tendered at the time of service request, witness fees and mileage or
but will be paid by FRA at the place the costs of producing other evidence
and time specified in the subpoena for may be paid by the FRA if the official
attendance. who issued the subpoena determines on
Delivery of a copy of the subpoena may the basis of good cause shown that:
be made: (1) The presence of the subpoenaed
(1) To a natural person by: witness or evidence will materially ad-
(i) Handing it to the person; vance the proceedings; and
13
§ 209.8 49 CFR Ch. II (10–1–11 Edition)
(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
modify the subpoena. The application serve a written motion setting forth
shall contain a brief statement of the the name of the witness; the date,
reasons relied upon in support of the time, and place of the deposition; the
action sought therein. The issuing offi- subject matter of the witness’ expected
cial or the Chief Counsel, as the case testimony; whether any party objects
may be, may: to the taking of the deposition; and the
(1) Deny the application;
reasons for taking such deposition.
(2) Quash or modify the subpoena; or
Such motion shall be granted only
(3) In the case of subpoena to produce
upon a showing of good cause. Good
documentary or other tangible evi-
cause exists to take a person’s deposi-
dence, condition denial of the applica-
tion when the information sought is
tion upon the advancement by the
party in whose behalf the subpoena is relevant to the subject matter involved
issued of the reasonable cost of pro- in the proceeding and:
ducing the evidence. (1) The information is not obtainable
(i) If there is a refusal to obey a sub- from some other source that is more
poena served upon any person under convenient, less burdensome, and less
the provisions of this section, the FRA expensive; or
may request the Attorney General to (2) The request is not unreasonably
seek the aid of the United States Dis- cumulative, unduly burdensome, or un-
trict Court for any district in which duly expensive, taking into account
the person is found to compel that per- the needs of the case, limitations on
son, after notice, to appear and give the parties’ resources, and the impor-
testimony, or to appear and produce tance of the issues in the case.
the subpoenaed documents before the (c) Such notice as the presiding offi-
FRA, or both. cer shall order will be given for the
(j) Attendance of any FRA employee taking of a deposition, but this shall
engaged in an investigation which gave not be less than 10 days’ written notice
rise to a proceeding under subpart B or unless the parties agree to a shorter
C of this part for the purpose of elic- period.
iting factual testimony may be assured (d) Each witness testifying upon dep-
by filing a request with the Chief Coun- osition shall be sworn and the adverse
sel at least fifteen (15) days before the party shall have the right to cross-ex-
date of the hearing. The request must amine. The questions propounded and
indicate the present intent of the re- the answers thereto, together with all
questing person to call the employee as objections made, shall be reduced to
a witness and state generally why the writing, subscribed by the witness, and
witness will be required. certified by the reporter.
[42 FR 56742, Oct. 28, 1977, as amended at 54 (e) Depositions taken under this sec-
FR 42906, Oct. 18, 1989] tion may be used for discovery, to con-
tradict or impeach the testimony of
§ 209.8 Depositions in formal pro- the deponent as a witness, or as evi-
ceedings. dence in the proceeding as permitted
(a) Any party to a proceeding under by paragraph (f) of this section and in
subpart B, C, or D of this part may accordance with the limitations of Fed.
take the testimony of any person, in- R. Civ. Pro. 32 as though it were appli-
cluding a party, by deposition upon cable to these proceedings.
14
(f) Subject to such objections to the (d) Any document containing any in-
questions and answers as were noted at formation for which confidential treat-
the time of taking the deposition and ment is requested shall be marked
as would be valid were the witness per- ‘‘CONFIDENTIAL’’ or ‘‘CONTAINS
sonally present and testifying, such CONFIDENTIAL INFORMATION’’ in
deposition may be offered in evidence bold letters. If confidentiality is re-
by any party to the proceeding. quested as to the entire document, or if
it is claimed that nonconfidential in-
[54 FR 42906, Oct. 18, 1989]
formation in the document is not rea-
sonably segregable from confidential
§ 209.9 Filing.
information, the accompanying state-
All materials filed with FRA or any ment of justification shall so indicate.
FRA officer in connection with a pro- If confidentiality is requested as to a
ceeding under subpart B, C, or D of this portion of the document, then the per-
part shall be submitted in duplicate to son filing the document shall file to-
the Assistant Chief Counsel for Safety, gether with the document a second
(RCC–30), Office of Chief Counsel, Fed- copy of the document from which the
eral Railroad Administration, 1200 New information for which confidential
Jersey Avenue, SE., Washington, DC treatment is requested has been de-
20590, except that documents produced leted. If the person filing a document
in accordance with a subpoena shall be of which only a portion is requested to
presented at the place and time speci- be held in confidence does not submit a
fied by the subpoena. second copy of the document with the
confidential information deleted. FRA
[54 FR 42906, Oct. 18, 1989, as amended at 74
FR 25171, May 27, 2009] may assume that there is no objection
to public disclosure of the document in
§ 209.11 Request for confidential treat- its entirety.
ment. (e) FRA retains the right to make its
own determination with regard to any
(a) This section governs the proce-
claim of confidentiality. Notice of a de-
dures for requesting confidential treat-
cision by the FRA to deny a claim, in
ment of any document filed with or
whole or in part, and an opportunity to
otherwise provided to FRA in connec-
respond shall be given to a person
tion with its enforcement of statutes
claiming confidentiality of information
or FRA regulations related to railroad
no less than five days prior to its pub-
safety. For purposes of this section,
lic disclosure.
‘‘enforcement’’ shall include receipt of
documents required to be submitted by [42 FR 56742, Oct. 28, 1977, as amended at 70
FRA regulations, and all investigative FR 11094, Mar. 7, 2005]
and compliance activities, in addition
§ 209.13 Consolidation.
to the development of violation reports
and recommendations for prosecution. At the time a matter is set for hear-
(b) A request for confidential treating under subpart B, C, or D of this
ment with respect to a document or part, the Chief Counsel may consoli-
portion thereof may be made on the date the matter with any similar mat-
basis that the information is— ter(s) pending against the same re-
(1) Exempt from the mandatory dis- spondent or with any related matter(s)
closure requirements of the Freedom of pending against other respondent(s)
Information Act (5 U.S.C. 552); under the same subpart. However, on
(2) Required to be held in confidence certification by the presiding officer
by 18 U.S.C. 1905; or that a consolidated proceeding is un-
manageable or otherwise undesirable,
(3) Otherwise exempt by law from
the Chief Counsel will rescind or mod-
public disclosure.
ify the consolidation.
(c) Any document containing infor-
mation for which confidential treat- [54 FR 42906, Oct. 18, 1989]
ment is requested shall be accompanied
at the time of filing by a statement § 209.15 Rules of evidence.
justifying nondisclosure and referring The Federal Rules of Evidence for
to the specific legal authority claimed. United States Courts and Magistrates
15
§ 209.17 49 CFR Ch. II (10–1–11 Edition)
shall be employed as general guidelines alty of at least $250 but not more than
for proceedings under subparts B, C, $55,000 for each violation, except that—
and D of this part. However, all rel- (1) The maximum civil penalty for a
evant and material evidence shall be violation is $110,000 if the violation re-
received into the record. sults in death, serious illness or severe
injury to any person, or substantial de-
[54 FR 42907, Oct. 18, 1989]
struction of property and
§ 209.17 Motions. (2) A minimum $450 civil penalty ap-
plies to a violation related to training.
Motions shall be in writing, filed (b) When the violation is a con-
with the presiding officer, and copies tinuing one, each day of the violation
served upon the parties in accordance constitutes a separate offense. 49
with § 209.5, except that oral motions U.S.C. 5123.
may be made during the course of any (c) The maximum and minimum civil
hearing or appearance before the pre- penalties described in paragraph (a)
siding officer. Each motion shall state above apply to violations occurring on
the particular order, ruling, or action or after September 27, 2010.
desired and the grounds therefor. Un-
[71 FR 77294, Dec. 26, 2006, as amended at 75
less otherwise specified by the pre-
FR 43842, July 27, 2010]
siding officer, any objection to a writ-
ten motion must be filed within 10 days § 209.105 Notice of probable violation.
after receipt of the motion.
(a) FRA, through the Chief Counsel,
[54 FR 42907, Oct. 18, 1989] begins a civil penalty proceeding by
serving a notice of probable violation
Subpart B—Hazardous Materials on a person charging him or her with
Penalties having violated one or more provisions
of subchapter A or C of chapter I, sub-
CIVIL PENALTIES title B of this title. Appendix B to this
part contains guidelines used by the
§ 209.101 Civil penalties generally. chief counsel in making initial penalty
(a) Sections 209.101 through 209.121 assessments.
prescribe rules of procedure for the as- (b) A notice of probable violation
sessment of civil penalties pursuant to issued under this section includes:
the Federal hazardous materials trans- (1) A statement of the provision(s)
portation safety law, 49 U.S.C. Chapter which the respondent is believed to
51. have violated;
(b) When the FRA has reason to be- (2) A statement of the factual allega-
lieve that a person has knowingly com- tions upon which the proposed civil
mitted an act which is a violation of penalty is being sought;
(3) Notice of the maximum amount of
any provision of subchapter B or C of
civil penalty for which the respondent
chapter I, subtitle B of this title for
may be liable;
which the FRA exercises enforcement
(4) Notice of the amount of the civil
responsibility or any waiver or order
penalty proposed to be assessed;
issued thereunder, it may conduct a
(5) A description of the manner in
proceeding to assess a civil penalty.
which the respondent should make pay-
[42 FR 56742, Oct. 28, 1977, as amended at 61 ment of any money to the United
FR 38646, July 25, 1996] States;
(6) A statement of the respondent’s
§ 209.103 Minimum and maximum pen- right to present written explanations,
alties. information or any materials in answer
(a) A person who knowingly violates to the charges or in mitigation of the
a requirement of the Federal hazardous penalty; and
material transportation law, an order (7) A statement of the respondent’s
issued thereunder, subchapter A or C of right to request a hearing and the pro-
chapter I, subtitle B, of this title, or a cedures for requesting a hearing.
special permit or approval issued under (c) The FRA may amend the notice of
subchapter A or C of chapter I, subtitle probable violation at any time prior to
B, of this title is liable for a civil pen- the entry of an order assessing a civil
16
penalty. If the amendment contains Center, General Accounting Division,

any new material allegation of fact, AMZ–300, 6500 South MacArthur Blvd.
the respondant is given an opportunity Headquarters Building, Room 176,
to respond. In an amended notice, FRA Oklahoma City, OK 73169. Payment by
may change the civil penalty amount credit card must be made via the Inter-
proposed to be assessed up to and in- net at https://www.pay.gov/paygov/. In-
cluding the maximum penalty amount structions for online payment are
of $55,000 for each violation, except found on the Web site.
that if the violation results in death, (b) At any time before an order as-
serious illness or severe injury to any sessing a penalty is referred to the At-
person, or substantial destruction of torney General for collection, the re-
property, FRA may change the penalty spondent may offer to compromise for
amount proposed to be assessed up to a specific amount by contracting the
and including the maximum penalty Chief Counsel.
amount of $110,000. [42 FR 56742, Oct. 28, 1977, as amended at 71
[42 FR 56742, Oct. 28, 1977, as amended at 61 FR 77295, Dec. 26, 2006]
FR 38646, July 25, 1996; 69 FR 30591, May 28,
2004; 71 FR 77295, Dec. 26, 2006; 75 FR 43842, § 209.111 Informal response and as-
July 27, 2010] sessment.
(a) If a respondent elects to make an
§ 209.107 Reply. informal response to a notice of prob-
(a) Within thirty (30) days of the able violation, respondent shall submit
service of a notice of probable violation to the Chief Counsel such written ex-
issued under § 209.105, the respondent planations, information or other mate-
may— rials as respondent may desire in an-
(1) Pay as provided in § 209.109(a) and swer to the charges or in mitigation of
thereby close the case; the proposed penalty.
(2) Make an informal response as pro- (b) The respondent may include in his
vided in § 209.111; or or her informal written response a re-
(3) Request a hearing as provided in quest for a conference. Upon receipt of
§ 209.113. such a request, the Chief Counsel ar-
(b) The Chief Counsel may extend the ranges for a conference as soon as prac-
thirty (30) days period for good cause ticable at a time and place of mutual
shown. convenience.
(c) Failure of the respondent to reply (c) Written explanations, information
by taking one of the three actions de- or materials, submitted by the re-
scribed in paragraph (a) of this section spondent and relevant information pre-
within the period provided constitutes sented during any conference held
a waiver of his or her right to appear under this section are considered by
and contest the allegations and author- the Chief Counsel in reviewing the no-
izes the Chief Counsel, without further tice of proposed violation and deter-
notice to the respondent, to find the mining the fact of violation and the
facts to be as alleged in the notice of amount of any penalty to be assessed.
probable violation and to assess an ap- (d) After consideration of an informal
propriate civil penalty. response, including any relevant infor-
mation presented at a conference, the
§ 209.109 Payment of penalty; com- Chief Counsel may dismiss the notice
promise. of probable violation in whole or in
(a) Payment of a civil penalty may be part. If he or she does not dismiss it in
made by certified check, money order, whole, he or she may issue an order as-
or credit card. Payments made by cer- sessing a civil penalty.
tified check or money order should be
made payable to the Federal Railroad § 209.113 Request for hearing.
Administration and sent to DOT/FRA, (a) If a respondent elects to request a
Mike Monroney Aero Center, General hearing, he or she must submit a writ-
Accounting Division, AMZ–300, P.O. ten request to the Chief Counsel refer-
Box 25082, Oklahoma City, OK 73125. ring to the case number which ap-
Overnight express payments may be peared on the notice of the probable
sent to DOT/FRA, Mike Monroney Aero violation. The request must—
17
§ 209.115 49 CFR Ch. II (10–1–11 Edition)
(1) State the name and address of the (c) The Chief Counsel has the burden
respondent and of the person signing of providing the facts alleged in the no-
the request if different from the re- tice of proposed violation and may
spondent; offer such relevant information as may
(2) State with respect to each allega- be necessary fully to inform the pre-
tion whether it is admitted or denied; siding officer as to the matter con-
and cerned.
(3) State with particularity the (d) The respondent may appear and
issues to be raised by the respondent at be heard on his or her own behalf or
the hearing. through counsel of his or her choice.
(b) After a request for hearing which The respondent or his or her counsel
complies with the requirements of may offer relevant information includ-
paragraph (a) of this section, the Chief ing testimony which he or she believes
Counsel schedules a hearing for the should be considered in defense of the
earliest practicable date. allegations or which may bear on the
(c) The Chief Counsel or the hearing penalty proposed to be assessed and
officer appointed under § 209.115 may conduct such cross-examination as
grant extensions of the time of the may be required for a full disclosure of
commencement of the hearing for good the material facts.
cause shown. (e) At the conclusion of the hearing
or as soon thereafter as the hearing of-
§ 209.115 Hearing. ficer shall provide, the parties may file
(a) When a hearing is requested and proposed findings and conclusions, to-
scheduled under § 209.113, a hearing offi- gether with supporting reasons.
cer designated by the Chief Counsel [42 FR 56742, Oct. 28, 1977; 42 FR 59755, Nov.
convenes and presides over the hearing. 21, 1977]
If requested by respondent and if prac-
ticable, the hearing is held in the gen- § 209.117 Presiding officer’s decision.
eral vicinity of the place where the al- (a) After consideration of the evi-
leged violation occurred, or at a place dence of record, the presiding officer
convenient to the respondent. Testi- may dismiss the notice of probable vio-
mony by witnesses shall be given under lation in whole or in part. If the pre-
oath and the hearing shall be recorded siding officer does not dismiss it in
verbatim. whole, he or she will issue and serve on
(b) The presiding official may: the respondent an order assessing a
(1) Administer oaths and affirma- civil penalty. The decision of the pre-
tions; siding officer will include a statement
(2) Issue subpoenas as provided by of findings and conclusions as well as
§ 209.7; the reasons therefor on all material
(3) Adopt procedures for the submis- issues of fact, law, and discretion.
sion of evidence in written form; (b) If, within twenty (20) days after
(4) Take or cause depositions to be service of an order assessing a civil
taken; penalty, the respondent does not pay
(5) Rule on offers of proof and receive the civil penalty or file an appeal as
relevant evidence; provided in § 209.121, the case may be
(6) Examine witnesses at the hearing; referred to the Attorney General with
(7) Convene, recess, reconvene, and a request that an action to collect the
adjourn and otherwise regulate the penalty be brought in the appropriate
course of the hearing; United States District Court.
(8) Hold conferences for settlement,
simplification of the issues or any § 209.119 Assessment considerations.
other proper purpose; and The assessment of a civil penalty
(9) Take any other action authorized under § 209.117 is made only after con-
by or consistent with the provisions of sidering:
this subpart pertaining to civil pen- (a) The nature and circumstances of
alties and permitted by law which may the violation;
expedite the hearing or aid in the dis- (b) The extent and gravity of the vio-
position of an issue raised, therein. lation;
18
(c) The degree of the respondent’s violation of 49 U.S.C. 5104(b) or a will-

culpabilty; ful or reckless violation of the Federal
(d) The respondent’s history of prior hazardous materials transportation
offenses; law or a regulation issued under those
(e) The respondent’s ability to pay; laws for which FRA exercises enforce-
(f) The effect on the respondent’s ment responsibility, he or she shall re-
ability to continue in business; and port it to the Chief Counsel. If evidence
(g) Such other matters as justice exists tending to establish a prima
may require. facie case, and if it appears that assess-
ment of a civil penalty would not be an
§ 209.121 Appeal. adequate deterrent to future viola-
(a) Any party aggrieved by a pre- tions, the Chief Counsel refers the re-
siding officer’s decision or order issued port to the Department of Justice for
under § 209.117 assessing a civil penalty criminal prosecution of the offender.
may file an appeal with the Adminis-
trator. The appeal must be filed within [61 FR 38647, July 25, 1996, as amended at 71
FR 77295, Dec. 26, 2006]
twenty (20) days of service of the pre-
siding officer’s order.
(b) Prior to rendering a final deter- Subpart C—Compliance Orders
mination on an appeal, the Adminis-
trator may remand the case for further § 209.201 Compliance orders generally.
proceedings before the hearing officer. (a) This subpart prescribes rules of
(c) In the case of an appeal by a re- procedure leading to the issuance of
spondent, if the Administrator affirms compliance orders pursuant to the Fed-
the assessment and the respondent eral railroad safety laws at 49 U.S.C.
does not pay the civil penalty within 5121(a) and/or 20111(b).
twenty (20) days after service of the (b) The FRA may commence a pro-
Administrator’s decision on appeal, the ceeding under this subpart when FRA
matter may be referred to the Attor- has reason to believe that a person is
ney General with a request that an ac- engaging in conduct or a pattern of
tion to collect the penalty be brought conduct that involves one or more vio-
in the appropriate United States Dis- lations of the Federal railroad safety
trict Court. laws or any regulation or order issued
under those laws for which FRA exer-
CRIMINAL PENALTIES
cises enforcement authority.
§ 209.131 Criminal penalties generally. [61 FR 38647, July 25, 1996]
A person who knowingly violates 49
U.S.C. 5104(b) or § 171.2(l) of this title or § 209.203 Notice of investigation.
willfully or recklessly violates a re- (a) FRA begins a compliance order
quirement of the Federal hazardous proceeding by serving a notice of inves-
material transportation law or a regu- tigation on the respondent.
lation, order, special permit, or ap- (b) The notice of investigation con-
proval issued thereunder shall be fined tains:
under title 18, United States Code, or (1) A statement of the legal authority
imprisoned for not more than 5 years, for the proceeding;
or both, except the maximum amount (2) A statement of the factual allega-
of imprisonment shall be 10 years in tions upon which the remedial action is
any case in which the violation in- being sought; and
volves the release of a hazardous mate- (3) A statement of the remedial ac-
rial which results in death or bodily in- tion being sought in the form of a pro-
jury to any person. posed compliance order.
[71 FR 77295, Dec. 26, 2006] (c) The FRA may amend the notice of
investigation at any time prior to the
§ 209.133 Referral for prosecution. entry of a final compliance order. If an
If an inspector, including a certified amendment includes any new material
state inspector under part 212 of this allegation of fact or seeks new or addi-
chapter, or another employee of FRA tional remedial action, the respondent
becomes aware of a possible knowing is given an opportunity to respond.
19
§ 209.205 49 CFR Ch. II (10–1–11 Edition)
§ 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
§ 209.207 Consent order.
shown.
(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
whether it is admitted or denied. Even agreement proposing the entry by con-
though formally denied, a factual alle- sent of an order directing compliance.
gation set forth in a notice of inves- The Administrator may accept the pro-
tigation is considered to be admitted posed order by signing it. If the Admin-
for purposes of the proceeding unless: istrator rejects the proposed order, he
(1) Opposed by the affidavit of an in- or she directs that the proceeding con-
dividual having personal knowledge of tinue.
the subject matter; (b) An agreement submitted to the
(2) Challenged as defective on its face Administrator under this section must
together with a supporting explanation include:
as to why it is believed to be defective; (1) A proposed compliance order suit-
or able for the Administrator’s signature;
(3) Otherwise actively put at issue (2) An admission of all jurisdictional
through the submission of relevant evi- facts;
dence. (3) An express waiver of further pro-
(c) The reply must set forth any af- cedural steps and of all right to seek
firmative defenses and include a state- judicial review or otherwise challenge
ment of the form and nature of proof or contest the validity of the order;
by which those defenses are to be es- and
tablished. (4) An acknowledgment that the no-
(d) If it is necessary to respond to an tice of investigation may be used to
amendment to the notice of investiga- construe the terms of the order.
tion, the respondent may amend the
reply concerning the substance of mat- § 209.209 Hearing.
ters contained in the amendment to
the notice at any time before the (a) When a respondent files a reply
issuance of an order under § 209.211. contesting allegations in a notice of in-
(e) If the respondent elects not to vestigation issued under § 209.203 or
contest one or more factual allega- when the FRA and the respondent fail
tions, he or she should so state in the to agree upon an acceptable consent
reply. An election not to contest a fac- order, the hearing officer designated by
tual allegation is an admission of that the Chief Counsel convenes and pre-
allegation solely for the purpose of sides over a hearing on the proposed
issuing a compliance order. That elec- compliance order.
tion constitutes a waiver of hearing as (b) The presiding official may:
to that allegation but does not, by (1) Administer oaths and affirma-
itself, constitute a waiver of the right tions;
to be heard on other issues. In connec- (2) Issue subpoenas as provided by
tion with a statement of election not § 209.7;
to contest a factual allegation, the re- (3) Adopt procedures for the submis-
spondent may propose an appropriate sion of evidence;
order for issuance by the Adminis- (4) Take or cause depositions to be
trator or propose the negotiation of a taken;
consent order. (5) Rule on offers of proof and receive
(f) Failure of the respondent to file a relevant evidence;
reply within the period provided con- (6) Examine witnesses at the hearing;
stitutes a waiver of his or her right to (7) Convene, recess, reconvene, ad-
appear and contest the allegation and journ and otherwise regulate the
authorizes the Administrator, without course of the hearing;
20
(8) Hold conferences for settlement, (c) The filing of an appeal does not
simplification of the issues or any stay the effectiveness of a compliance
other proper purpose; and order unless the Administrator ex-
(9) Take any other action authorized pressly so provides.
by or consistent with the provisions of
this subpart pertaining to compliance § 209.215 Time limitation.
orders and permitted by law which may A proceeding for the issuance of a
expedite the hearing or aid in the dis- compliance order under the Federal
position of an issue raised therein. Railroad Safety Act of 1970, as amend-
(c) The Chief Counsel has the burden ed, shall be completed within twelve
of providing the facts alleged in the no- (12) months after issuance of the notice
tice of investigation and may offer of investigation.
such relevant information as may be
necessary fully to inform the presiding
officer as to the matter concerned. Subpart D—Disqualification
(d) The respondent may appear and Procedures
be heard on his or her own behalf or
through counsel of his or her choice. SOURCE: 54 FR 42907, Oct. 18, 1989, unless
The respondent or his or her counsel otherwise noted.
may offer relevant information, includ-
ing testimony which he or she believes § 209.301 Purpose and scope.
should be considered in defense of the (a) This subpart prescribes the rules
allegations or which may bear on the of practice for administrative pro-
remedial action being sought, and con- ceedings relating to the determination
duct such cross-examination as may be of an individual’s fitness for per-
required for a full disclosure of the ma- forming safety-sensitive functions
terial facts. under the Federal railroad safety laws
(e) At the conclusion of the hearing
at 49 U.S.C. 20111(c).
or as soon thereafter as the hearing of-
(b) The purpose of this subpart is to
ficer shall provide, the parties may file
proposed findings and conclusions, to- prevent accidents and casualties in
gether with supporting reasons there- railroad operations that result from
for. the presence in the work force of rail-
road employees, including managers
§ 209.211 Presiding officer’s decision. and supervisors, and agents of railroads
who have demonstrated their unfitness
(a) After consideration of evidence,
to perform the safety-sensitive func-
the presiding officer may dismiss the
tions described in § 209.303 by violating
notice of investigation or issue a com-
any rule, regulation, order or standard
pliance order. The decision of the pre-
prescribed by FRA. Employees and
siding officer will include a statement
agents who evidence such unfitness
of findings and conclusions as well as
may be disqualified, under specified
the reasons therefor on all material
terms and conditions, temporarily or
issues of fact, law, and discretion.
permanently, from performing such
(b) A compliance order issued under
safety-sensitive functions.
this section is effective twenty (20)
days from service on the respondent (c) This subpart does not preempt a
unless otherwise provided therein. railroad from initiating disciplinary
proceedings and imposing disciplinary
§ 209.213 Appeal. sanctions against its employees, in-
cluding managers and supervisors,
(a) Any party aggrieved by a pre-
under its collective bargaining agree-
siding officer’s decision may file an ap-
ments or in the normal and customary
peal with the Administrator. The ap-
manner. Disqualification determina-
peal must be filed within twenty (20)
tions made under this subpart shall
days after service of the presiding offi-
have no effect on prior or subsequent
cer’s decision.
(b) Prior to rendering a final deter- disciplinary actions taken against such
mination on an appeal, the Adminis- employees by railroads.
trator may remand the case for further [54 FR 42907, Oct. 18, 1989, as amended at 74
proceedings before the hearing officer. FR 23334, May 19, 2009]
21
§ 209.303 49 CFR Ch. II (10–1–11 Edition)
§ 209.303 Coverage. (1) A statement of the rule(s), regula-

tion(s), order(s), or standard(s) that the
This subpart applies to the following
respondent is alleged to have violated;
individuals:
(2) A statement of the factual allega-
(a) Railroad employees who are as-
tions that form the basis of the initial
signed to perform service subject to the
determination that the respondent is
Hours of Service Act (49 U.S.C. Chapt.
not fit to perform safety-sensitive
211) during a duty tour, whether or not
functions;
the person has performed or is cur-
rently performing such service, and (3) A statement of the effective date,
any person who performs such service. duration, and other conditions, if any,
of the disqualification order;
(b) Railroad employees or agents
who: (4) A statement of the respondent’s
right to answer the charges in writing
(1) Inspect, install, repair, or main-
and furnish affidavits and any other
tain track and roadbed;
documentary evidence in support of the
(2) Inspect, repair or maintain, loco- answer;
motives, passenger cars, and freight
cars;
right to make an informal response to
(3) Conduct training and testing of the Chief Counsel;
employees when the training or testing
is required by the FRA’s safety regula-
right to request a hearing and the pro-
tions; or
cedures for requesting a hearing;
(4) Perform service subject to the
Transportation of Hazardous Materials
right to counsel or other designated
laws (49 U.S.C. Ch. 51), or any regula-
representative; and
tion or order prescribed thereunder;
(8) Notice of the consequences of the
(c) Railroad managers, supervisors,
respondent’s failure to take any of the
or agents when they:
actions described in § 209.307(a).
(1) Perform the safety-sensitive func-
(c) The Chief Counsel shall enclose
tions listed in paragraphs (a) and (b) of
with the notice of proposed disquali-
this section;
fication a copy of the material that is
(2) Supervise and otherwise direct the relied on in support of the charges.
performance of the safety-sensitive Nothing in this section precludes the
functions listed in paragraphs (a) and Chief Counsel from presenting at a sub-
(b) of this section; or sequent hearing under § 209.321 any evi-
(3) Are in a position to direct the dence of the charges set forth in the
commission of violations of any of the notice that the Chief Counsel acquires
requirements of parts 213 through 241 after service thereof on the respondent.
of this title, or any of the requirements The Chief Counsel, however, shall serve
of 49 U.S.C. Ch. 51, or any regulation or a copy of any such evidence on the re-
order prescribed thereunder. spondent at or before the prehearing
[74 FR 23334, May 19, 2009] conference required under § 209.319.
Failure to furnish such evidence to re-
§ 209.305 Notice of proposed disquali- spondent at or before the prehearing
fication. conference bars its introduction at the
(a) FRA, through the Chief Counsel, hearing.
begins a disqualification proceeding by (d) The Chief Counsel shall provide a
serving a notice of proposed disquali- copy of the notice of proposed disquali-
fication on the respondent charging fication to the railroad that employs
him or her with having violated one or the respondent.
more rules, regulations, orders, or
standards promulgated by FRA, which § 209.307 Reply.
render the respondent unfit to perform (a) Within 30 days after receipt of the
safety-sensitive functions described in notice of proposed disqualification
§ 209.303. issued under § 209.305, the respondent
(b) The notice of proposed disquali- shall reply in writing to the charges.
fication issued under this section shall The respondent may furnish affidavits
contain: and any other documentary evidence in
22
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-
vided the request for extension is (1) Dismiss all the charges and termi-
served before the expiration of the pe- nate the notice of proposed disquali-
riod provided in paragraph (a) of this fication;
section. (2) Dismiss some of the charges and
(c) Failure of the respondent to reply mitigate the proposed disqualification;
to the notice of proposed disqualifica- (3) Mitigate the proposed disquali-
tion within the period provided in para- fication; or
graph (a) of this section or an exten- (4) Sustain the charges and proposed
sion thereto provided under paragraph disqualification.
(b) of this section constitutes a waiver (e) Should the Chief Counsel sustain,
of the respondent’s right to appear and in whole or in part, the charges and
contest the charges or the proposed proposed disqualification and reach
disqualification. Respondent’s failure settlement with the respondent, the
to reply authorizes the Chief Counsel, Chief Counsel shall issue an appro-
without further notice to the respond- priate disqualification order reflecting
ent, to find the respondent unfit for the
the settlement and shall provide a copy
performance of the safety-sensitive
of that order to the railroad by which
functions described in § 209.303 and to
order the respondent disqualified from the respondent is employed. The dura-
performing them for the period and tion of the disqualification period may
under the other conditions described in be less than, but shall be no greater
the notice of proposed disqualification. than, the period set forth in the notice.
The Chief Counsel shall serve respond- Any settlement reached shall be evi-
ent with the disqualification order and denced by a written agreement, which
provide a copy of the order to the rail- shall include declarations from the re-
road by which the respondent is em- spondent stipulating to the charges
ployed. contained in the disqualification order,
consenting to the imposition of the dis-
§ 209.309 Informal response. qualification under the conditions set
(a) If the respondent elects to make forth in the disqualification order, and
an informal response to a notice of pro- waiving his or her right to a hearing.
posed disqualification, he or she shall (f) If settlement of the charges
submit to the Chief Counsel such writ- against the respondent is not achieved,
ten explanations, information, or other the Chief Counsel shall terminate set-
materials as respondent may desire in tlement discussions no later than 30
answer to the charges or in mitigation days from service of the informal re-
of the proposed disqualification. sponse upon the Chief Counsel by serv-
(b) The respondent may include in an ing respondent written notice of termi-
informal written response a request for nation of settlement negotiations.
a conference. Upon receipt of such a re-
(g) By electing to make an informal
quest, the Chief Counsel shall arrange
for a conference at a time and place response to a notice of proposed dis-
designated by the Chief Counsel. qualification, the respondent does not
(c) Written explanations, informa- waive the right to a hearing. However,
tion, or materials submitted by the re- the respondent must submit the hear-
spondent and relevant information pre- ing request required by § 209.311(a)
sented during any conference held
23
§ 209.311 49 CFR Ch. II (10–1–11 Edition)
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
(1) The name, address, and telephone § 209.311. Upon motion for good cause
number of the respondent and of the re- shown, the presiding officer may ex-
spondent’s designated representative, if tend this time period for an additional
any; 30 days. The presiding officer may
(2) A specific response admitting, de- grant an additional 30 day extension
nying, or explaining each allegation of only when the party requesting the ex-
the notice of disqualification order. tension shows by clear and convincing
(3) A description of the claims and evidence that the party was unable to
defenses to be raised by the respondent complete discovery within the pre-
at the hearing; and scribed time period through no fault or
(4) The signature of the respondent or lack of due diligence of such party, and
the representative, if any. that denial of the request would result
(b) Upon receipt of a request for a in irreparable prejudice.
hearing complying with the require- (e) If a party fails to comply with a
ments of paragraph (a) of this section, discovery order or an order to compel,
the Chief Counsel shall arrange for the the presiding officer may:
appointment of a presiding officer and
(1) Strike any appropriate part of the
transmit the disqualification file to
pleadings or other submissions of the
the presiding officer, who shall sched-
party failing to comply with such
ule the hearing for the earliest prac-
order;
ticable date within the time period set
by § 209.321(a) of this subpart. (2) Prohibit the party failing to com-
(c) Upon assignment of a presiding of- ply with such order from introducing
ficer, further matters in the proceeding evidence relating to the information
generally are conducted by and sought;
through the presiding officer, except (3) Draw an inference in favor of the
that the Chief Counsel and respondent requesting party with regard to the in-
may settle or voluntarily dismiss the formation sought; and
case without order of the presiding offi- (4) Permit the requesting party to in-
cer. The Chief Counsel shall promptly troduce secondary evidence concerning
notify the presiding officer of any set- the information sought.
tlement or dismissal of the case.
§ 209.315 Subpoenas.
§ 209.313 Discovery. Once a notice of proposed disquali-
(a) Disqualification proceedings shall fication has been issued in a particular
be conducted as expeditiously as pos- matter, only the presiding officer may
24
issue, deny, quash, or modify sub- the hearing shall be recorded verbatim.
poenas under this subpart in accord- The hearing shall be open to the public,
ance with § 209.7. unless the presiding official determines
that it would be in the best interests of
§ 209.317 Official record. the respondent, a witness, or other af-
The notice of proposed disqualifica- fected persons, to close all or any part
tion, respondent’s reply, exhibits, and of it. If the presiding official makes
verbatim record of testimony, if a such a determination, an appropriate
hearing is held, and all pleadings, stip- order, which sets forth the reasons
ulations, and admissions filed and rul- therefor, shall be entered.
ings and orders entered in the course of (b) The presiding officer may:
the proceeding shall constitute the ex- (1) Administer oaths and affirma-
clusive and official record. tions;
(2) Issue subpoenas as provided by
§ 209.319 Prehearing conference. § 209.7;
(a) The parties shall confer with the (3) Adopt procedures for the submis-
presiding officer, either in person or by sion of evidence in written form;
telephone, for a conference at least 10 (4) Take or cause depositions to be
days before the hearing to consider: taken as provided in § 209.8;
(1) Formulation and simplification of (5) Rule on offers of proof and receive
the issues; relevant evidence;
(2) Stipulations, admissions of fact, (6) Examine witnesses at the hearing;
and admissions of the contents and au- (7) Convene, recess, reconvene, ad-
thenticity of documents; journ, and otherwise regulate the
(3) Advance rulings from the pre- course of the hearing;
siding officer on the admissibility of (8) Hold conferences for settlement,
evidence; simplification of the issues, or any
(4) Identification of witnesses, in- other proper purpose; and
cluding the scope of their testimony, (9) Take any other action authorized
and of hearing exhibits; by or consistent with the provisions of
(5) Possibility of settlement; and this subpart and permitted by law that
(6) Such other matters as the pre- may expedite the hearing or aid in the
siding officer deems necessary to expe- disposition of an issue raised therein.
dite the disposition of the proceeding. (c) FRA has the burden of proof, by a
(b) The record shall show the matters preponderance of the evidence, as to
disposed of by order and by agreement the facts alleged in the notice of pro-
in such a prehearing conference. The posed disqualification, the reasonable-
subsequent course of the hearing shall ness of the conditions of the qualifica-
be controlled by such action. tion proposed, and, except as provided
(c) The prehearing conference shall in § 209.329(a), the respondent’s lack of
be held within 150 days after receipt of fitness to perform safety-sensitive
respondent’s request for a hearing functions. The Chief Counsel may offer
under § 209.311. relevant evidence, including testi-
mony, in support of the allegations
§ 209.321 Hearing. contained in the notice of proposed dis-
(a) Upon receipt of a hearing request qualification and conduct such cross-
complying with § 209.311, an adminis- examination as may be required for a
trative hearing for review of a notice of full disclosure of the material facts.
proposed disqualification shall be con- (d) The respondent may appear and
ducted by a presiding officer, who can be heard on respondent’s own behalf or
be any person authorized by the FRA through respondent’s designated rep-
Administrator, including an adminis- resentative. The respondent may offer
trative law judge. The hearing shall relevant evidence, including testi-
begin within 180 days from receipt of mony, in defense of the allegations or
respondent’s hearing request. Notice of in mitigation of the proposed disquali-
the time and place of the hearing shall fication and conduct such cross-exam-
be given to the parties at least 20 days ination as may be required for a full
before the hearing. Testimony by wit- disclosure of the material facts. Re-
nesses shall be given under oath and spondent has the burden of proof, by a
25
§ 209.323 49 CFR Ch. II (10–1–11 Edition)
preponderance of the evidence, as to (5) Notice of the parties’ appeal

any affirmative defense, including that rights, as prescribed in § 209.327.
respondent’s actions were in obedience (d) The decision shall be served upon
to the direct order of a railroad super- the FRA Chief Counsel and the re-
visor or higher level official. spondent. The Chief Counsel shall pro-
(e) The record shall be closed at the vide a copy of the disqualification
conclusion of the hearing, unless the order to the railroad by which the re-
parties request the opportunity to sub- spondent is employed.
mit proposed findings and conclusions.
When the presiding officer allows the § 209.325 Finality of decision.
parties to submit proposed findings and (a) The initial decision of the pre-
conclusions, documents previously siding officer shall become final 35 days
identified for introduction into evi- after issuance. Such decisions are not
dence, briefs, or other posthearing sub- precedent.
missions the record shall be left open (b) Exception. The initial decision
for such time as the presiding officer shall not become final if, within 35
grants for that purpose. days after issuance of the decision, any
party files an appeal under § 209.327.
The timely filing of such an appeal
FR 53136, Oct. 12, 1995]
shall stay the order in the initial deci-
§ 209.323 Initial decision. sion.
(a) The presiding officer shall prepare § 209.327 Appeal.
an initial decision after the closing of (a) Any party aggrieved by an initial
the record. The initial decision may decision issued under § 209.323 may file
dismiss the notice of proposed disquali- an appeal. The appeal must be filed
fication, in whole or in part, sustain within 35 days of issuance of the initial
the charges and proposed disqualifica- decision with the Federal Railroad Ad-
tion, or sustain the charges and miti- ministrator, 1200 New Jersey Avenue,
gate the proposed disqualification. SE., Washington, DC 20590. A copy of
(b) If the presiding officer sustains the appeal shall be served on each
the charges and the proposed disquali- party. The appeal shall set forth objec-
fication, dismisses some of the charges, tions to the initial decision, supported
or mitigates the proposed disqualifica- by reference to applicable laws and reg-
tion, the presiding officer shall issue ulations, and with specific reference to
and serve an appropriate order dis- the record. If the Administrator has
qualifying respondent from engaging in played any role in investigating, pros-
the safety-sensitive functions described ecuting, or deciding to prosecute the
in § 209.303. If the presiding officer dis- particular case, the Administrator
misses all of the charges set forth in shall recuse him or herself and dele-
notice of proposed disqualification, a gate his or her authority under this
dismissal order shall be issued and section to a person not so involved.
served. (b) A party may file a reply to an ap-
(c) Each initial decision shall con- peal within 25 days of service of the ap-
tain: peal. If the party relies on evidence
(1) Findings of fact and conclusions contained in the record for the reply,
of law, as well as the reasons or bases the party shall specifically refer to the
therefor, upon all the material issues pertinent evidence in the record.
of fact and law presented on the record; (c) The Administrator may extend
(2) An order, as described in para- the period for filing an appeal or a re-
graph (b) of this section; sponse for good cause shown, provided
(3) The dates any disqualification is the written request for extension is
to begin and end and other conditions, served before the expiration of the ap-
if any, that the respondent must sat- plicable period provided in paragraph
isfy before the disqualification order is (a) or (b) of this section.
discharged; (d) The Administrator has sole dis-
(4) The date upon which the decision cretion to permit oral argument on the
will become final, as prescribed in appeal. On the Administrator’s own
§ 209.325; and initiative or upon written motion by
26
any party, the Administrator may de- (3) The employing railroad’s oper-
termine that oral argument will con- ating rules, safety rules, and repair and
tribute substantially to the develop- maintenance standards;
ment of the issues on appeal and may (4) Repair and maintenance standards
grant the parties an opportunity for adopted by the railroad industry;
oral argument. (5) The consistency of the conditions
(e) The Administrator may affirm, of the proposed disqualification with
reverse, alter, or modify the decision of disqualification orders issued against
the presiding officer, or may remand other employees of the employing rail-
the case for further proceedings before road for the same or similar violations;
the presiding officer. The Adminis- (6) Whether the respondent was on
trator shall inform the parties and the notice of any safety regulations that
presiding officer of his or her decision. were violated or whether the respond-
(f) The decision of the Administrator ent had been warned about the conduct
is final, constitutes final agency ac- in question;
tion, and is not subject to further ad- (7) The respondent’s past record of
ministrative review. committing violations of safety regula-
tions, including previous FRA warn-
FR 25171, May 27, 2009; 74 FR 23334, May 19, ings issued, disqualifications imposed,
2009] 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 241 (excluding parts in question;
225, 228, and 233) of this title, or of one (9) Mitigating circumstances sur-
of the requirements of 49 U.S.C. Chapt. rounding the violation, such as the ex-
51, or any regulation or order pre- istence of an emergency situation en-
scribed thereunder, establishes a rebut- dangering persons or property and the
table presumption that the respondent need for the respondent to take imme-
is unfit to perform the safety-sensitive diate action; and
functions described in § 209.303. Where (10) Such other factors as may be
such presumption arises, the respond- warranted in the public interest.
ent has the burden of establishing that, [74 FR 23334, May 19, 2009]
taking account of the factors in para-
graph (b) of this section, he or she is fit § 209.331 Enforcement of disqualifica-
to perform the foregoing safety-sen- tion order.
sitive functions for the period and (a) A railroad that employs or for-
under the other conditions, if any, pro- merly employed an individual serving
posed in the notice of proposed dis- under a disqualification order shall in-
qualification. form prospective or actual employers
(b) In determining respondent’s lack of the terms and conditions of the
of fitness to perform safety-sensitive order upon receiving notice that the
functions and the duration and other disqualified employee is being consid-
conditions, if any, of appropriate dis- ered for employment with or is em-
qualification orders under §§ 209.309, ployed by another railroad to perform
209.323, and 209.327, the factors to be any of the safety-sensitive functions
considered, to the extent each is perti- described in § 209.303.
nent to the respondent’s case, include (b) A railroad that is considering hir-
but are not limited to the following: ing an individual to perform the safety-
(1) The nature and circumstances of sensitive functions described in § 209.303
the violation, including whether the shall ascertain from the individual’s
violation was intentional, technical, or previous employer, if such employer
inadvertent, was committed willfully, was a railroad, whether the individual
or was frequently repeated; is subject to a disqualification order.
(2) The adverse impact or the poten- (c) An individual subject to a dis-
tially adverse impact of the violation qualification order shall inform his or
on the health and safety of persons and her employer of the order and provide a
the safety of property; copy thereof within 5 days after receipt
27
§ 209.333 49 CFR Ch. II (10–1–11 Edition)
of the order. Such an individual shall ing from the operation of a railroad
likewise inform any prospective em- that result from a railroad’s failure to
ployer who is considering hiring the in- remedy certain violations of the Fed-
dividual to perform any of the safety- eral railroad safety laws for which as-
sensitive functions described in § 209.303 sessment of a civil penalty has been
of the order and provide a copy thereof recommended.
within 5 days after receipt of the order (b) To achieve this purpose, this sub-
or upon application for the position, part requires that if an FRA Safety In-
whichever first occurs. spector notifies a railroad both that as-
sessment of a civil penalty will be rec-
§ 209.333 Prohibitions. ommended for its failure to comply
(a) An individual subject to a dis- with a provision of the Federal railroad
qualification order shall not work for safety laws and that a remedial actions
any railroad in any manner incon- report must be submitted, the railroad
sistent with the order. shall report to the FRA Safety Inspec-
(b) A railroad shall not employ any tor, within 30 days after the end of the
individual subject to a disqualification calendar month in which such notifica-
order in any manner inconsistent with tion is received, actions taken to rem-
the order. edy that failure.
(c) This subpart does not relieve the
§ 209.335 Penalties. railroad of the underlying responsi-
(a) Any individual who violates bility to comply with a provision of the
§ 209.331(c) or § 209.333(a) may be perma- Federal railroad safety laws. The 30-
nently disqualified from performing day period after the end of the calendar
the safety-sensitive functions described month in which notification is received
in § 209.303. Any individual who will- is intended merely to provide the rail-
fully violates § 209.331(c) or § 209.333(a) road with an opportunity to prepare its
may also be assessed a civil penalty of report to FRA, and does not excuse
at least $1,000 and not more than $5,000 continued noncompliance.
per violation. (d) This subpart requires the submis-
(b) Any railroad that violates § 209.331 sion of remedial actions reports for the
(a) or (b) or § 209.333(b) may be assessed general categories of physical defects,
a civil penalty of at least $5,000 and not recordkeeping and reporting viola-
more than $11,000 per violation. tions, and filing violations, where the
(c) Each day a violation continues railroad can literally and specifically
shall constitute a separate offense. correct a failure to comply with a pro-
[54 FR 42907, Oct. 18, 1989, as amended at 63 vision of the Federal railroad safety
FR 11619, Mar. 10, 1998] laws, as reasonably determined by the
FRA Safety Inspector. No railroad is
§ 209.337 Information collection. required to submit a report for a fail-
The information collection require- ure involving either a completed or
ments in § 209.331 of this part have been past transaction or a transaction that
reviewed by the Office of Management it can no longer remedy.
and Budget pursuant to the Paperwork
Reduction Act of 1980, (44 U.S.C. 3501 et § 209.403 Applicability.
seq.) and have been assigned OMB con- This subpart applies to any railroad
trol number 2130–0529. that receives written notification from
an FRA Safety Inspector both (i) that
[56 FR 66791, Dec. 26, 1991]
assessment of a civil penalty will be
recommended for its failure to comply
Subpart E—Reporting of Remedial with a provision of the Federal railroad
Actions safety laws and (ii) that it must submit
a remedial actions report.
SOURCE: 59 FR 43676, Aug. 24, 1994, unless
otherwise noted. § 209.405 Reporting of remedial ac-
tions.
§ 209.401 Purpose and scope. (a) Except as provided in § 209.407,
(a) The purpose of this subpart is to each railroad that has received written
prevent accidents and casualties aris- notification on Form FRA F 6180.96
28
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
plete the remedial actions report in the class mail, to the FRA Safety Inspec-
manner prescribed on the report form. tor whose name and address appear on
The railroad shall select the one reme- the notification, within 30 days after
dial action code on the reporting form the end of the calendar month in which
that most accurately reflects the ac- the notification is received.
tion or actions that it took to remedy (b) Within 30 days after the end of the
the failure, such as, repair or replace- calendar month in which all such reme-
ment of a defective component without dial actions are completed, the railroad
movement, movement of a locomotive shall report in accordance with the re-
or car for repair (where permitted) and medial action code procedures ref-
its subsequent repair, completion of a erenced in § 209.405(a). The additional
required test or inspection, removal of time provided by this section for a rail-
a noncomplying item from service but road to submit a delayed report shall
not for repair (where permitted), reduc- not excuse it from liability for any
tion of operating speed (where suffi- continuing violation of a provision of
cient to achieve compliance), or any the Federal railroad safety laws.
combination of actions appropriate to
remedy the noncompliance cited. Any § 209.409 Penalties.
railroad selecting the remedial action Any person who violates any require-
code ‘‘other remedial actions’’ shall ment of this subpart or causes the vio-
also furnish FRA with a brief narrative lation of any such requirement is sub-
description of the action or actions ject to a civil penalty of at least $650
taken. and not more than $25,000 per violation,
(3) Submission of Form FRA F 6180.96. except that: Penalties may be assessed
The railroad shall return the form by against individuals only for willful vio-
first class mail to the FRA Safety In- lations, and, where a grossly negligent
spector whose name and address appear violation or a pattern of repeated vio-
on the form. lations has created an imminent haz-
(b) Any railroad concluding that the ard of death or injury to persons, or
violation alleged on the inspection re- has caused death or injury, a penalty
port may not have occurred may sub- not to exceed $100,000 per violation may
mit the remedial actions report with be assessed. Each day a violation con-
an appropriate written explanation. tinues shall constitute a separate of-
Failure to raise all pertinent defenses fense. A person may also be subject to
29
§ 209.501 49 CFR Ch. II (10–1–11 Edition)
the criminal penalties provided for in the Pipeline and Hazardous Materials
49 U.S.C. 21311 (formerly codified in 45 Safety Administration (PHMSA) re-
U.S.C. 438(e)) for knowingly and will- garding the safety and security of the
fully falsifying reports required by this route proposed by the railroad carrier
subpart. and any alternative route(s) over which
[59 FR 43676, Aug. 24, 1994, as amended at 63 the carrier is authorized to operate
FR 11619, Mar. 10, 1998; 69 FR 30592, May 28, that are being considered by the Asso-
2004; 72 FR 51196, Sept. 6, 2007; 74 FR 79700, ciate Administrator and prepares a
Dec. 30, 2008] written summary of the recommenda-
tions from TSA and PHMSA;
Subpart F—Enforcement, Appeal (2) Obtains the comments of the Sur-
and Hearing Procedures for face Transportation Board (‘‘STB’’) re-
Rail Routing Decisions Pursu- garding whether the alternative
route(s) being considered by the Asso-
ant to 49 CFR § 172.820 ciate Administrator would be commer-
§ 209.501 Review of rail transportation cially practicable; and
safety and security route analysis. (3) Fully considers the input of TSA,
PHMSA and the STB and renders a de-
(a) Review of route analysis. If the As-
cision pursuant to paragraph (d) of this
sociate Administrator for Safety deter-
mines that a railroad carrier’s route section which shall be administratively
selection, analysis and documentation final.
pursuant to § 172.820 of chapter I of this (d) Decision. (1) If the Associate Ad-
title is deficient and fails to establish ministrator finds that the route anal-
that the route chosen by the carrier ysis and documentation provided by
poses the least overall safety and secu- the railroad carrier are sufficient to
rity risk, the Associate Administrator support the route selected by the car-
shall issue a written notice of review rier or that valid issues of commercial
(‘‘Notice’’) to the railroad carrier. The practicability preclude an alternative
Notice shall specifically address each route, the Associate Administrator
deficiency found in the railroad car- concludes the review without further
rier’s route analysis. The Notice may action and so notifies the railroad car-
also include suggested mitigation rier in writing.
measures that the railroad carrier may (2) If the Associate Administrator
take to remedy the deficiencies found, concludes that the railroad carrier’s
including selection of an alternative route analysis does not support the
commercially feasible routing. railroad carrier’s original selected
(b) Conference to resolve deficiencies. route, that safety and security consid-
After issuing the Notice, the Associate erations establish a significant pref-
Administrator conferences with the erence for an alternative route, and
railroad carrier for a thirty (30)-day pe- that the alternative route is commer-
riod, or such longer period as provided cially practicable, the Associate Ad-
by the Associate Administrator, to re- ministrator issues a second written no-
solve the deficiencies identified in the tice (2nd Notice) to the railroad carrier
Notice. The Associate Administrator that:
keeps a record of all written cor- (i) Specifically identifies deficiencies
respondence with the railroad carrier found in the railroad carrier’s route
and a summary of each meeting and analysis, including a clear description
telephone conversation with the rail- of the risks on the selected route that
road carrier that pertains to the No- have not been satisfactorily mitigated;
tice. (ii) Explains why the available data
(c) Consultation with and comment and reasonable inferences indicate that
from other agencies. If, after the close of a commercially practicable alternative
the conference period, the Associate route poses fewer overall safety and se-
Administrator concludes that the curity risks than the route selected by
issues identified have not been satis- the railroad carrier; and
factorily resolved, the Associate Ad- (iii) Directs the railroad carrier, be-
ministrator: ginning within twenty (20) days of the
(1) Consults with the Transportation issuance date of the 2nd Notice on the
Security Administration (‘‘TSA’’) and railroad carrier, to temporarily use the
30
Federal Railroad Administration, DOT Pt. 209, App. A
alternative route that the Associate of the period so computed shall be in-
Administrator determines poses the cluded, unless it is a Saturday, Sunday,
least overall safety and security risk or Federal holiday, in which event the
until such time as the railroad carrier period runs until the end of the next
has adequately mitigated the risks day which is not one of the aforemen-
identified by the Associate Adminis- tioned days.
trator on the original route selected by
the carrier. [73 FR 72199, Nov. 26, 2008]
(e) Actions following 2nd Notice and re-
APPENDIX A TO PART 209—STATEMENT
routing directive. When issuing a 2nd
OF AGENCY POLICY CONCERNING EN-
Notice that directs the use of an alter-
FORCEMENT OF THE FEDERAL RAIL-
native route, the Associate Adminis-
ROAD SAFETY LAWS
trator shall make available to the rail-
road carrier the administrative record The Federal Railroad Administration
relied upon by the Associate Adminis- (‘‘fra’’) enforces the federal railroad safety
trator in issuing the 2nd Notice, in- statutes under delegation from the Secretary
cluding the recommendations of TSA, of Transportation. See 49 CFR 1.49 (c), (d),
PHMSA and STB to FRA made pursu- (f), (g), and (m). Those statutes include the
ant to paragraphs (c)(1) and (2) of this Federal Railroad Safety Act of 1970 (‘‘Safety
section. Within twenty (20) days of the Act’’), 45 U.S.C. 421 et seq., and a group of
statutes enacted prior to 1970 referred to col-
issuance date of the Associate Admin-
lectively herein as the ‘‘older safety stat-
istrator’s 2nd Notice, the railroad car- utes’’: The Safety Appliance Acts, 45 U.S.C.
rier may: 1–16; the Locomotive Inspection Act, 45
(1) Comply with the Associate Ad- U.S.C. 22–34; the Accident Reports Act, 45
ministrator’s directive to use an alter- U.S.C. 38–43; the Hours of Service Act, 45
native route while the carrier works to U.S.C. 61–64b; and the Signal Inspection Act,
address the deficiencies in its route 49 App. U.S.C. 26. Regulations implementing
analysis identified by the Associate those statutes are found at 49 CFR parts 213
Administrator; or through 236. The Rail Safety Improvement
(2) File a petition for judicial review Act of 1988 (Pub. L. No. 100–342, enacted June
of the Associate Administrator’s 2nd 22, 1988) (‘‘RSIA’’) raised the maximum civil
penalties available under the railroad safety
Notice, pursuant to paragraph (g) of laws and made individuals liable for willful
this section. violations of those laws. FRA also enforces
(f) Review and decision by Associate the Hazardous Materials Transportation Act,
Administrator on revised route analysis 49 App. U.S.C. 1801 et seq., as it pertains to
submitted in response to 2nd Notice. Upon the shipment or transportation of hazardous
submission of a revised route analysis materials by rail.
containing an adequate showing by the
railroad carrier that its original se- THE CIVIL PENALTY PROCESS
lected route poses the least overall The front lines in the civil penalty process
safety and security risk, the Associate are the FRA safety inspectors: FRA employs
Administrator notifies the carrier in over 300 inspectors, and their work is supple-
writing that the carrier may use its mented by approximately 100 inspectors from
original selected route. states participating in enforcement of the
federal rail safety laws. These inspectors
(g) Appellate review. If a railroad car-
routinely inspect the equipment, track, and
rier is aggrieved by final agency ac- signal systems and observe the operations of
tion, it may petition for review of the the nation’s railroads. They also investigate
final decision in the appropriate United hundreds of complaints filed annually by
States court of appeals as provided in those alleging noncompliance with the laws.
49 U.S.C. 5127. The filing of the petition When inspection or complaint investigation
for review does not stay or modify the reveals noncompliance with the laws, each
force and effect of the final agency ac- noncomplying condition or action is listed
tion unless the Associate Adminis- on an inspection report. Where the inspector
determines that the best method of pro-
trator or the Court orders otherwise.
moting compliance is to assess a civil pen-
(h) Time. In computing any period of alty, he or she prepares a violation report,
time prescribed by this part, the day of which is essentially a recommendation to
any act, event, or default from which the FRA Office of Chief Counsel to assess a
the designated period of time begins to penalty based on the evidence provided in or
run shall not be included. The last day with the report.
31
Pt. 209, App. A 49 CFR Ch. II (10–1–11 Edition)
In determining which instances of non- the initial penalty claims based on a wide
compliance merit penalty recommendations, variety of mitigating factors. This system
the inspector considers: permits the efficient collection of civil pen-
(1) The inherent seriousness of the condi- alties in amounts that fit the actual offense
tion or action; without resort to time-consuming and expen-
(2) The kind and degree of potential safety sive litigation. Over its history, FRA has had
hazard the condition or action poses in light to request that the Attorney General bring
of the immediate factual situation; suit to collect a penalty on only a very few
(3) Any actual harm to persons or property occasions.
already caused by the condition or action; Once penalties have been assessed, the rail-
(4) The offending person’s (i.e., railroad’s road is given a reasonable amount of time to
or individual’s) general level of current com- investigate the charges. Larger railroads
pliance as revealed by the inspection as a usually make their case before FRA in an in-
whole; formal conference covering a number of case
(5) The person’s recent history of compli- files that have been issued and investigated
ance with the relevant set of regulations, es- since the previous conference. Thus, in terms
pecially at the specific location or division of the negotiating time of both sides, econo-
of the railroad involved; mies of scale are achieved that would be im-
(6) Whether a remedy other than a civil possible if each case were negotiated sepa-
penalty (ranging from a warning on up to an rately. The settlement conferences, held ei-
emergency order) is more appropriate under ther in Washington or another mutually
all of the facts; and agreed on location, include technical experts
(7) Such other factors as the immediate from both FRA and the railroad as well as
circumstances make relevant. lawyers for both parties. In addition to al-
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
32
formal warning letter issued by the Safety posed use of the word ‘‘willful,’’ FRA be-
Division of the Office of Chief Counsel, rec- lieves it was not intended to insulate from li-
ommendation of a civil penalty assessment, ability those who simply claim—contrary to
recommendation of disqualification or sus- the established facts of the case—they had
pension from safety-sensitive service, or, no reason to believe their conduct was
under the most extreme circumstances, rec- wrongful.
ommendation of emergency action. A willful violation entails knowledge of
The threshold question in any alleged vio- the facts constituting the violation, but ac-
lation by an individual will be whether that tual, subjective knowledge need not be dem-
violation was ‘‘willful.’’ (Note that section onstrated. It will suffice to show objectively
3(a) of the RSIA, which authorizes suspen- what the alleged violator must have known
sion or disqualification of a person whose of the facts based on reasonable inferences
violation of the safety laws has shown him drawn from the circumstances. For example,
or her to be unfit for safety-sensitive service, a person shown to have been responsible for
does not require a showing of willfulness. performing an initial terminal air brake test
Regulations implementing that provision are that was not in fact performed would not be
found at 49 CFR part 209, subpart D.) FRA able to defend against a charge of a willful
proposed this standard of liability when, in violation simply by claiming subjective ig-
1987, it originally proposed a statutory revi- norance of the fact that the test was not per-
sion authorizing civil penalties against indi- formed. If the facts, taken as a whole, dem-
viduals. FRA believed then that it would be onstrated that the person was responsible for
too harsh a system to collect fines from indi- doing the test and had no reason to believe
viduals on a strict liability basis, as the safe- it was performed by others, and if that per-
ty statutes permit FRA to do with respect to son was shown to have acted with actual
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
33
violations his order caused to occur. One ex- willfulness of a supervisor who issued a di-
ample is the movement of railroad cars or lo- rect order to violate the law. That is, the su-
comotives that are actually known to con- pervisor who allegedly issued an order to vio-
tain certain defective conditions. A train late will not be able to rely on the employ-
crew member who was ordered to move such ee’s failure to protest the order as a com-
equipment would not be liable for a civil plete defense. Rather, the issue will be
penalty, and his participation in such move- whether, in view of all pertinent facts, the
ments could not be used against him in any supervisor intentionally and voluntarily or-
disqualification proceeding brought by FRA. dered the employee to commit an act that
133 Cong. Rec. S.15899 (daily ed. Nov. 5, 1987) the supervisor knew would violate the law or
(remarks of Senator Exon). acted with reckless disregard for whether it
violated the law.
It should be noted that FRA will apply the FRA exercises the civil penalty authority
same definition of ‘‘willful’’ to corporate over individuals through informal proce-
acts as is set out here with regard to indi- dures very similar to those used with respect
vidual violations. Although railroads are to railroad violations. However, FRA varies
strictly liable for violations of the railroad those procedures somewhat to account for
safety laws and deemed to have knowledge of differences that may exist between the rail-
those laws, FRA’s penalty schedules contain, road’s ability to defend itself against a civil
for each regulation, a separate amount ear- penalty charge and an individual’s ability to
marked as the initial assessment for willful do so. First, when the field inspector decides
violations. Where FRA seeks such an ex- that an individual’s actions warrant a civil
traordinary penalty from a railroad, it will penalty recommendation and drafts a viola-
apply the definition of ‘‘willful’’ set forth tion report, the inspector or the regional di-
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
34
the opportunity for a formal, trial-type ad- the Code of Federal Regulations. For each
ministrative hearing as part of the civil pen- regulation, the schedule shows two amounts
alty process. FRA does not provide that op- within the $650 to $25,000 range in separate
portunity because such administrative hear- columns, the first for ordinary violations,
ings would be likely to add significantly to the second for willful violations (whether
the costs an individual would have to bear in committed by railroads or individuals). In
defense of a safety claim (and also to FRA’s one instance—part 231—the schedule refers
enforcement expenses) without shedding any to sections of the relevant FRA defect code
more light on what resolution of the matter rather than to sections of the CFR text. Of
is fair than would the informal procedures course, the defect code, which is simply a re-
set forth here. Of course, should an indi- organized version of the CFR text used by
vidual or railroad decide not to settle, that FRA to facilitate computerization of inspec-
person would be entitled to a trial de novo tion data, is substantively identical to the
when FRA, through the Attorney General, CFR text.
sued to collect the penalty in the appro- The schedule amounts are meant to pro-
priate United States district court. vide guidance as to FRA’s policy in predict-
able situations, not to bind FRA from using
PENALTY SCHEDULES; ASSESSMENT OF the full range of penalty authority where ex-
MAXIMUM PENALTIES traordinary circumstances warrant. The
As recommended by the Department of Senate report on the bill that became the
Transportation in its initial proposal for rail RSIA stated:
safety legislative revisions in 1987, the RSIA It is expected that the Secretary would act
raised the maximum civil penalties for viola- expeditiously to set penalty levels commen-
tions of the safety regulations. Under the surate with the severity of the violations,
Hours of Service Act, the penalty was with imposition of the maximum penalty re-
changed from a flat $500 to a penalty of ‘‘up served for violation of any regulation where
to $1,000, as the Secretary of Transportation warranted by exceptional circumstances. S.
deems reasonable.’’ Under all the other stat- Rep. No. 100–153, 10th Cong., 2d Sess. 8 (1987).
utes, the maximum penalty was raised from Accordingly, under each of the schedules
$2,500 to $10,000 per violation, except that (ordinarily in a footnote), and regardless of
‘‘where a grossly negligent violation or pat- the fact that a lesser amount might be
tern of repeated violations has created an shown in both columns of the schedule, FRA
imminent hazard of death or injury to per- reserves the right to assess the statutory
sons, or has caused death or injury,’’ a pen- maximum penalty of up to $100,000 per viola-
alty of up to $20,000 per violation may be as- tion where a grossly negligent violation has
sessed. created an imminent hazard of death or in-
The Rail Safety Enforcement and Review jury. This authority to assess a penalty for a
Act of 1992 (RSERA) increased the maximum single violation above $25,000 and up to
penalty from $1,000 to $10,000 and in some $100,000 is used only in very exceptional cases
cases, $20,000 for a violation of the Hours of to penalize egregious behavior. Where FRA
Service Laws, making these penalty avails itself of this right to use the higher
amounts uniform with those of FRA’s other penalties in place of the schedule amount it
regulatory provisions. RSERA also increased so indicates in its penalty demand letter.
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
Adjustment Act of 1990, Public Law 101–410, The Safety Act and, as amended by the
104 Stat. 890, note, as amended by Section RSIA, the older safety statutes apply to
31001(s)(1) of the Debt Collection Improve- ‘‘railroads.’’ Section 202(e) of the Safety Act
ment Act of 1996 Public Law 104–134, 110 Stat. defines railroad as follows:
1321–373, April 26, 1996 required that agencies The term ‘‘railroad’’ as used in this title
adjust by regulation each maximum civil means all forms of non-highway ground
monetary penalty within the agency’s juris- transportation that run on rails or electro-
diction for inflation and make subsequent magnetic guideways, including (1) commuter
adjustments once every four years after the or other short-haul rail passenger service in
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.
35
Prior to 1988, the older safety statutes had 234.3(c) (grade crossing signal safety). Other
applied only to common carriers engaged in regulations exclude not only plant railroads
interstate or foreign commerce by rail. The but all other railroads that are not operated
Safety Act, by contrast, was intended to as a part of, or over the lines of, the general
reach as far as the Commerce Clause of the railroad system of transportation. E.g., 49
Constitution (i.e., to all railroads that affect CFR 214.3 (railroad workplace safety).
interstate commerce) rather than be limited By ‘‘general railroad system of transpor-
to common carriers actually engaged in tation,’’ FRA refers to the network of stand-
interstate commerce. In reporting out the ard gage track over which goods may be
bill that became the 1970 Safety Act, the transported throughout the nation and pas-
House Committee on Interstate and Foreign sengers may travel between cities and within
Commerce stated: metropolitan and suburban areas. Much of
The Secretary’s authority to regulate ex- this network is interconnected, so that a rail
tends to all areas of railroad safety. This leg- vehicle can travel across the nation without
islation is intended to encompass all those leaving the system. However, mere physical
means of rail transportation as are com- connection to the system does not bring
monly included within the term. Thus, trackage within it. For example, trackage
‘‘railroad’’ is not limited to the confines of within an industrial installation that is con-
‘‘common carrier by railroad’’ as that lan- nected to the network only by a switch for
guage is defined in the Interstate Commerce the receipt of shipments over the system is
Act. not a part of the system.
H.R. Rep. No. 91–1194, 91st Cong., 2d Sess. at Moreover, portions of the network may
16 (1970). lack a physical connection but still be part
FRA’s jurisdiction was bifurcated until, in of the system by virtue of the nature of oper-
1988, the RSIA amended the older safety ations that take place there. For example,
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 movement of intercity passenger trains, or
their providing non-highway ground trans- the movement of commuter trains within a
portation over rails or electromagnetic metropolitan or suburban area. Urban rapid
guideways, and will extend to future rail- transit operations are ordinarily not part of
roads using other technologies not yet in the general system, but may have sufficient
use. For policy reasons, however, FRA does connections to that system to warrant exer-
not exercise jurisdiction under all of its reg- cise of FRA’s jurisdiction (see discussion of
ulations to the full extent permitted by stat- passenger operations, below). Tourist rail-
ute. Based on its knowledge of where the road operations are not inherently part of
safety problems were occurring at the time the general system and, unless operated over
of its regulatory action and its assessment of the lines of that system, are subject to few of
the practical limitations on its role, FRA FRA’s regulations.
has, in each regulatory context, decided that The boundaries of the general system are
the best option was to regulate something not static. For example, a portion of the sys-
less than the total universe of railroads. tem may be purchased for the exclusive use
For example, all of FRA’s regulations ex- of a single private entity and all connec-
clude from their reach railroads whose entire tions, save perhaps a switch for receiving
operations are confined to an industrial in- shipments, severed. Depending on the nature
stallation (i.e., ‘‘plant railroads’’), such as of the operations, this could remove that
those in steel mills that do not go beyond portion from the general system. The system
the plant’s boundaries. E.g., 49 CFR may also grow, as with the establishment of
225.3(a)(1) (accident reporting regulations). intercity service on a brand new line. How-
Some rules exclude passenger operations ever, the same trackage cannot be both in-
that are not part of the general railroad sys- side and outside of the general system de-
tem (such as some tourist railroads) only if pending upon the time of day. If trackage is
they meet the definition of ‘‘insular.’’ E.g., part of the general system, restricting a cer-
49 CFR 225.3(a)(3) (accident reporting) and tain type of traffic over that trackage to a
36
particular portion of the day does not change ation to be insular if its operations are lim-
the nature of the line—it remains the gen- ited to a separate enclave in such a way that
eral system. there is no reasonable expectation that the
Of course, even where a railroad operates safety of any member of the public’except a
outside the general system, other railroads business guest, a licensee of the tourist oper-
that are definitely part of that system may ation or an affiliated entity, or a
have occasion to enter the first railroad’s trespasser’would be affected by the oper-
property (e.g., a major railroad goes into a ation. A tourist operation will not be consid-
chemical or auto plant to pick up or set out ered insular if one or more of the following
cars). In such cases, the railroad that is part exists on its line:
of the general system remains part of that •A public highway-rail crossing that is in
system while inside the installation; thus, use;
all of its activities are covered by FRA’s reg- •An at-grade rail crossing that is in use;
ulations during that period. The plant rail- •A bridge over a public road or waters used
road itself, however, does not get swept into for commercial navigation; or
the general system by virtue of the other •A common corridor with a railroad, i.e.,
railroad’s activity, except to the extent it is
its operations are within 30 feet of those of
liable, as the track owner, for the condition
any railroad.
of its track over which the other railroad op-
When tourist operations are conducted on
erates during its incursion into the plant. Of
the general system, FRA exercises jurisdic-
course, in the opposite situation, where the
tion over them, and all of FRA’s pertinent
plant railroad itself operates beyond the
plant boundaries on the general system, it regulations apply to those operations unless
becomes a railroad with respect to those par- a waiver is granted or a rule specifically
ticular operations, during which its equip- excepts such operations (e.g., the passenger
ment, crew, and practices would be subject equipment safety standards contain an ex-
to FRA’s regulations. ception for these operations, 49 CFR
In some cases, the plant railroad leases 238.3(c)(3), even if conducted on the general
track immediately adjacent to its plant from system). When a tourist operation is con-
the general system railroad. Assuming such ducted only on track used exclusively for
a lease provides for, and actual practice en- that purpose it is not part of the general sys-
tails, the exclusive use of that trackage by tem. The fact that a tourist operation has a
the plant railroad and the general system switch that connects it to the general sys-
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 general system to such operations) will apply.
eral system, as would operations by the For example, FRA’s rules on accident report-
plant railroad indicating it was moving cars ing, steam locomotives, and grade crossing
on such trackage for other than its own pur- signals apply to these non-insular tourist op-
poses (e.g., moving cars to neighboring in- erations (see 49 CFR 225.3, 230.2 amd 234.3), as
dustries for hire). do all of FRA’s procedural rules (49 CFR
FRA exercises jurisdiction over tourist, parts 209, 211, and 216) and the Federal rail-
scenic, and excursion railroad operations road safety statutes themselves.
whether or not they are conducted on the In drafting safety rules, FRA has a specific
general railroad system. There are two ex- obligation to consider financial, operational,
ceptions: (1) operations of less than 24-inch or other factors that may be unique to tour-
gage (which, historically, have never been ist operations. 49 U.S.C. 20103(f). Accord-
considered railroads under the Federal rail- ingly, FRA is careful to consider those fac-
road safety laws); and (2) operations that are tors in determining whether any particular
off the general system and ‘‘insular’’ (defined rule will apply to tourist operations. There-
below). fore, although FRA asserts jurisdiction quite
Insularity is an issue only with regard to broadly over these operations, we work to
tourist operations over trackage outside of ensure that the rules we issue are appro-
the general system used exclusively for such priate to their somewhat special cir-
operations. FRA considers a tourist oper- cumstances.
37
It is important to note that FRA’s exercise other railroads is not relevant under the rail
of its regulatory authority on a given matter safety statutes. In fact, FRA considers com-
does not preclude it from subsequently muter railroads to be part of the general
amending its regulations on that subject to railroad system regardless of such connec-
bring in railroads originally excluded. More tions.
important, the self-imposed restrictions on FRA will presume that an operation is a
FRA’s exercise of regulatory authority in no commuter railroad if there is a statutory de-
way constrain its exercise of emergency termination that Congress considers a par-
order authority under section 203 of the Safe- ticular service to be commuter rail. For ex-
ty Act. That authority was designed to deal ample, in the Northeast Rail Service Act of
with imminent hazards not dealt with by ex- 1981, 45 U.S.C. 1104(3), Congress listed specific
isting regulations and/or so dangerous as to commuter authorities. If that presumption
require immediate, ex parte action on the does not apply, and the operation does not
government’s part. Thus, a railroad excluded meet the description of a system that is pre-
from the reach of any of FRA’s regulations is sumptively urban rapid transit (see below),
fully within the reach of FRA’s emergency FRA will determine whether a system is
order authority, which is coextensive with commuter or urban rapid transit by ana-
FRA’s statutory jurisdiction over all rail- lyzing all of the system’s pertinent facts.
roads. FRA is likely to consider an operation to be
a commuter railroad if:
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
The federal railroad safety statutes give
INTERCITY PASSENGER OPERATIONS
FRA authority over ‘‘commuter or other
FRA exercises jurisdiction over all inter- short-haul railroad passenger service in a
city passenger operations. Because of the na- metropolitan or suburban area.’’ 49 U.S.C.
ture of the service they provide, standard 20102. This means that, in addition to com-
gage intercity operations are all considered muter service, there are other short-haul
part of the general railroad system, even if types of service that Congress intended that
not physically connected to other portions of FRA reach. For example, a passenger system
the system. Other intercity passenger oper- designed primarily to move intercity trav-
ations that are not standard gage (such as a elers from a downtown area to an airport, or
magnetic levitation system) are within from an airport to a resort area, would be
FRA’s jurisdiction even though not part of one that does not have the transportation of
the general system. commuters within a metropolitan area as its
primary purpose. FRA would ordinarily exer-
COMMUTER OPERATIONS cise jurisdiction over such a system as
FRA exercises jurisdiction over all com- ‘‘other short-haul service’’ unless it meets
muter operations. Congress apparently in- the definition of urban rapid transit and is
tended that FRA do so when it enacted the not connected in a significant way to the
Federal Railroad Safety Act of 1970, and general system.
made that intention very clear in the 1982
URBAN RAPID TRANSIT OPERATIONS
and 1988 amendments to that act. FRA has
attempted to follow that mandate consist- One type of short-haul passenger service
ently. A commuter system’s connection to requires special treatment under the safety
38
statutes: ‘‘rapid transit operations in an RAPID TRANSIT CONNECTIONS SUFFICIENT TO
urban area.’’ Only these operations are ex- TRIGGER FRA’S EXERCISE OF JURISDICTION
cluded from FRA’s jurisdiction, and only if Certain types of connections to the general
they are ‘‘not connected to the general rail- railroad system will cause FRA to exercise
road system.’’ FRA will presume that an op- jurisdiction over the rapid transit line to the
eration is an urban rapid transit operation if extent it is connected. FRA will exercise juris-
the system is not presumptively a commuter diction over the portion of a rapid transit op-
railroad (see discussion above) the operation eration that is conducted as a part of or over
is a subway or elevated operation with its the lines of the general system. For example,
own track system on which no other railroad rapid transit operations are conducted on
may operate, has no highway-rail crossings the lines of the general system where the
at grade, operates within an urban area, and rapid transit operation and other railroad
moves passengers from station to station use the same track. FRA will exercise its ju-
within the urban area as one of its major risdiction over the operations conducted on
functions. the general system. In situations involving
Where neither the commuter railroad nor joint use of the same track, it does not mat-
ter that the rapid transit operation occupies
urban rapid transit presumptions applies,
the track only at times when the freight,
FRA will look at all of the facts pertinent to
commuter, or intercity passenger railroad
a particular operation to determine its prop-
that shares the track is not operating. While
er characterization. FRA is likely to con- such time separation could provide the basis
sider an operation to be urban rapid transit for waiver of certain of FRA’s rules (see 49
if: CFR part 211), it does not mean that FRA
•The operation serves an urban area (and will not exercise jurisdiction. However, FRA
may also serve its suburbs), will exercise jurisdiction over only the por-
•Moving passengers from station to station tions of the rapid transit operation that are
within the urban boundaries is a major func- conducted on the general system. For exam-
tion of the system and there are multiple ple, a rapid transit line that operates over
station stops within the city for that purpose the general system for a portion of its length
(such an operation could still have the trans- but has significant portions of street railway
portation of commuters as one of its major that are not used by conventional railroads
functions without being considered a com- would be subject to FRA’s rules only with re-
muter railroad), and spect to the general system portion. The re-
•The system provides frequent train serv- maining portions would not be subject to
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- ated on the same tracks as the conventional
ercise jurisdiction over every such operation railroad, is connected to the general system
that is so connected. FRA is aware of several by virtue of operating in a shared right-of-
way involving joint control of trains. For ex-
different ways that rapid transit operations
ample, if a rapid transit line and freight rail-
can be connected to the general system. Our
road were to operate over a movable bridge
policy on the exercise of jurisdiction will de- and were subject to the same authority con-
pend upon the nature of the connection(s). In cerning its use (e.g., the same tower operator
general, a connection that involves oper- controls trains of both operations), FRA will
ation of transit equipment as a part of, or exercise jurisdiction in a manner sufficient
over the lines of, the general system will to ensure safety at this point of connection.
trigger FRA’s exercise of jurisdiction. Below, Also, where transit operations share high-
we review some of the more common types of way-rail grade crossings with conventional
connections and their effect on the agency’s railroads, FRA expects both systems to ob-
exercise of jurisdiction. This is not meant to serve its signal rules. For example, FRA ex-
be an exhaustive list of connections. pects both railroads to observe the provision
39
of its rule on grade crossing signals that re- COORDINATION OF THE FRA AND FTA
quires prompt reports of warning system PROGRAMS
malfunctions. See 49 CFR part 234. FRA be- FTA’s rules on rail fixed guideway systems
lieves these connections present sufficient (49 CFR part 659) apply to any rapid transit
intermingling of the rapid transit and gen- systems or portions thereof not subject to
eral system operations to pose significant FRA’s rules. On rapid transit systems that
hazards to one or both operations and, in the are not sufficiently connected to the general
case of highway-rail grade crossings, to the railroad system to warrant FRA’s exercise of
motoring public. The safety of highway users jurisdiction (as explained above), FTA’s
of highway-rail grade crossings can best be rules will apply exclusively. On those rapid
protected if they get the same signals con- transit systems that are connected to the
cerning the presence of any rail vehicles at general system in such a way as warrant ex-
the crossing and if they can react the same ercise of FRA’s jurisdiction, only those por-
way to all rail vehicles. tions of the rapid transit system that are
connected to the general system will gen-
RAPID TRANSIT CONNECTIONS NOT SUFFICIENT erally be subject to FRA’s rules.
TO TRIGGER FRA’S EXERCISE OF JURISDICTION A rapid transit railroad may apply to FRA
for a waiver of any FRA regulations. See 49
Although FRA could exercise jurisdiction CFR part 211. FRA will seek FTA’s views
over a rapid transit operation based on any whenever a rapid transit operation petitions
connection it has to the general railroad sys- FRA for a waiver of its safety rules. In
tem, FRA believes there are certain connec- granting or denying any such waiver, FRA
tions that are too minimal to warrant the will make clear whether its rules do not
exercise of its jurisdiction. For example, a apply to any segments of the operation so
rapid transit system that has a switch for re- that it is clear where FTA’s rules do apply.
ceiving shipments from the general system
railroad is not one over which FRA would as- EXTRAORDINARY REMEDIES
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
FRA Administrator. See 49 CFR part 216,
mon rights of way are often designed so that
subpart B.
the two systems function completely inde-
FRA may, through the Attorney General,
pendently of each other. FRA and FTA will
also seek injunctive relief in federal district
coordinate with rapid transit agencies and
court to restrain violations or enforce rules
railroads wherever there are concerns about issued under the railroad safety laws. See 45
sufficient intrusion detection and related U.S.C. 439 and 49 App. U.S.C. 1810.
safety measures designed to avoid a collision FRA also has the authority to issue, after
between rapid transit trains and conven- notice and an opportunity for a hearing, an
tional equipment. order prohibiting an individual from per-
Where these very minimal connections forming safety-sensitive functions in the rail
exist, FRA will not exercise jurisdiction un- industry for a specified period. This disquali-
less and until an emergency situation arises fication authority is exercised under proce-
involving such a connection, which is a very dures found at 49 CFR part 209, subpart D.
unlikely event. However, if such a system is Criminal penalties are available for know-
properly considered a rail fixed guideway ing violations of 49 U.S.C. 5104(b), or for will-
system, FTA’s rules (49 CFR part 659) will ful or reckless violations of the Federal haz-
apply to it. ardous materials transportation law or a
40
Federal Railroad Administration, DOT Pt. 209, App. B
regulation issued under that law. See 49 paper violations at 49 CFR §§ 172.200–.203. All
U.S.C. Chapter 51, and 49 CFR 209.131, 133. penalties in these guidelines are subject to
The Accident Reports Act, 45 U.S.C. 39, also change depending upon the circumstances of
contains criminal penalties. the particular case. The general duty sec-
Perhaps FRA’s most sweeping enforcement tions, for example §§ 173.1 and 174.7, are not
tool is its authority to issue emergency safe- ordinarily cited as separate violations; they
ty orders ‘‘where an unsafe condition or are primarily used as explanatory citations
practice, or a combination of unsafe condi- to demonstrate applicability of a more spe-
tions or practices, or both, create an emer- cific section where applicability is otherwise
gency situation involving a hazard of death unclear.
or injury to persons * * *’’ 45 U.S.C. 432(a). FRA believes that infractions of the regu-
After its issuance, such an order may be re- lations that lead to personal injury are espe-
viewed in a trial-type hearing. See 49 CFR
cially serious; this is directly in line with
211.47 and 216.21 through 216.27. The emer-
Department of Transportation policy that
gency order authority is unique because it
hazardous materials are only safe for trans-
can be used to address unsafe conditions and
portation when they are securely sealed in a
practices whether or not they contravene an
proper package. (Some few containers, such
existing regulatory or statutory require-
ment. Given its extraordinary nature, FRA as tank cars of carbon dioxide, are designed
has used the emergency order authority to vent off excess internal pressure. They are
sparingly. exceptions to the ‘‘securely sealed’’ rule.)
‘‘Personal injury’’ has become somewhat of a
[53 FR 52920, Dec. 29, 1988, as amended at 63 term of art, especially in the fields of occu-
FR 11619, Mar. 10, 1998; 64 FR 62864, Nov. 17, pational safety and of accident reporting. To
1999; 65 FR 42544, July 10, 2000; 69 FR 30592, avoid confusion, these penalty guidelines use
May 28, 2004; 71 FR 77295, Dec. 26, 2006; 72 FR the notion of ‘‘human contact’’ to trigger
51196, Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008] penalty aggravation. In essence, any contact
by a hazardous material on a person during
APPENDIX B TO PART 209—FEDERAL transportation is a per se injury and proof
RAILROAD ADMINISTRATION GUIDE- will not be required regarding the extent of
LINES FOR INITIAL HAZARDOUS MA- the physical contact or its consequences.
TERIALS ASSESSMENTS When a violation of the Federal hazardous
materials transportation law, an order
These guidelines establish benchmarks to issued thereunder, the Hazardous Materials
be used in determining initial civil penalty Regulations or a special permit, approval, or
assessments for violations of the Hazardous order issued under those regulations results
Materials Regulations (HMR). The guideline in death, serious illness or severe injury to
penalty amounts reflect the best judgment of any person, or substantial destruction of
the FRA Office of Safety Assurance and
property, a maximum penalty of at least
Compliance (RRS) and of the Safety Law Di-
$50,000 and up to and including $100,000 shall
vision of the Office of Chief Counsel (RCC) on
always be assessed initially.
the relative severity of the various viola-
tions routinely encountered by FRA inspec- These guidelines are a preliminary assess-
tors on a scale of $250 to $55,000, except the ment tool for FRA’s use. They create no
maximum civil penalty is $110,000 if the vio- rights in any party. FRA is free to vary from
lation results in death, serious illness or se- them when it deems appropriate and may
vere injury to any person, or substantial de- amend them from time to time without prior
struction of property, and a minimum $450 notice. Moreover, FRA is not bound by any
penalty applies to a violation related to amount it initially proposes should litiga-
training. (49 U.S.C. 5123) Unless otherwise tion become necessary. In fact, FRA reserves
specified, the guideline amounts refer to av- the express authority to amend the NOPV to
erage violations, that is, violations involving seek a penalty of up to $50,000 for each viola-
a hazardous material with a medium level of tion, and up to $100,000 for any violation re-
hazard, and a violator with an average com- sulting in death, serious illness or severe in-
pliance history. In an ‘‘average violation,’’ jury to any person, or substantial destruc-
the respondent has committed the acts due tion of property, at any time prior to
to a failure to exercise reasonable care under issuance of an order. FRA periodically
the circumstances (‘‘knowingly’’). For some makes minor updates and revisions to these
sections, the guidelines contain a breakdown guidelines, and the most current version
according to relative severity of the viola- may be found on FRA’s Web site at http://
tion, for example, the guidelines for shipping www.fra.dot.gov.
41
Pt. 209, App. B 49 CFR Ch. II (10–1–11 Edition)
CIVIL PENALTY ASSESSMENT GUIDELINES

[As of December 26, 2006]
Emergency Guideline
orders amount 1
EO16 ......................... Penalties for violations of EO16 vary depending on the circumstances ............................. Varies.
Failure to file annual report .................................................................................................. $5,000.
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 $650 and not more than $25,000 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
$100,000 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.
42
171.16 ................................................ Failure to file incident report (form DOT 5800.1). 4,000.
(Multiple failures will aggravate the penalty.).
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.)
43
172.302(c) ............................ Failure to place exemption number markings on 2,000.

bulk package.
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:
44
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.
—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.
45
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.
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.)
46
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.)
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.)
172.820(a)–(e) .................................... General failure to perform safety and security 5,000 to 10,000
route analysis.
Factors to consider are the size of the railroad
carrier, and the quantities of hazmat trans-
ported.
172.820(a)–(e) .................................... Partial failure to complete route analysis; failure 5,000
to complete a component of the route analysis.
—Compilation of security-sensitive com-
modity data.
—Identification of practicable alternative
routes.
—Consultation with State, local, and tribal
officials, as appropriate regarding security
risks to high-consequence targets along
or in proximity to a route used by the car-
rier to transport security-sensitive mate-
rials.
—Safety and security route analysis of route
used.
—Safety and security alternative route anal-
ysis.
47
172.820(f) ........................................... Failure to complete route analyses within the 2,000

prescribed time frame.
172.820(g) .......................................... Failure to include one of the following compo- 2,000
nents in safety and security plan.
—Procedure for consultation with offerors
and consignees to minimize storage of se-
curity-sensitive materials incidental to
movement.
—Measures to limit unauthorized access to
the materials during storage or delays in
transit.
—Measures to mitigate risk to population
centers associated with in-transit storage
of the materials.
—Measures to be taken in the event of es-
calating threat levels for the materials
stored in transit.
(Unit of violation is the component. For a total
failure to have a security plan, cite § 172.800
and use the penalties provided for that sec-
tion.).
172.820(h) .......................................... Failure to maintain records and make available 2,000
to DOT and DHS authorized officials.
172.820(i) ........................................... Failure to use route designated by FRA Asso- 10,000
ciate Administrator for Safety.
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.
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).
48
—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.
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.).
49
—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).
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.
50
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.
—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.
51

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.
—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.
52
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.)
—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 §§ 172.600–172.604;

while the normal unit of violation for movement documents is the whole document, fail-
ure 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.).
53
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).
—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.
54
—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.
—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).).
55
—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.
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.
56
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.
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.
57
—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)).
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.

58
—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).
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.
59
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.
(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:
60
Federal Railroad Administration, DOT Pt. 209, App. C
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.
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 $55,000 for each violation, except that the max-
imum civil penalty for a violation is $110,000 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;
73 FR 72200, Nov. 26, 2008; 73 FR 79701, Dec. 30, 2008; 75 FR 43842, July 27, 2010]
APPENDIX C TO PART 209—FRA’S POLICY entities subject to the federal railroad safety
STATEMENT CONCERNING SMALL EN- laws. These policies have been developed to
TITIES take into account the unique concerns and
operations of small businesses in the admin-
This policy statement required by the istration of the national railroad safety pro-
Small Business Regulatory Enforcement gram, and will continue to evolve to meet
Fairness Act of 1996 (Pub. L. 104–121) the needs of the railroad industry. For pur-
(SBREFA) explains FRA’s communication poses of this policy statement, the Regu-
and enforcement policies concerning small latory Flexibility Act (5 U.S.C. 601, et seq.),
61
Pt. 209, App. C 49 CFR Ch. II (10–1–11 Edition)
and the ‘‘excessive demand’’ provisions of ticularly high, FRA Regional Administrators
the Equal Justice Act (5 U.S.C. 504 (a)(4), and have established programs in which all small
28 U.S.C. 2412 (d)(1)(D)), Class III railroads, entities in the region meet with FRA re-
contractors and hazardous materials ship- gional specialists on a regular basis to dis-
pers meeting the economic criteria estab- cuss new regulations, persistent safety con-
lished for Class III railroads in 49 CFR 1201.1– cerns, emerging technology, and compliance
1, and commuter railroads or small govern- issues. Also, FRA regional offices hold peri-
mental jurisdictions that serve populations odic conferences, in which specific blocks of
of 50,000 or less constitute the class of orga- time are set aside to meet with small busi-
nizations considered ‘‘small entities’’ or nesses and hear their concerns.
‘‘small businesses.’’ In addition to these communication prac-
FRA understands that small entities in the tices, FRA has instituted an innovative part-
railroad industry have significantly different nership program that expands the extent to
characteristics than larger carriers and ship- which small entities participate in the devel-
pers. FRA believes that these differences ne- opment of policy and process. The Railroad
cessitate careful consideration in order to Safety Advisory Committee (RSAC) has been
ensure that those entities receive appro- established to advise the agency on the de-
priate treatment on compliance and enforce- velopment and revision of railroad safety
ment matters, and enhance the safety of standards. The committee consists of a wide
railroad operations. Therefore, FRA has de- range of industry representatives, including
veloped programs to respond to compliance- organizations that represent the interests of
related inquiries of small entities, and to en- small business. The small entity representa-
sure proper handling of civil penalty and tive groups that sit on the RSAC may ap-
other enforcement actions against small point members of their choice to participate
businesses. in the development of new safety standards.
SMALL ENTITY COMMUNICATION POLICY This reflects FRA’s policy that small busi-
ness interests must be heard and considered
It is FRA’s policy that all agency per- in the development of new standards to en-
sonnel respond in a timely and comprehen- sure that FRA does not impose unnecessary
sive fashion to the inquiries of small entities economic burdens on small businesses, and
concerning rail safety statutes, safety regu- to create more effective standards. Finally,
lations, and interpretations of these statutes FRA’s Web site (http://www.fra.dot.gov)
and regulations. Also, FRA personnel pro- makes pertinent agency information avail-
vide guidance to small entities, as needed, in able instantly to the public.
applying the law to specific facts and situa- FRA’s longstanding policy of open commu-
tions that arise in the course of railroad op- nication with small entities is apparent in
erations. These agency communications take these practices. FRA will make every effort
many forms, and are tailored to meet the to develop new and equally responsive com-
needs of the requesting party. munication procedures as is warranted by
FRA inspectors provide training on the renew developments in the railroad industry.
quirements of all railroad safety statutes
and regulations for new and existing small SMALL ENTITY ENFORCEMENT POLICY
businesses upon request. Also, FRA inspec-
tors often provide impromptu training ses- FRA has adopted an enforcement policy
sions in the normal course of their inspec- that addresses the unique nature of small en-
tion duties. FRA believes that this sort of tities in the imposition of civil penalties and
preventive, rather than punitive, commu- resolution of those assessments. Pursuant to
nication greatly enhances railroad safety. FRA’s statutory authority, and as described
FRA’s Office of Safety and Office of Chief in Appendix A to 49 CFR part 209, it is FRA’s
Counsel regularly provide oral and written policy to consider a variety of factors in de-
responses to questions raised by small enti- termining whether to take enforcement ac-
ties concerning the plain meaning of the tion against persons, including small enti-
railroad safety standards, statutory require- ties, who have violated the safety laws and
ments, and interpretations of the law. As re- regulations. In addition to the seriousness of
quired by the SBREFA, when FRA issues a the violation and the person’s history of
final rule that has a significant impact on a compliance, FRA inspectors consider ‘‘such
substantial number of small entities, FRA other factors as the immediate cir-
will also issue a compliance guide for small cumstances make relevant.’’ In the context
entities concerning that rule. of violations by small entities, those factors
It is FRA’s policy to maintain frequent include whether the violations were made in
and open communications with the national good faith e.g., based on an honest misunder-
representatives of the primary small entity standing of the law), and whether the small
associations and to consult with these orga- entity has moved quickly and thoroughly to
nizations before embarking on new policies remedy the violation(s). In general, the pres-
that may impact the interests of small busi- ence of both good faith and prompt remedial
nesses. In some regions of the country where action militates against taking a civil pen-
the concentration of small entities is par- alty action, especially if the violations are
62
isolated events. On the other hand, viola- PART 210—RAILROAD NOISE EMIS-
tions involving willful actions and/or posing
serious health, safety, or environmental SION COMPLIANCE REGULA-
threats should ordinarily result in enforce- TIONS
ment actions, regardless of the entity’s size.
Once FRA has assessed a civil penalty, it is Subpart A—General Provisions
authorized to adjust or compromise the ini-
tial penalty claims based on a wide variety Sec.
of mitigating factors, unless FRA must ter- 210.1 Scope of part.
minate the claim for some reason. FRA has 210.3 Applicability.
the discretion to reduce the penalty as it 210.5 Definitions.
deems fit, but not below the statutory mini- 210.7 Responsibility for noise defective rail-
mums. The mitigating criteria FRA evalu- road equipment.
ates are found in the railroad safety statutes 210.9 Movement of a noise defective loco-
and SBREFA: The severity of the safety or motive, rail car, or consist of a loco-
health risk presented; the existence of alter- motive and rail cars.
native methods of eliminating the safety 210.11 Waivers.
hazard; the entity’s culpability; the entity’s 210.13 Penalty.
compliance history; the entity’s ability to
pay the assessment; the impacts an assess- Subpart B—Inspection and Testing
ment might exact on the entity’s continued
business; and evidence that the entity acted 210.21 Scope of subpart.
in good faith. FRA staff attorneys regularly 210.23 Authorization.
invite small entities to present any informa- 210.25 Measurement criteria and procedures.
tion related to these factors, and reduce civil 210.27 New locomotive certification.
penalty assessments based on the value and 210.29 Operation standards (moving loco-
integrity of the information presented. Staff motives and rail cars).
attorneys conduct conference calls or meet 210.31 Operation standards (stationary loco-
with small entities to discuss pending viola- motives at 30 meters).
tions, and explain FRA’s view on the merits 210.33 Operation standards (switcher loco-
of any defenses or mitigating factors pre- motives, load cell test stands, car cou-
sented that may have resulted or failed to pling operations, and retarders).
result in penalty reductions. Among the
APPENDIX A TO PART 210—SUMMARY OF NOISE
‘‘other factors’’ FRA considers at this stage
STANDARDS, 40 CFR PART 201
is the promptness and thoroughness of the
APPENDIX B TO PART 210—SWITCHER LOCO-
entity’s remedial action to correct the viola-
MOTIVE ENFORCEMENT POLICY
tions and prevent a recurrence. Small enti-
ties should be sure to address these factors AUTHORITY: Sec. 17, Pub. L. 92–574, 86 Stat.
in communications with FRA concerning 1234 (42 U.S.C. 4916); sec. 1.49(o) of the regula-
civil penalty cases. Long-term solutions to tions of the Office of the Secretary of Trans-
compliance problems will be given great portation, 49 CFR 1.49(o).
weight in FRA’s determinations of a final
settlement offer. SOURCE: 48 FR 56758, Dec. 23, 1983, unless
otherwise noted.
Finally, under FRA’s Safety Assurance and
Compliance Program (SACP), FRA identifies
systemic safety hazards that continue to Subpart A—General Provisions
occur in a carrier or shipper operation, and
in cooperation with the subject business, de- § 210.1 Scope of part.
velops an improvement plan to eliminate
those safety concerns. Often, the plan pro- This part prescribes minimum com-
vides small entities with a reasonable time pliance regulations for enforcement of
frame in which to make improvements with- the Railroad Noise Emission Standards
out the threat of civil penalty. If FRA deter- established by the Environmental Pro-
mines that the entity has failed to comply tection Agency in 40 CFR part 201.
with the improvement plan, however, en-
forcement action is initiated. § 210.3 Applicability.
FRA’s small entity enforcement policy is
flexible and comprehensive. FRA’s first pri- (a) Except as provided in paragraph
ority in its compliance and enforcement ac- (b) of this section, the provisions of
tivities is public and employee safety. How- this part apply to the total sound emit-
ever, FRA is committed to obtaining compli- ted by moving rail cars and loco-
ance and enhancing safety with reasoned, motives (including the sound produced
fair methods that do not inflict undue hard- by refrigeration and air conditioning
ship on small entities.
units that are an integral element of
[68 FR 24894, May 9, 2003] such equipment), active retarders,
63
§ 210.5 49 CFR Ch. II (10–1–11 Edition)
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.)
(3) Sound emitted by warning de-
vices, such as horns, whistles, or bells § 210.7 Responsibility for noise defec-
when operated for the purpose of safe- tive railroad equipment.
ty; Any railroad that uses railroad
(4) Special purpose equipment that equipment that is noise defective or
may be located on or operated from engages in a car coupling operating
rail cars; that results in excessive noise accord-
(5) As prescribed in 40 CFR 201.10, the ing to the criteria established in this
provisions of 40 CFR 201.11 (a) and (b) part and in the Standards is respon-
and (c) do not apply to gas sible for compliance with this part.
turbinepowered locomotives or any lo- Subject to § 210.9, such railroad shall—
comotive type that cannot be con- (a) Correct the noise defect;
nected by any standard method to a (b) Remove the noise defective rail-
load cell; or road equipment from service; or
(6) Inert retarders. (c) Modify the car coupling procedure
[48 FR 56758, Dec. 23, 1983, as amended at 54 to bring it within the prescribed noise
FR 33228, Aug. 14, 1989] limits.
§ 210.5 Definitions. § 210.9 Movement of a noise defective

locomotive, rail car, or consist of a
(a) Statutory definitions. All terms locomotive and rail cars.
used in this part and defined in the
Noise Control Act of 1972 (42 U.S.C. 4901 A locomotive, rail car, or consist of a
et seq.) have the definition set forth in locomotive and rail cars that is noise
that Act. defective may be moved no farther
(b) Definitions in standards. All terms than the nearest forward facility where
used in this part and defined in § 201.1 the noise defective conditions can be
of the Railroad Noise Emission Stand- eliminated only after the locomotive,
ards, 40 CFR 201.1, have the definition rail car, or consist of a locomotive and
set forth in that section. rail cars has been inspected and been
(c) Additional definitions. As used in determined to be safe to move.
this part—
Administrator means the Federal Rail- § 210.11 Waivers.
road Administrator, the Deputy Ad- (a) Any person may petition the Ad-
ministrator, or any official of FRA to ministrator for a waiver of compliance
whom the Administrator has delegated with any requirement in this part. A
authority to act in the Administrator’s waiver of compliance with any require-
stead. ment prescribed in the Standards may
Consist of a locomotive and rail cars not be granted under this provision.
means one or more locomotives cou- (b) Each petition for a waiver under
pled to a rail car or rail cars. this section must be filed in the man-
FRA means the Federal Railroad Ad- ner and contain information required
ministration. by 49 CFR part 211.
Inert retarder means a device or sys- (c) If the Administrator finds that a
tem for holding a classified cut of cars waiver of compliance applied for under
and preventing it from rolling out the paragraph (a) of this section is in the
bottom of a railyard. public interest and is consistent with
64
railroad noise abatement and safety, Standards, and will be presented to an

the Administrator may grant a waiver appropriate operating official of the
subject to any condition he deems nec- railroad.
essary. Notice of each waiver granted, (4) Testing or submission for testing
including a statement of the reasons is not required if the cause of the noise
therefor, will be published in the FED- defect is readily apparent and the in-
ERAL REGISTER. spector verifies that it is corrected by
the replacement of defective compo-
§ 210.13 Penalty.
nents or by instituting a normal main-
Any person who operates railroad tenance or repair procedure.
equipment subject to the Standards in (c)(1) An inspector is authorized to
violation of any requirement of this inspect or examine a locomotive, rail
part or of the Standards is liable to car, or consist of a locomotive and rail
penalty as prescribed in section 11 of cars operated by a railroad, or to re-
the Noise Control Act of 1972 (42 U.S.C. quest that the railroad inspect or ex-
4910), as amended. amine the locomotive, rail car, or con-
sist of a locomotive and rail cars,
Subpart B—Inspection and Testing whenever the inspector has reason to
believe that it does not conform to the
§ 210.21 Scope of subpart.
requirements of the Standards.
This subpart prescribes the compli- (2) An inspector may request that a
ance criteria concerning the require- railroad conduct an inspection or ex-
ments for inspection and testing of amination of a locomotive, rail car, or
railroad equipment or operations cov- consist of a locomotive and rail cars on
ered by the Standards. the basis of an excessive noise emission
§ 210.23 Authorization. level measured by a passby test. If,
after such inspection or examination,
(a) An inspector is authorized to per- no mechanical condition that would re-
form any noise test prescribed in the sult in a noise defect can be found and
Standards and in the procedures of this the inspector verifies that no such me-
part at any time, at any appropriate chanical condition exists, the loco-
location, and without prior notice to motive, rail car, or consist of a loco-
the railroad, for the purpose of deter- motive and rail cars may be continued
mining whether railroad equipment is in service.
in compliance with the Standards. (3) The requests referred to in this
(b)(1) An inspector is authorized to paragraph will be in writing, will state
request that railroad equipment and
the grounds upon which the inspector
appropriate railroad personnel be made
has reason to believe that the loco-
available for a passby or stationary
motive, rail car, or consist of a loco-
noise emission test, as prescribed in
motive and rail cars does not conform
the Standards and in the procedures of
to the Standards, and will be presented
this part, and to conduct such test, at
to an appropriate operating official of
a reasonable time and location, for the
the railroad.
purpose of determining whether the
railroad equipment is in compliance (4) The inspection or examination re-
with the Standards. ferred to in this paragraph may be con-
(2) If the railroad has the capability ducted only at recognized inspection
to perform an appropriate noise emis- points or scheduled stopping points.
sion test, as prescribed in the Stand-
§ 210.25 Measurement criteria and pro-
ards and in the procedures of this part, cedures.
an inspector is authorized to request
that the railroad test railroad equip- The parameters and procedures for
ment. The railroad shall perform the the measurement of the noise emission
appropriate test as soon as practicable. levels are prescribed in the Standards.
(3) The request referred to in this (a) Quantities measured are defined
paragraph will be in writing, will state in § 201.21 of the Standards.
the grounds upon which the inspector (b) Requirements for measurement
has reason to believe that the railroad instrumentation are prescribed in
equipment does not conform to the § 201.22 of the Standards. In addition,
65
§ 210.27 49 CFR Ch. II (10–1–11 Edition)
the following calibration procedures § 210.27 New locomotive certification.

shall be used:
(a) A railroad shall not operate a lo-
(1)(i) The sound level measurement comotive built after December 31, 1979,
system including the microphone shall unless the locomotive has been cer-
be calibrated and appropriately ad- tified to be in compliance with the
justed at one or more nominal fre- Standards.
quencies in the range from 250 through (b) The certification prescribed in
1000 Hz at the beginning of each series this section shall be determined for
of measurements, at intervals not ex- each locomotive model, by either—
ceeding 1 (one) hour during continual (1) Load cell testing in accordance
use, and immediately following a meas- with the criteria prescribed in the
urement indicating a violation. Standards; or
(ii) The sound level measurement (2) Passby testing in accordance with
system shall be checked not less than the criteria prescribed in the Stand-
once each year by its manufacturer, a ards.
representative of its manufacturer, or (c) If passby testing is used under
a person of equivalent special com- paragraph (b)(2) of this section, it shall
petence to verify that its accuracy be conducted with the locomotive oper-
meets the manufacturer’s design cri- ating at maximum rated horsepower
teria. output.
(2) An acoustical calibrator of the (d) Each new locomotive certified
microphone coupler type designed for under this section shall be identified by
the sound level measurement system in a permanent badge or tag attached in
use shall be used to calibrate the sound the cab of the locomotive near the lo-
level measurement system in accord- cation of the inspection Form F 6180.49.
ance with paragraph (b)(1)(i) of this The badge or tag shall state:
section. The calibration must meet or (1) Whether a load cell or passby test
exceed the accuracy requirements spec- was used;
ified in section 5.4.1 of the American (2) The date and location of the test;
National Standard Institute Standards, and
‘‘Method for Measurement of Sound (3) The A-weighted sound level read-
Pressure Levels,’’ (ANSI S1.13–1971) for ing in decibels obtained during the
field method measurements. passby test, or the readings obtained at
(c) Acoustical environment, weather idle throttle setting and maximum
conditions, and background noise re- throttle setting during a load cell test.
quirements are prescribed in § 201.23 of
§ 210.29 Operation standards (moving
the Standards. In addition, a measure- locomotives and rail cars).
ment tolerance of 2 dB(A) for a given
measurement will be allowed to take The operation standards for the noise
into account the effects of the factors emission levels of moving locomotives,
listed below and the interpretations of rail cars, or consists of locomotives
these effects by enforcement personnel: and rail cars are prescribed in the
Standards and duplicated in appendix
(1) The common practice of reporting
A of this part.
field sound level measurements to the
(a) Measurements for compliance
nearest whole decibel;
shall be made in compliance with the
(2) Variations resulting from com- provisions of subpart C of the Stand-
mercial instrument tolerances; ards and the following:
(3) Variations resulting from the to- (1) Consists of locomotives con-
pography of the noise measurement taining at least one locomotive unit
site; manufactured prior to December 31,
(4) Variations resulting from atmos- 1979, shall be evaluated for compliance
pheric conditions such as wind, ambi- in accordance with § 201.12(a) of the
ent temperature, and atmospheric pres- Standards, unless a locomotive within
sure; and the consist is separated by at least 10
(5) Variations resulting from re- rail car lengths or 500 feet from other
flected sound from small objects al- locomotives in the consist, in which
lowed within the test site. case such separated locomotives may
66
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.
Standards and are stated in appendix A (c) Any locomotive subject to this
of this part. If speed measurement part that is found not to be in compli-
equipment used by the inspector at the ance with the Standards as a result of
time of the measurement is not oper- a passby test shall be subjected to a
ating within an accuracy of 5 miles per load cell test or another passby test
hour, evaluation for compliance shall prior to return to service, except that
be made in accordance with § 201.13(2) no such retest shall be required if the
of the Standards. cause of the noise defect is readily ap-
(c) Locomotives and rail cars tested parent and is corrected by the replace-
pursuant to the procedures prescribed ment of defective components or by a
in this part and in the Standards shall normal maintenance or repair proce-
be considered in noncompliance when- dure.
ever the test measurement, minus the (d) The last entry recorded on Form
appropriate tolerance (§ 210.25), exceeds F 6180.49 as required in paragraph (b) of
the noise emission levels prescribed in this section shall be transcribed to a
appendix A of this part. new Form FRA F 6180.49 when it is
posted in the locomotive cab.
§ 210.31 Operation standards (sta- (e) Locomotives tested pursuant to
tionary locomotives at 30 meters).
the procedures prescribed in this part
(a) For stationary locomotives at and in the Standards shall be consid-
load cells: ered in noncompliance wherever the
(1) Each noise emission test shall test measurement, minus the appro-
begin after the engine of the loco- priate tolerance (§ 210.25), exceeds the
motive has attained the normal cooling noise emission levels precribed in ap-
water operating temperature as pre- pendix A of this part.
scribed by the locomotive manufac-
turer. § 210.33 Operation standards (switcher
(2) Noise emission testing in idle or locomotives, load cell test stands,
maximum throttle setting shall start car coupling operations, and re-
after a 40 second stabilization period in tarders).
the throttle setting selected for the (a) Measurement on receiving prop-
test. erty of the noise emission levels from
(3) After the stabilization period as switcher locomotives, load cell test
prescribed in paragraph (a)(2) of this stands, car coupling operations, and re-
section, the A-weighted sound level tarders shall be performed in accord-
reading in decibels shall be observed ance with the requirements of 40 CFR
for an additional 30-second period in part 201 and § 210.25 of this part.
the throttle setting selected for the (b) These sources shall be considered
test. in noncompliance whenever the test
(4) The maximum A-weighted sound measurement, minus the appropriate
level reading in decibels that is ob- tolerance (§ 210.25), exceeds the noise
served during the 30-second period of emission levels prescribed in appendix
time prescribed in paragraph (a)(3) of A of this part.
67
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).
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 receiving properties; therefore, FRA enforce-

LOCOMOTIVE ENFORCEMENT POLICY ment efforts will focus on abatement proce-
dures that will achieve a reduction of receiv-
The EPA standards require that the noise ing property noise levels to less than 65
emissions from all switcher locomotives in a dB(A).
particular facility be less than prescribed For example, a parked, idling locomotive,
levels measured at 30 meters, under all oper- even if equipped with exhaust silencing that
ating modes. This requirement is deemed to meets the stationary locomotive standard
be met unless ‘‘receiving property’’ noise due (30-meter test), may cause the receiving
to switcher locomotives exceeds 65 dB(A), property standard to be exceeded if located
when measured in accordance with subpart C on trackage adjacent to the receiving prop-
of 40 CFR part 201. The 65 dB(A) receiving erty. In that case, application of the 30-
property standard is the ‘‘trigger’’ for requir- meter test to other switcher locomotives at
ing the 30-meter test of switcher loco- the facility may not serve to reduce the re-
motives. ceiving property noise level. On the other
The purpose underlying FRA’s enforce- hand, operational changes by the railroad
ment of the noise standards is to reduce the could significantly reduce receiving property
impact of rail operations noise on receiving noise levels. In such case, FRA would con-
properties. In some instances, measures sider retesting after abatement measures
other than the 30-meter test approach may have been taken. If the receiving property
more effectively reduce the noise levels at noise level is below the trigger and the
68
abatement action is adopted, FRA would not APPENDIX A TO PART 211—STATEMENT OF
make a 30-meter test of the switcher loco- AGENCY POLICY CONCERNING WAIVERS RE-
motives at the facility. LATED TO SHARED USE OF TRACKAGE OR
RIGHTS-OF-WAY BY LIGHT RAIL AND CON-
VENTIONAL OPERATIONS
PART 211—RULES OF PRACTICE
AUTHORITY: 49 U.S.C. 20103, 20107, 20114,
Subpart A—General 20306, 20502–20504, and 49 CFR 1.49.
SOURCE: 41 FR 54181, Dec. 13, 1976, unless
Sec.
otherwise noted.
211.1 General.
211.3 Participation by interested persons.
211.5 Regulatory docket. Subpart A—General
211.7 Filing requirements.
211.9 Content of rulemaking and waiver pe- § 211.1 General.
titions.
(a) This part prescribes rules of prac-
Subpart B—Rulemaking Procedures tice that apply to rulemaking and
waiver proceedings, review of emer-
211.11 Processing of petitions for rule- gency orders issued under 45 U.S.C. 432,
making. and miscellaneous safety-related pro-
211.13 Initiation and completion of rule- ceedings and informal safety inquiries.
making proceedings.
The specific time limits for disposition
211.15 Notice and participation.
211.17 Publication and contents of notices. of proceedings apply only to pro-
211.19 Petitions for extensions of time to ceedings initiated after December 31,
comment. 1976, under the Federal Railroad Safety
211.21 Consideration of comments received. Act of 1970 (45 U.S.C. 421 et seq.). When
211.23 Additional public proceedings. warranted, FRA will extend these time
211.25 Hearings. limits in individual proceedings. How-
211.27 Publication of adopted rules and ever, each proceeding under the Fed-
withdrawal of notices.
eral Railroad Safety Act shall be dis-
211.29 Petitions for reconsideration of a
final rule. posed of within 12 months after the
211.31 Proceedings on petitions for reconsid- date it is initiated. A proceeding shall
eration of a final rule. be deemed to be initiated and the time
211.33 Direct final rulemaking procedures. period for its disposition shall begin on
the date a petition or application that
Subpart C—Waivers complies with the requirements of this
211.41 Processing of petitions for waiver of chapter is received by the person des-
safety rules. ignated in § 211.7.
211.43 Processing of other waiver petitions. (b) As used in this part—
211.45 Petitions for emergency waiver of (1) Administrator means the Federal
safety rules. Railroad Administrator or the Deputy
Administrator or the delegate of either
Subpart D—Emergency Orders of them.
211.47 Review procedures. (2) Waiver includes exemption.
(3) Safety Act means the Federal Rail-
Subpart E—Miscellaneous Safety-Related road Safety Act of 1970, as amended (45
Proceedings and Inquiries U.S.C. 421 et seq.).
(4) Docket Clerk means the Docket
211.51 Tests. Clerk, Office of Chief Counsel, Federal
211.53 Signal applications.
211.55 Special approvals.
Railroad Administration, 1200 New Jer-
211.57 Petitions for reconsideration. sey Avenue, SE., Mail Stop 10, Wash-
211.59 Proceedings on petitions for reconsid- ington, DC 20590 or the Docket Clerk,
eration. U.S. Department of Transportation,
211.61 Informal safety inquiries. Docket Operations (M–30), West Build-
ing Ground Floor, Room W12–140, 1200
Subpart F—Interim Procedures for the New Jersey Avenue, SE., Washington,
Review of Emergency Orders DC 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.
69
§ 211.3 49 CFR Ch. II (10–1–11 Edition)
(c) Records relating to proceedings age or printing. There is no charge for

and inquiries subject to this part are this service.
available for inspection as provided in (b) Records of the Federal Railroad
part 7 of this title. Administration created before Novem-
ber 1, 1998, concerning each proceeding
FR 70195, Dec. 16, 1999; 74 FR 25171, May 27, subject to this part are available in
2009] FRA’s Docket Office, 1200 New Jersey
Avenue, SE., Washington, DC 20590.
§ 211.3 Participation by interested per- Any person may examine docketed ma-
sons. terial at that location during normal
Any person may participate in pro- business hours. Copies of docketed ma-
ceedings and inquiries subject to this terial may be obtained upon payment
part by submitting written informa- of the fees prescribed in part 7 of this
tion or views. The Administrator may title.
also permit any person to participate (c) Any person may examine dock-
in additional proceedings, such as in- eted material in the office where it is
formal appearances, conferences, or maintained. Copies of docketed mate-
hearings at which a transcript or min- rial other than commercially prepared
utes are kept, to assure informed ad- transcripts may be obtained upon pay-
ministrative action and protect the ment of the fees prescribed in part 7 of
public interest. this title.
§ 211.5 Regulatory docket. FR 70195, Dec. 16, 1999; 74 FR 25171, May 27,
(a)(1) Records of the Federal Railroad 2009]
Administration created after Novem-
ber 1, 1998, concerning each proceeding § 211.7 Filing requirements.
subject to this part are maintained in (a) Any person may petition the Ad-
current docket form by the Federal ministrator for issuance, amendment,
Docket Management System. These repeal or permanent or temporary
records include rulemaking and waiver waiver of any rule or regulation. A pe-
petitions, emergency orders, notices, tition for waiver must be submitted at
comments received in response to no- least 3 months before the proposed ef-
tices, hearing transcripts, final rules, fective date, unless good cause is
denials of rulemaking petitions, grants shown for not doing so.
and denial of waiver and other peti- (b)(1) All petitions and applications
tions. Also included are records per- subject to this part, including applica-
taining to applications for special ap- tions for special approval under §§ 211.55
proval under §§ 211.55 and 238.21 of this and 238.21 of this chapter, petitions for
chapter, petitions for grandfathering grandfathering approval under § 238.203
approval under § 238.203 of this chapter, of this chapter, and signal applications
signal applications under parts 235 and under parts 235 and 236 of this chapter,
236 of this chapter, and informal safety shall be submitted to the FRA Docket
inquiries under § 211.61. Clerk. Each petition received shall be
(2) Any person may examine dock- acknowledged in writing. The acknowl-
eted material created after November edgment shall contain the docket num-
1, 1998: ber assigned to the petition or applica-
(i) At the U.S. Department of Trans- tion and state the date the petition or
portation, Docket Operations (M–30), application was received. Within 60
West Building Ground Floor, Room days following receipt, FRA will advise
W12–140, 1200 New Jersey Avenue, SE., the petitioner or applicant of any defi-
Washington, DC 20590. Copies of dock- ciencies in its petition or application.
eted materials may be obtained upon (2) All comments submitted in re-
payment of the fees prescribed by the sponse to a notice and other material
Federal Docket Management System, pertaining to proceedings subject to
or this part, including comments sub-
(ii) Through the Internet at http:// mitted in response to requests for spe-
www.regulations.gov. All docketed ma- cial approval under § 211.55 and § 238.21
terials are available for viewing and of this chapter, petitions for
may be downloaded for electronic stor- grandfathering approval under § 238.203
70
of this chapter, and signal applications trator decides whether the petition
under parts 235 and 236 of this chapter, should be granted. However, a notice
shall be submitted to the Federal may be published in the FEDERAL REG-
Docket Management System and shall ISTER inviting written comments con-
contain the assigned docket number for cerning the petition. Each petition
that proceeding. The form of such sub- shall be granted or denied not later
missions may be in written or elec- than six months after its receipt by the
tronic form consistent with the stand- Docket Clerk.
ards and requirements established by
(b) Grants. If the Administrator de-
the Federal Docket Management Sys-
termines that a rulemaking petition
tem and posted on its web site at http://
www.regulations.gov. complies with the requirements of
§ 211.9 and that rulemaking is justified,
[64 FR 70195, Dec. 16, 1999, as amended at 74 he initiates a rulemaking proceeding
FR 25171, 25172, May 27, 2009]
by publishing an advance notice or no-
§ 211.9 Content of rulemaking and tice of proposed rulemaking in the
waiver petitions. FEDERAL REGISTER.
Each petition for rulemaking or (c) Denials. If the Administrator de-
waiver must: termines that a rulemaking petition
(a) Set forth the text or substance of does not comply with the requirements
the rule, regulation, standard or of § 211.9 or that rulemaking is not jus-
amendment proposed, or specify the tified, he denies the petition. If the pe-
rule, regulation or standard that the tition pertains to railroad safety, the
petitioner seeks to have repealed or Administrator may also initiate an in-
waived, as the case may be; formal safety inquiry under § 211.61.
(b) Explain the interest of the peti- (d) Notification; closing of docket.
tioner, and the need for the action re- Whenever the Administrator grants or
quested; in the case of a petition for denies a rulemaking petition, a notice
waiver, explain the nature and extent of the grant or denial is mailed to the
of the relief sought, and identify and petitioner. If the petition is denied, the
describe the persons, equipment, in-
proceeding is terminated and the dock-
stallations and locations to be covered
et for that petition is closed.
by the waiver;
(c) Contain sufficient information to § 211.13 Initiation and completion of
support the action sought including an rulemaking proceedings.
evaluation of anticipated impacts of
the action sought; each evaluation The Administrator initiates all rule-
shall include an estimate of resulting making proceedings on his own motion
costs to the private sector, to con- by publishing an advance notice of pro-
sumers, and to Federal, State and local posed rulemaking or a notice of pro-
governments as well as an evaluation posed rulemaking in the FEDERAL REG-
of resulting benefits, quantified to the ISTER. However, he may consider the
extent practicable. Each petition per- recommendations of interested persons
taining to safety regulations must also or other agencies of the United States.
contain relevant safety data. A separate docket is established and
maintained for each rulemaking pro-
Subpart B—Rulemaking ceeding. Each rulemaking proceeding
Procedures shall be completed not later than 12
months after the initial notice in that
§ 211.11 Processing of petitions for proceeding is published in the FEDERAL
rulemaking.
REGISTER. However, if it was initiated
(a) General. Each petition for rule- as the result of the granting of a rule-
making filed as prescribed in §§ 211.7 making petition, the rulemaking pro-
and 211.9 is referred to the head of the ceeding shall be completed not later
office responsible for the subject mat-
than 12 months after the petition was
ter of the petition to review and rec-
filed as prescribed in §§ 211.7 and 211.9.
ommend appropriate action to the Ad-
ministrator. No public hearing or oral
argument is held before the Adminis-
71
§ 211.15 49 CFR Ch. II (10–1–11 Edition)
§ 211.15 Notice and participation. § 211.19 Petitions for extensions of

time to comment.
(a) Except as provided in paragraph
(c) of this section, or when the Admin- (a) Any person may petition the Ad-
istrator finds for good cause that no- ministrator for an extension of time to
tice is impractical, unnecessary, or submit comments in response to an ad-
contrary to the public interest (and in- vance notice or notice of proposed rule-
corporates the findings and a brief making. The petition must be received
statement of the reasons therefore in by the FRA Docket Clerk not later
the rules issued), an advance notice or than 10 days before expiration of the
notice of proposed rulemaking is pub- time stated in the notice and must con-
lished in the FEDERAL REGISTER and in- tain reference to the FRA docket num-
ber for the proceeding involved. The
terested persons are invited to partici-
filing of the petition does not auto-
pate in the rulemaking proceedings
matically extend the time for peti-
with respect to each substantive rule.
tioner’s comments.
(b) Unless the Administrator deter-
(b) The Administrator grants the pe-
mines that notice and public rule- tition only if the petitioner shows a
making proceedings are necessary or substantive interest in the proposed
desirable, interpretive rules, general rule and good cause for the extension,
statements of policy, and rules relating and if time permits and the extension
to organization, procedure, or practice, is in the public interest. Extensions
including those relating to agency will not be granted unless time permits
management or personnel, are pre- and will not exceed one month. If an
scribed as final without notice or other extension is granted, it is granted as to
public rulemaking proceedings. all persons and a notice of the exten-
(c) An advance notice or notice of sion is published in the FEDERAL REG-
proposed rulemaking is issued and in- ISTER.
terested persons are invited to partici-
pate in rulemaking proceedings with FR 70195, Dec. 16, 1999]
respect only to those procedural and
substantive rules of general applica- § 211.21 Consideration of comments re-
bility relating to public property, ceived.
loans, grants, benefits, or contracts All timely comments are considered
which the Administrator has deter- before final action is taken on a rule-
mined to be of substantial public inter- making proposal. Late-filed comments
est. will be considered so far as possible
without incurring additional expense
§ 211.17 Publication and contents of or delay.
notices.
Each advance notice or notice of pro- § 211.23 Additional public proceedings.
posed rulemaking is published in the The Administrator may conduct
FEDERAL REGISTER and includes— other public proceedings that he finds
(a) A statement of the time, place necessary or desirable. For example, he
and nature of the proposed rulemaking may invite interested persons to
proceeding; present oral arguments, participate in
(b) A reference to the authority conferences, or appear at informal
under which it is issued; hearings.
(c) A description of the subjects or
issues involved or the substance or § 211.25 Hearings.
terms of the proposed rule; (a) A hearing will be held if required
(d) A statement of the time within by statute or the Administrator finds
which written comments must be sub- it necessary or desirable.
mitted and the required number of cop- (b) Except for statutory hearings re-
ies; and quired to be on the record—
(e) A statement of how and to what (1) Hearings are fact-finding pro-
extent interested persons may partici- ceedings, and there are no formal
pate in the proceeding. pleadings or adverse parties;
72
(2) Any rule issued in a proceeding in for reconsideration of a final rule with-
which a hearing is held is not based ex- out further proceedings. Each petition
clusively on the record of the hearing; shall be decided not later than 4
and months after its receipt by the Docket
(3) Hearings are conducted in accord- Clerk. In the event he determines to re-
ance with section 553 of title 5, U.S.C.; consider a rule, the Administrator may
section 556 and 557 of title 5 do not amend the rule or initiate a new rule-
apply to hearings held under this part. making proceeding. An appropriate no-
(c) The Administrator conducts or tice is published in the FEDERAL REG-
designates a representative to conduct ISTER.
any hearing held under this part. The
(b) Whenever the Administrator de-
Chief Counsel serves or designates a
termines that a petition should be
member of his staff to serve as legal of-
ficer at the hearing. granted or denied, a notice of the grant
or denial of a petition for reconsider-
§ 211.27 Publication of adopted rules ation is sent to the petitioner. When a
and withdrawal of notices. petition is granted, a notice is pub-
Whenever the Administrator adopts a lished in the FEDERAL REGISTER.
final rule or withdraws an advance no- (c) The Administrator may consoli-
tice or notice of proposed rulemaking, date petitions relating to the same
the final rule or a notice of withdrawal rule.
is published in the FEDERAL REGISTER.
§ 211.33 Direct final rulemaking proce-
§ 211.29 Petitions for reconsideration dures.
of a final rule. (a) Rules that the Administrator
(a) Any person may petition the Ad- judges to be noncontroversial and un-
ministrator for reconsideration of any likely to result in adverse public com-
rule issued under this part. Except for ment may be published in the final rule
good cause shown, such a petition must section of the FEDERAL REGISTER as di-
be submitted not later than 60 days rect final rules. These include non-
after publication of the rule in the controversial rules that:
FEDERAL REGISTER, or 10 days prior to (1) Affect internal procedures of the
the effective date of the rule, which- Federal Railroad Administration, such
ever is the earlier. The petition must as filing requirements and rules gov-
contain a brief statement of the com- erning inspection and copying of docu-
plaint and an explanation as to why ments,
compliance with the rule is not pos-
(2) Are nonsubstantive clarifications
sible, is not practicable, is unreason-
or corrections to existing rules,
able, or is not in the public interest.
(b) If the petitioner requests consid- (3) Update existing forms, and
eration of additional facts, he must (4) Make minor changes in the sub-
state the reason they were not pre- stantive rules regarding statistics and
sented to the Administrator within the reporting requirements.
allotted time. (b) The FEDERAL REGISTER document
(c) The Administrator does not con- will state that any adverse comment or
sider repetitious petitions. notice of intent to submit adverse com-
(d) Unless the Administrator specifi- ment must be received in writing by
cally provides otherwise, and publishes the Federal Railroad Administration
notice thereof in the FEDERAL REG- within the specified time after the date
ISTER, the filing of a petition under of publication and that, if no written
this section does not stay the effective- adverse comment or request for oral
ness of a rule. hearing (if such opportunity is required
[41 FR 54181, Dec. 13, 1976, as amended at 42 by statute) is received, the rule will be-
FR 27593, May 31, 1977] come effective a specified number of
days after the date of publication.
§ 211.31 Proceedings on petitions for (c) If no adverse comment or request
reconsideration of a final rule. for oral hearing is received by the Fed-
(a) The Administrator may grant or eral Railroad Administration within
deny, in whole or in part, any petition the specified time of publication in the
73
§ 211.41 49 CFR Ch. II (10–1–11 Edition)
FEDERAL REGISTER, the Federal Rail- does not comply with the requirements
road Administration will publish a no- of § 211.9 or that a waiver is not justi-
tice in the FEDERAL REGISTER indi- fied, it denies the petition.
cating that no adverse comment was (e) Notification. Whenever the Rail-
received and confirming that the rule road Safety Board grants or denies a
will become effective on the date that petition, a notice of that grant or de-
was indicated in the direct final rule. nial is sent to the petitioner. When a
(d) If the Federal Railroad Adminis- petition has been decided, interested
tration receives any written adverse persons are also notified or a notice is
comment or request for oral hearing published in the FEDERAL REGISTER.
within the specified time of publication (f) Petition for reconsideration. Any
in the FEDERAL REGISTER, a notice person may petition for reconsider-
withdrawing the direct final rule will ation of the grant or denial of a waiver
be published in the final rule section of
under procedures set forth in § 211.57.
the FEDERAL REGISTER and, if the Fed-
Each petition shall be processed in ac-
eral Railroad Administration decides a
cordance with § 211.59.
rulemaking is warranted, a notice of
proposed rulemaking will be published § 211.43 Processing of other waiver pe-
in the proposed rule section of the FED- titions.
ERAL REGISTER.
(e) An ‘‘adverse’’ comment for the (a) General. Except as provided in
purpose of this subpart means any § 211.41, each petition for a permanent
comment that the Federal Railroad or temporary waiver of a rule, regula-
Administration determines is critical tion or standard shall be filed and proc-
of the rule, suggests that the rule essed as prescribed in §§ 211.7 and 211.9.
should not be adopted, or suggests a (b) Notice and hearing. If required by
change that should be made in the rule. statute or the Administrator deems it
desirable, a notice is published in the
[72 FR 10087, Mar. 7, 2007]
FEDERAL REGISTER, an opportunity for
public comment is provided, and a
Subpart C—Waivers hearing is held in accordance with
§ 211.41 Processing of petitions for § 211.25, before the petition is granted
waiver of safety rules. or denied.
(c) Grants. If the Administrator de-
(a) General. Each petition for a per-
termines that the petition complies
manent or temporary waiver of a safe-
with the requirements of § 211.9 and
ty rule, regulation or standard filed as
that a waiver is justified, he grants the
prescribed in §§ 211.7 and 211.9, is re-
waiver. Conditions may be imposed on
ferred to the Railroad Safety Board for
the grant of waiver if the Adminis-
decision and decided not later than 9
trator concludes they are necessary to
months after receipt.
(b) Notice and hearing. If required by achieve the purposes of programs af-
statute or the Administrator or the fected by the grant of waiver or are
Railroad Safety Board deems it desir- otherwise in the public interest.
able, a notice is published in the FED- (d) Denials. If the Administrator de-
ERAL REGISTER, an opportunity for pub- termines that the petition does not
lic comment is provided, and a hearing comply with the requirements of § 211.9
is held in accordance with § 211.25, be- or that a waiver is not justified, he de-
fore the petition is granted or denied. nies the waiver.
(c) Grants. If the Railroad Safety (e) Notification. Whenever the Admin-
Board determines that the petition istrator grants or denies a petition, a
complies with the requirements of notice of the grant or denial is sent to
§ 211.9 and that a waiver is justified, it the petitioner. When a petition has
grants the petition. Conditions may be been decided, interested persons are
imposed on the grant of waiver if the also notified or a notice is published in
Board concludes they are necessary to the FEDERAL REGISTER.
assure safety or are in the public inter- (f) Petitions for reconsideration. Any
est. person may petition for reconsider-
(d) Denials. If the Railroad Safety ation of the grant or denial of a waiver
Board determines that the petition under procedures set forth in § 211.57.
74
Each petition shall be processed in action. In determining whether an emer-

cordance with § 211.59. gency exists, the Administrator may
consider declarations of emergency
§ 211.45 Petitions for emergency waiv- made by local, State, or Federal offi-
er of safety rules. cials, and determinations by the Fed-
(a) General. This section applies only eral government that a credible threat
to petitions for waiver of a safety rule, of a terrorist attack exists.
regulation, or standard that FRA de- (d) Notification. When possible, FRA
termines are directly related to the oc- will post the FRA Administrator’s de-
currence of, or imminent threat of, an termination described in paragraph (c)
emergency event or an emergency situ- of this section on its Web site at http://
ation. For purposes of this section, the www.fra.dot.gov. FRA will also place
terms ‘‘emergency event’’ and ‘‘emer- the FRA Administrator’s determina-
gency situation’’ mean a natural or tion in the ERD as soon as practicable.
manmade disaster, such as a hurricane, (e) Content of petitions for emergency
flood, earthquake, mudslide, forest waivers. Petitions submitted to FRA
fire, snowstorm, terrorist act, biologi- pursuant to this section should specifi-
cal outbreak, release of a dangerous ra- cally address how the petition is re-
diological, chemical, explosive, or bio- lated to the emergency, and to the ex-
logical material, or a war-related ac- tent practicable, contain the informa-
tivity, that poses a risk of death, seri- tion required under § 211.9(a) and (b).
ous illness, severe injury, or substan- The petition should at a minimum de-
tial property damage. The disaster may scribe the following: how the petitioner
be local, regional, or national in scope. or public is affected by the emergency
(b) Emergency Relief Docket. Each cal- (including the impact on railroad oper-
endar year FRA creates an Emergency ations); what FRA regulations are im-
Relief Docket (ERD) in the publicly ac-
plicated by the emergency (e.g., move-
cessible Federal eRulemaking Portal
ment of defective equipment); how
(FeP). The FeP can be accessed 24
waiver of the implicated regulations
hours a day, seven days a week, via the
would benefit petitioner during the
Internet at the docket’s Web site at
emergency; and how long the peti-
http://www.regulations.gov. All docu-
tioner expects to be affected by the
ments in the FeP are available for in-
emergency.
spection and copying on the Web site
or are available for examination at the (f) Filing requirements. Petitions filed
DOT Docket Management Facility, under this section, shall be submitted
West Building Ground Floor, Room using any of the following methods:
W12–140, 1200 New Jersey Ave., SE., (1) E-mail to FRA at:
Washington, DC 20590 during regular RRS.Correspondence@fra.dot.gov;
business hours (9 a.m.–5 p.m.). By Janu- (2) Facsimile to FRA at: 202–493–6309;
ary 31st of each year, FRA publishes a or
notice in the FEDERAL REGISTER identi- (3) Mail to FRA at: FRA Docket
fying by docket number the ERD for Clerk, Office of Chief Counsel, RCC–10,
that year. A notice will also be placed Mail Stop 10, 1200 New Jersey Ave. SE.,
in the previous year’s ERD identifying Washington, DC 20590, facsimile no.
the new docket number. 202–493–6068.
(c) Determining the existence of an (g) FRA Handling and Initial Review.
emergency event or an emergency situa- Upon receipt and initial review of a pe-
tion. If the Administrator determines tition for waiver, to verify that it
that an emergency event or an emer- meets the criteria for use of these
gency situation identified in paragraph emergency procedures, FRA will add
(a) of this section has occurred, or that the petition to the ERD. The FeP num-
an imminent threat of it occurring ex- bers each document that is added to a
ists, and determines that public safety docket. (For example, the first docu-
or recovery efforts require that the ment submitted to the docket in 2009
provisions of this section be imple- will be identified as FRA–2009–XXX–1.)
mented, the Administrator will acti- Thus, each petition submitted to the
vate the Emergency Relief Docket ERD will have a unique document
identified in paragraph (b) of this sec- number which should be identified on
75
§ 211.47 49 CFR Ch. II (10–1–11 Edition)
all communications related to peti- (2) Arrange a public hearing pursuant

tions contained in this docket. If FRA to the provisions contained in 49 CFR
determines that the petition does not part 211; or
meet the criteria for use of these emer- (3) Determine that a public hearing is
gency procedures, FRA will notify the unnecessary, inconsistent with safety,
petitioner and will process the petition or not in the public interest.
under normal waiver procedures of this (j) Decisions. FRA may grant a peti-
subpart. tion for waiver without prior notice
(h) Comments. Although the Adminis- and comment if the Administrator de-
trator may waive compliance with any termines that it is in the public inter-
part of a regulation prescribed or order est to grant the waiver; the waiver is
issued without prior notice and com-
not inconsistent with railroad safety;
ment, comments may be submitted.
and the waiver is necessary to address
Comments should be submitted as soon
an actual or impending emergency sit-
as possible, after a petition is available
on the FeP. Any comment received will uation or emergency event. The Ad-
be considered to the extent practicable. ministrator will state in the decision
All comments should identify the ap- issued under this section the reasons
propriate ERD and should identify the for granting the waiver.
specific document number of the peti- (1) FRA reserves the right to reopen
tion designated by the FeP in the ERD. any docket and reconsider any decision
Interested parties commenting on a pe- made pursuant to these emergency pro-
tition under this section should also in- cedures based upon its own initiative
clude in their comments to the ERD or based upon information or com-
telephone numbers at which their rep- ments otherwise received.
resentatives may be reached. Inter- (2) FRA decision letters, either
ested parties may submit their com- granting or denying a petition, will be
ments using any of the following meth- posted in the appropriate ERD and will
ods: reference the document number of the
(1) E-mail to FRA at: petition to which it relates.
RRS.Correspondence@fra.dot.gov. (3) A waiver under this section may
(2) Facsimile to FRA at: 202–493–6309. be issued for a period of not more that
(3) Mail to the Docket Clerk, DOT 60 days and may be renewed upon appli-
Docket Management Facility, West cation to the Administrator only after
Building Ground Floor, Room W12–140, notice and an opportunity for a hearing
1200 New Jersey Ave., SE., Washington, on the waiver. The Administrator will
DC 20590 or electronically via the inter-
immediately revoke the waiver if con-
net at http://www.regulations.gov. Any
tinuation of the waiver would not be
comments or information sent directly
consistent with the goals and objec-
to FRA will be immediately provided
tives of this part.
to the DOT FeP for inclusion in the
ERD. (4) In granting a waiver under this
(i) Request for hearing. Although the section, the Administrator will consult
Administrator may waive compliance and coordinate with other Federal
with any part of a regulation pre- agencies, as appropriate, for matters
scribed or order issued without prior that may significantly impact such
notice and comment, parties desiring a agencies.
public hearing on any petition being [74 FR 23335, May 19, 2009]
processed under this section must no-
tify FRA through the comment process
identified in paragraph (h) of this sec- Subpart D—Emergency Orders
tion within 72 hours from the close of
§ 211.47 Review procedures.
business on the day that the petition is
entered into and available on the FeP. (a) As specified in section 203, Public
In response to a request for a public Law 91–458, 84 Stat. 972 (45 U.S.C. 432),
hearing, FRA may: opportunity for review of Emergency
(1) Arrange a telephone conference orders issued under that section will be
between all interested parties to pro- provided in accordance with section 554
vide an opportunity for oral comment; of title 5 of the U.S.C. Petitions for
76
such review must be submitted in writ- ISTER, an opportunity is provided for

ing to the Office of Chief Counsel, Fed- public comment, and a hearing is held
eral Railroad Administration, Wash- in accordance with § 211.25, before the
ington, DC 20590. Upon receipt of a pe- FRA approved test program is imple-
tition, FRA will immediately contact mented.
the petitioner and make the necessary (c) When the Administrator approves
arrangements for a conference to be suspension of compliance with any rule
held at the earliest date acceptable to in connection with a test program, a
the petitioner. At this conference, the description of the test program con-
petitioner will be afforded an oppor- taining an explanatory statement re-
tunity to submit facts, arguments and sponsive to paragraph (a) of this sec-
proposals for modification or with- tion is published in the FEDERAL REG-
drawal of the Emergency order. If the ISTER.
controversy is not resolved at the con-
ference and a hearing is desired, the pe- § 211.53 Signal applications.
titioner must submit a written request Applications for approval of dis-
for a hearing within 15 days after the continuance or material modification
conference. The hearing will commence of a signal system authorized by part
within 14 calendar days f receipt of the 235 or waiver of a requirement of part
request and will be conducted in ac- 236 of this chapter must be submitted
cordance with sections 556 and 575, title in accordance with § 211.7, handled in
5, U.S.C. Each petition for review shall accordance with procedures set forth in
be decided not later than 3 months part 235 or 236, respectively, and de-
after receipt. cided not later than 9 months after re-
(b) Unless stayed or modified by the ceipt. When a decision is issued, the ap-
Administrator, the requirements of plicant and other interested parties are
each Emergency order shall remain in notified or a notice is published in the
effect and be observed pending decision FEDERAL REGISTER.
on a petition for review.
FR 25171, May 27, 2009]
Subpart E—Miscellaneous Safety-
Related Proceedings and Inquiries § 211.55 Special approvals.
§ 211.51 Tests. Requests for special approval per-
taining to safety not otherwise pro-
(a) Pursuant to the Department of
vided for in this chapter, must be sub-
Transportation Act (80 Stat. 931, 49
mitted in accordance with § 211.7; speci-
U.S.C. 1651 et seq.), the Federal Rail-
fying the action requested. These re-
road Safety Act of 1970 (84 Stat. 971, 45
quests shall be considered by the Rail-
U.S.C. 421, 431–441), or both, the Admin-
road Safety Board and appropriate ac-
istrator may temporarily suspend com-
tion shall be taken not later than 9
pliance with a substantive rule of the
months after receipt. When a decision
Federal Railroad Administration, if:
is issued, the requestor and other inter-
(1) The suspension is necessary to the
ested parties are notified or a notice is
conduct of a Federal Railroad Adminis-
published in the FEDERAL REGISTER.
tration approved test program designed
to evaluate the effectiveness of new [41 FR 54181, Dec. 13, 1976, as amended at 74
technology or operational approaches FR 25171, May 27, 2009]
or instituted in furtherance of a
present or proposed rulemaking pro- § 211.57 Petitions for reconsideration.
ceeding; (a) Any person may petition the Ad-
(2) The suspension is limited in scope ministrator for reconsideration of final
and application to such relief as may action taken in proceedings subject to
be necessary to facilitate the conduct subpart C or E of this part.
of the test program; and (b) The petition must specify with
(3) The suspension is conditioned on particularity the grounds for modifica-
the observance of standards sufficient tion or revocation of the action in
to assure safety. question.
(b) When required by statute, a no- (c) The Administrator does not con-
tice is published in the FEDERAL REG- sider repetitious petitions.
77
§ 211.59 49 CFR Ch. II (10–1–11 Edition)
(d) Unless the Administrator specifi- § 211.71 General.

cally provides otherwise, and gives no-
(a) This subpart consists of interim
tice to interested parties or publishes
notice in the FEDERAL REGISTER, the procedures for the review of emergency
filing of a petition under this section orders issued under section 203 of the
does not stay the effectiveness of the Federal Railroad Safety Act of 1970,
action sought to be reconsidered. supplementing § 211.47 of this part.
(b) Proceedings under this subpart
§ 211.59 Proceedings on petitions for are subject to the requirements of 5
reconsideration. U.S.C. 554–559.
(a) The Administrator may invite (c) Notwithstanding § 211.1 of this
public comment or seek a response part, as used in this subpart Adminis-
from the party at whose request the trator means the Federal Railroad Ad-
final action was taken before deciding ministrator or Deputy Administrator.
a petition for reconsideration sub-
mitted under § 211.57. § 211.73 Presiding officer; powers.
(b) The Administrator may reaffirm, (a) An administrative hearing for the
modify, or revoke the final action review of an emergency order is pre-
without further proceedings and shall sided over by the Administrator or by
issue notification of his decision to the an administrative law judge designated
petitioner and other interested parties at the request of FRA pursuant to 5
or publish a notice in the FEDERAL CFR 930.213.
REGISTER. Each petition for reconsider- (b) The presiding officer may exercise
ation shall be decided not later than 4
the powers of the FRA to regulate the
months after receipt. Petitions for re-
conduct of the hearing and associated
consideration relating to the same rule
proceedings for the purpose of achiev-
may be consolidated for decision. In
the event the Administrator deter- ing a prompt and fair determination of
mines to reconsider a final action, and all material issues in controversy.
appropriate notice is published in the (c) The final decision of the presiding
FEDERAL REGISTER. officer shall set forth findings and con-
clusions based on the administrative
§ 211.61 Informal safety inquiries. record. That decision may set aside,
The Administrator may conduct in- modify or affirm the requirements of
formal safety inquiries to collect infor- the emergency order under review.
mation on selected topics relating to (d) Except as provided in § 211.77, the
railroad safety. A notice of each such decision of the presiding officer is ad-
inquiry will be published in the FED- ministratively final.
ERAL REGISTER outlining the area of in-
quiry and inviting interested persons § 211.75 Evidence.
to assist by submitting written mate- (a) The Federal Rules of Evidence for
rial or participating in informal public United States Courts and Magistrates
conferences and discussions. Upon com- shall be employed as general guidelines
pletion of the inquiry, the Adminis- for the introduction of evidence in pro-
trator will review the information ob- ceedings under this subpart. However,
tained and may, on his own motion, except as provided in paragraph (b) of
initiate a rulemaking proceeding under this section, all relevant and probative
§ 211.13 or take whatever other action evidence offered by a party shall be re-
he deems appropriate. ceived in evidence.
(b) The presiding officer may deny
Subpart F—Interim Procedures for the admission of evidence which is de-
the Review of Emergency Orders termined to be—
(1) Unduly repetitive; or
AUTHORITY: Secs. 203 and 208(a), 84 Stat. (2) So extensive and lacking in rel-
972, 974–975 (45 U.S.C. 432, 437(a)) and 5 U.S.C. evance or probative effect that its ad-
554–559. mission would impair the prompt, or-
SOURCE: 44 FR 13029, Mar. 9, 1979, unless derly, and fair resolution of the pro-
otherwise noted. ceeding.
78
§ 211.77 Appeal to the Administrator. tain to any significant point of connection to

the general system, such as a rail crossing at
(a) Any party aggrieved by the final grade, a shared method of train control, or
decision of a presiding officer (other shared highway-rail grade crossings.
than the Administrator) may appeal to 4. Shared use of track refers to situations
the Administrator. The appeal must be where light rail transit operators conduct
filed within twenty (20) days from their operations over the lines of the general
issuance of the presiding officer’s deci- system, and includes light rail operations
sion and must set forth the specific ex- that are wholly separated in time (tem-
porally separated) from conventional oper-
ceptions of the party to the decision,
ations as well as light rail operations oper-
making reference to the portions of the ating on the same trackage at the same time
administrative record which are be- as conventional rail equipment (simulta-
lieved to support the exceptions. The neous joint use). Where shared use of general
notice of appeal and any supporting pa- system trackage is contemplated, FRA be-
pers shall be accompanied by a certifi- lieves a comprehensive waiver request cov-
cate stating that they have been served ering all rules for which a waiver is sought
on all parties to the proceeding. makes the most sense. FRA suggests that a
(b) [Reserved] petitioner caption such a waiver petition as
a Petition for Approval of Shared Use so as
APPENDIX A TO PART 211—STATEMENT to distinguish it from other types of waiver
petitions. The light rail operator should file
OF AGENCY POLICY CONCERNING
the petition. All other affected railroads will
WAIVERS RELATED TO SHARED USE be able to participate in the waiver pro-
OF TRACKAGE OR RIGHTS-OF-WAY BY ceedings by commenting on the petition and
LIGHT RAIL AND CONVENTIONAL OP- providing testimony at a hearing on the peti-
ERATIONS tion if anyone requests such a hearing. If any
other railroad will be affected by the pro-
1. By statute, the Federal Railroad Admin- posed operation in such a way as to neces-
istration (FRA) may grant a waiver of any sitate a waiver of any FRA rule, that rail-
rule or order if the waiver ‘‘is in the public road may either join with the light rail oper-
interest and consistent with railroad safe- ator in filing the comprehensive petition or
ty.’’ 49 U.S.C. 20103(d). Waiver petitions are file its own petition.
reviewed by FRA’s Railroad Safety Board
5. In situations where the light rail oper-
(the ‘‘Safety Board’’) under the provisions of
ator is an urban rapid transit system that
49 CFR part 211. Waiver petitions must con-
will share a right-of-way or corridor with the
tain the information required by 49 CFR
conventional railroad but not share track-
211.9. The Safety Board can, in granting a
age, any waiver petition should cover only
waiver, impose any conditions it concludes
the rules that may apply at any significant
are necessary to assure safety or are in the
public interest. If the conditions under which points of connection between the rapid tran-
the waiver was granted change substantially, sit line and the other railroad. A Petition for
or unanticipated safety issues arise, FRA Approval of Shared Use would not be appro-
may modify or withdraw a waiver in order to priate in such a case.
ensure safety. I. PRELIMINARY JURISDICTIONAL
2. Light rail equipment, commonly re- DETERMINATIONS
ferred to as trolleys or street railways, is not
designed to be used in situations where there Where a light rail operator is uncertain
is a reasonable likelihood of a collision with whether the planned operation will be sub-
much heavier and stronger conventional rail ject to FRA’s safety jurisdiction and, if so,
equipment. However, existing conventional to what extent, the operator may wish to ob-
railroad tracks and rights-of-way provide at- tain FRA’s views on the jurisdictional issues
tractive opportunities for expansion of light before filing a waiver petition. In that case,
rail service. the light rail operator (here including a tran-
3. Light rail operators who intend to share sit authority that may not plan to actually
use of the general railroad system trackage operate the system itself) should write to
with conventional equipment and/or whose FRA requesting such a determination. The
operations constitute commuter service (see letter should be addressed to Chief Counsel,
appendix A of 49 CFR part 209 for relevant Federal Railroad Administration, 1200 New
definitions) will either have to comply with Jersey Avenue, SE., Mail Stop 10, Wash-
FRA’s safety rules or obtain a waiver of ap- ington, DC 20590, with a copy to the Asso-
propriate rules. Light rail operators whose ciate Administrator for Safety at the same
operations meet the definition of urban rapid address at Mail Stop 25. The letter should ad-
transit and who will share a right-of-way or dress the criteria (found in 49 CFR part 209,
corridor with a conventional railroad but appendix A) FRA uses to determine whether
will not share trackage with that railroad it has jurisdiction over a rail operation and
will be subject to only those rules that per- to distinguish commuter from urban rapid
79
transit service. A complete description of the will not be shared by a conventional rail-
nature of the contemplated operation is es- road, describe those segments and their con-
sential to an accurate determination. FRA nection with the shared use segments. If the
will attempt to respond promptly to such a petitioner has not previously sought and re-
request. Of course, FRA’s response will be ceived a determination from FRA concerning
based only on the facts as presented by the jurisdictional issues, explain, using the cri-
light rail operator. If FRA subsequently teria set out in 49 CFR part 209, Appendix A,
learns that the facts are different from those whether the light rail operation is, in the pe-
presented or have changed substantially, titioner’s view, a commuter operation or
FRA may revise its initial determination. urban rapid transit.
•You should describe precisely what the re-
II. GENERAL FACTORS TO ADDRESS IN A spective hours of operation will be for each
PETITION FOR APPROVAL OF SHARED USE type of equipment on the shared use seg-
1. Like all waiver petitions, a Petition for ments. If light rail and conventional oper-
Approval of Shared Use will be reviewed by ations will occur only at different times of
the Safety Board. A non-voting FTA liaison day, describe what means of protection will
to the Safety Board will participate in an ad- ensure that the different types of equipment
visory capacity in the Safety Board’s consid- are not operated simultaneously on the same
eration of all such petitions. This close co- track, and how protection will be provided to
operation between the two agencies will en- ensure that, where one set of operations be-
sure that FRA benefits from the insights, gins and the other ends, there can be no
particularly with regard to operational and overlap that would possibly result in a colli-
financial issues, that FTA can provide about sion.
light rail operations, as well as from FTA’s •If the light rail and conventional oper-
knowledge of and contacts with state safety ations will share trackage during the same
oversight programs. This working relation- time periods, the petitioners will face a steep
ship will also ensure that FTA has a fuller burden of demonstrating that extraordinary
appreciation of the safety issues involved in safety measures will be taken to adequately
each specific shared use operation and a reduce the likelihood of a collision between
voice in shaping the safety requirements conventional and light rail equipment to the
that will apply to such operations. point where the safety risks associated with
2. FRA resolves each waiver request on its joint use would be acceptable. You should ex-
own merits based on the information pre- plain the nature of such simultaneous joint
sented and the agency’s own investigation of use, the system of train control, the fre-
the issues. In general, the greater the safety quency and proximity of both types of oper-
risks inherent in a proposed operation the ations, the training and qualifications of all
greater will be the mitigation measures re- operating personnel in both types of oper-
quired. While FRA cannot state in advance ations, and all methods that would be used
what kinds of waivers will be granted or de- to prevent collisions. You should also in-
nied, we can provide guidance to those who clude a quantitative risk assessment con-
may likely be requesting waivers to help en- cerning the risk of collision between the
sure that their petitions address factors that light rail and conventional equipment under
FRA will no doubt consider important. the proposed operating scenario.
3. FRA’s procedural rules give a general de- B. Description of equipment. (1) You should
scription of what any waiver petition should describe all equipment that will be used by
contain, including an explanation of the na- the light rail and conventional operations.
ture and extent of the relief sought; a de- Where the light rail equipment does not
scription of the persons, equipment, installa- meet the standards of 49 CFR part 238, you
tions, and locations to be covered by the should provide specifics on the crash surviv-
waiver; an evaluation of expected costs and ability of the light rail equipment, such as
benefits; and relevant safety data. 49 CFR static end strength, sill height, strength of
211.9. The procedural rules, of course, are not corner posts and collision posts, side
specifically tailored to situations involving strength, etc.
light rail operations over the general sys- (2) Given the structural incompatibility of
tem, where waiver petitions are likely to in- light rail and conventional equipment, FRA
volve many of FRA’s regulatory areas. In has grave concerns about the prospect of op-
such situations, FRA suggests that a Peti- erating these two types of equipment simul-
tion for Approval of Shared Use address the taneously on the same track. If the light rail
following general factors. and conventional operations will share
A. Description of operations. You should ex- trackage during the same time periods, you
plain the frequency and speeds of all oper- should provide an engineering analysis of the
ations on the line and the nature of the dif- light rail equipment’s resistance to damage
ferent operations. You should explain the na- in various types of collisions, including a
ture of any connections between the light worst case scenario involving a failure of the
rail and conventional operations. collision avoidance systems resulting in a
•If the light rail line will operate on any collision between light rail and conventional
segments (e.g., a street railway portion) that equipment at track speeds.
80
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
vided by the alternative measures the peti- FRA rules based on limited, but significant
tioner proposes. connections to the general system.
(1) Most light rail operations that entail 1. Rail crossings at grade. Where a light rail
some shared use of the general system will operation and a conventional railroad have a
also have segments that are not on the gen- crossing at grade, several FRA rules may
eral system. FTA’s rules on rail fixed guide- apply to the light rail operation at the point
way systems will probably apply to those of connection. If movements at the crossing
other segments. If so, the petition for waiver are governed by a signal system, FRA’s sig-
of FRA’s rules should explain how the sys- nal rules (49 CFR parts 233, 235, and 236)
tem safety program plan adopted under apply, as do the signal provisions of the
FTA’s rules may affect safety on the por- hours of service statute, 49 U.S.C. 21104. To
tions of the system where FRA’s rules apply. the extent radio communication is used to
Under certain circumstances, effective im- direct the movements, the radio rules (part
plementation of such a plan may provide 220) apply. The track rules (part 213) cover
FRA sufficient assurance that adequate any portion of the crossing that may affect
measures are in place to warrant waiver of the movement of the conventional railroad.
certain FRA rules. Of course, if the conventional railroad has
(2) In its petition, the light rail operator responsibility for compliance with certain of
may want to certify that the subject matter the rules that apply at that point (for exam-
addressed by the rule to be waived is ad- ple, where the conventional railroad main-
dressed by the system safety plan and that tains the track and signals and dispatches
the light rail operation will be monitored by all trains), the light rail operator will not
the state safety oversight program. That is have compliance responsibility for those
likely to expedite FRA’s processing of the rules and would not need a waiver.
petition. FRA will analyze information sub- 2. Shared train control systems. Where a
mitted by the petitioner to demonstrate that light rail operation is governed by the same
a safety matter is addressed by the light rail train control system as a conventional rail-
operator’s system safety plan. Alternately, road (e.g., at a moveable bridge that they
conditional approval may be requested at an both traverse), the light rail operator will be
early stage in the project, and FRA would subject to applicable FRA rules (primarily
thereafter review the system safety program the signal rules in parts 233, 235, and 236) if
plan’s status to determine readiness to com- it has maintenance or operating responsi-
mence operations. Where FRA grants a waiv- bility for the system.
er, the state agency will oversee the area ad- 3. Highway-Rail Grade Crossings. Light rail
dressed by the waiver, but FRA will actively operations over highway-rail grade crossings
participate in partnership with FTA and the also used by conventional trains will be sub-
state agency to address any safety problems. ject to FRA’s rules on grade crossing signal
D. Documentation of agreement with affected system safety (part 234) and the requirement
railroads. Conventional railroads that will to have auxiliary lights on locomotives (49
share track with the light rail operation CFR 229.125). Even if the conventional rail-
need not join as a co-petitioner in the light road maintains the crossing, the light rail
rail operator’s petition. However, the peti- operation will still be responsible for report-
tion should contain documentation of the ing and taking appropriate actions in re-
precise terms of the agreement between the sponse to warning system malfunctions.
light rail operator and the conventional rail- In any of these shared right-of-way situa-
road concerning any actions that the con- tions involving significant connections, the
ventional railroad must take to ensure effec-
light rail operator may petition for a waiver
tive implementation of alternative safety
of any rules that apply to its activities.
measures. For example, if temporal separa-
tion is planned, FRA expects to see the con- IV. FACTORS TO ADDRESS RELATED TO
ventional railroad’s written acceptance of its SPECIFIC REGULATIONS AND STATUTES
obligations to ensure that the separation is
achieved. Moreover, if the arrangements for Operators of light rail systems are likely
the light rail service will require the conven- to apply for waivers of many FRA rules. FRA
tional railroad to employ any alternative offers the following suggestions on factors
safety measures rather than strictly comply petitioners may want to address concerning
with FRA’s rules, that railroad will have to specific areas of regulation. (All ‘‘part’’ ref-
seek its own waiver (or join in the light rail erences are to title 49 CFR.) Parts 209 (Rail-
operator’s petition). road Safety Enforcement Procedures), 211
81
(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
FRA’s standards do not apply and the peti- of, a report to FRA within the required time
tion need not address those segments with frame (24 hours for an accident report, or 15
regard to each specific rule from which waiv- days for a grade crossing signal system acti-
ers are sought with regard to shared use vation failure report). The petition should
trackage. explain whether the light rail operator or
conventional railroad is responsible for
1. Track, structures, and signals. maintaining the grade crossing devices. As-
suming that the light rail operator (or a con-
A. Track safety standards (part 213). For
tractor hired by this operator) has responsi-
general system track used by both the con-
bility for maintaining the grade crossing de-
ventional and light rail lines, the track
vices, that entity is the logical choice to file
standards apply and a waiver is very un- each grade crossing signal failure report, and
likely. A light rail operation that owns track a waiver is very unlikely. Moreover, since a
over which the conventional railroad oper- grade crossing warning device failure first
ates may wish to consider assigning respon- observed by a light rail operator can later
sibility for that track to the other railroad. have catastrophic consequences for a con-
If so, the track owner must follow the proce- ventional railroad using the same track, a
dure set forth in 49 CFR 213.5(c). Where such waiver would jeopardize rail safety on that
an assignment occurs, the owner and as- general system trackage. However, if the
signee are responsible for compliance. conventional railroad is responsible for
B. Signal systems reporting requirements (part maintaining the grade crossing devices, the
233). This part contains reporting require- light rail operator will still have to assist
ments with respect to methods of train oper- the railroad in reporting all grade crossing
ation, block signal systems, interlockings, signal failures. Moreover, regardless of
traffic control systems, automatic train which railroad is responsible for mainte-
stop, train control, and cab signal systems, nance of the grade crossing signals, any rail-
or other similar appliances, methods, and road (including a light rail operation) oper-
systems. If a signal system failure occurs on ating over a crossing that has experienced an
general system track which is used by both activation failure, partial activation, or
conventional and light rail lines, and trig- false activation must take the steps required
gers the reporting requirements of this part, by this rule to ensure safety at those loca-
the light rail operator must file, or cooper- tions. While the maintaining railroad will
ate fully in the filing of, a signal system re- retain all of its responsibilities in such situa-
port. The petition should explain whether tions (such as contacting train crews and no-
the light rail operator or conventional rail- tifying law enforcement agencies), the oper-
road is responsible for maintaining the sig- ating railroad must observe requirements
nal system. Assuming that the light rail op- concerning flagging, train speed, and use of
erator (or a contractor hired by this oper- the locomotive’s audible warning device.
ator) has responsibility for maintaining the D. Approval of signal system modifications
signal system, that entity is the logical (part 235). This part contains instructions
choice to file each signal failure report, and governing applications for approval of a dis-
a waiver is very unlikely. Moreover, since a continuance or material modification of a
signal failure first observed by a light rail signal system or relief from the regulatory
operator can later have catastrophic con- requirements of part 236. In the case of a sig-
sequences for a conventional railroad using nal system located on general system track
the same track, a waiver would jeopardize which is used by both conventional and light
rail safety on that general system trackage. rail lines, a light rail operation is subject to
Even if the conventional railroad is respon- this part only if it (or a contractor hired by
sible for maintaining the signal systems, the the operator) owns or has responsibility for
light rail operator must still assist the rail- maintaining the signal system. If the con-
road in reporting all signal failures by noti- ventional railroad does the maintenance,
fying the conventional railroad of such fail- then that railroad would file any application
ures. submitted under this part; the light rail op-
C. Grade crossing signal system safety (part eration would have the right to protest the
234). This part contains minimum standards application under § 235.20. The petition
for the maintenance, inspection, and testing should discuss whether the light rail oper-
of highway-rail grade crossing warning sys- ator or conventional railroad is responsible
tems, and also prescribes standards for the for maintaining the signal system.
82
E. Standards for signal and train control sys- tion 215.305, this part does not otherwise
tems (part 236). This part contains rules, apply, and a waiver would seem unnecessary.
standards, and instructions governing the in- C. Rear end marking devices (part 221). This
stallation, inspection, maintenance, and re- part requires that each train occupying or
pair of signal and train control systems, de- operating on main line track be equipped
vices, and appliances. In the case of a signal with, display, and continuously illuminate
system located on general system track or flash a marking device on the trailing end
which is used by both conventional and light of the rear car during periods of darkness or
rail lines, a light rail operation is subject to other reduced visibility. The device, which
this part only if it (or a contractor hired by must be approved by FRA, must have spe-
the operation) owns or has responsibility for cific intensity, beam arc width, color, and
installing, inspecting, maintaining, and re- flash rate characteristics. A light rail oper-
pairing the signal system. If the light rail ation seeking a waiver of this part will need
operation has these responsibilities, a waiver to explain how other marking devices with
would be unlikely because a signal failure which it equips its vehicles, or other means
would jeopardize the safety of both the light such as train control, will provide the same
rail operation and the conventional railroad. assurances as this part of a reduced likeli-
If the conventional railroad assumes all of hood of collisions attributable to the failure
the responsibilities under this part, the light of an approaching train to see the rear end of
rail operation would not need a waiver, but a leading train in time to stop short of it
it would have to abide by all operational lim- during periods of reduced visibility. The pe-
itations imposed this part and by the con- tition should describe the light rail vehicle’s
ventional railroad. The petition should dis- existing marking devices (e.g., headlights,
cuss whether the light rail operator or con- brakelights, taillights, turn signal lights),
ventional railroad has responsibility for in- and indicate whether the vehicle bears re-
stalling, inspecting, maintaining, and repair- flectors. If the light rail system will operate
ing the signal system. in both a conventional railroad environment
and in streets mixed with motor vehicles,
2. Motive power and equipment. the petition should discuss whether adapting
the design of the vehicle’s lighting charac-
A. Railroad noise emission compliance regula-
teristics to conform to FRA’s regulations
tions (part 210). FRA issued this rule under
would adversely affect the safety of its oper-
the Noise Control Act of 1972, 42 U.S.C. 4916,
ations in the street environment. A light rail
rather than under its railroad safety author-
system that has a system safety program de-
ity. Because that statute included a defini-
veloped under FTA’s rules may choose to dis-
tion of ‘‘railroad’’ borrowed from one of the cuss how that program addresses the need
older railroad safety laws, this part has an for equivalent levels of safety when its vehi-
exception for ‘‘street, suburban, or inter- cles operate on conventional railroad cor-
urban electric railways unless operated as a ridors.
part of the general railroad system of trans-
D. Safety glazing standards (part 223). This
portation.’’ 49 CFR 210.3(b)(2). The petition
part provides that passenger car windows be
should address whether this exception may
equipped with FRA-certified glazing mate-
apply to the light rail operation. Note that
rials in order to reduce the likelihood of in-
this exception is broader than the sole excep- jury to railroad employees and passengers
tion to the railroad safety statutes (i.e., from the breakage and shattering of windows
urban rapid transit not connected to the gen- and avoid ejection of passengers from the ve-
eral system). The greater the integration of hicle in a collision. This part, in addition to
the light rail and conventional operations, requiring the existence of at least four emer-
the less likely this exception would apply. gency windows, also requires window mark-
If the light rail equipment would normally ings and operating instructions for each
meet the standards in this rule, there would emergency window, as well as for each win-
be no reason to seek a waiver of it. If it ap- dow intended for emergency access, so as to
pears that the light rail system would nei- provide the necessary information for evacu-
ther meet the standards nor fit within the ation of a passenger car. FRA will not per-
exception, the petition should address noise mit operations to occur on the general sys-
mitigation measures used on the system, es- tem in the absence of effective alternatives
pecially as part of a system safety program. to the requirements of this part that provide
Note, however, that FRA lacks the authority an equivalent level of safety. The petition
to waive certain Environmental Protection should explain what equivalent safeguards
Agency standards (40 CFR part 201) that un- are in place to provide the same assurance as
derlie this rule. See 49 CFR 210.11(a). part 223 that passengers and crewmembers
B. Railroad freight car safety standards (part are safe from the effects of objects striking
215). A light rail operator is likely to move a light rail vehicle’s windows. The petition
freight cars only in connection with mainte- should also discuss the design characteristics
nance-of-way work. As long as such cars are of its equipment when it explains how the
properly stenciled in accordance with sec- safety of its employees and passengers will
83
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
equipment, some of these provisions may be freight car, but the legislative history shows
irrelevant to light rail equipment, and that that Congress intended the exemption to be
others may not fit properly in the context of used elsewhere so that ‘‘other types of rail-
light rail operations. A waiver petition road equipment might similarly benefit.’’ S.
should explain precisely how the light rail Rep. 96–614 at 8 (1980), reprinted in 1980
system’s practices will provide for the safe U.S.C.C.A.N. 1156,1164.
condition and operation of its locomotive (3) FRA recognizes the potential public
equipment. benefits of allowing light rail systems to
(2) FRA is not likely to waive completely take advantage of underutilized urban
the provision (section 229.125) of this rule freight rail corridors to provide service that,
concerning auxiliary lights designed to warn in the absence of the existing right-of-way,
highway motorists of an approaching train. would be prohibitively expensive. Any peti-
In order to reduce the risk of grade crossing tioner requesting an exemption for techno-
accidents, it is important that all loco- logical improvements should carefully ex-
motives used by both conventional railroads plain how being forced to comply with the
and light rail systems present the same dis- existing statutory safety appliance require-
tinctive profile to motor vehicle operators ments would conflict with the exemption ex-
approaching grade crossings on the general ceptions set forth at 49 U.S.C. 20306. The peti-
railroad system. If uniformity is sacrificed tion should also show that granting the ex-
by permitting light rail systems to operate emption is in the public interest and is con-
locomotives through the same grade cross- sistent with assuring the safety of the light
ings traversed by conventional trains with rail operator’s employees and passengers.
light arrangements placed in different loca- G. Safety appliance standards (part 231). (1)
tions on the equipment, safety could be com- The regulations in this part specify the req-
promised. Accordingly, the vehicle design uisite location, number, dimensions, and
should maintain the triangular pattern re- manner of application of a variety of rail-
quired of other locomotives and cab cars to road car safety appliances (e.g., handbrakes,
the extent practicable. ladders, handholds, steps), and directly im-
(3) FRA is aware that light rail headlights plement a number of the statutory require-
are likely to produce less than 200,000 can- ments found in 49 U.S.C. 20301–20305. These
dela. While some light rail operators may very detailed regulations are intended to en-
choose to satisfy the requirements of section sure that sufficient safety appliances are
229.125 by including lights on their equip- available and able to function safely and se-
ment of different candlepower controlled by curely as intended.
dimmer switches, the headlights on the ma- (2) FRA recognizes that due to the unique
jority of light rail vehicles will likely not characteristics of light rail equipment, some
meet FRA’s minimum requirement. How- of these provisions may be irrelevant to light
ever, based on the nature of the operations of rail operation, and that others may not fit
light rail transit, FRA recognizes that waiv- properly in the context of light rail oper-
ers of the minimum candela requirement for ations (e.g., crewmembers typically do not
transit vehicle headlights seems appropriate. perform yard duties from positions outside
F. Safety appliance laws (49 U.S.C. 20301– and adjacent to the light rail vehicle or near
20305). (1) Since certain safety appliance re- the vehicle’s doors). However, to the extent
quirements (e.g., automatic couplers) are that the light rail operation encompasses the
statutory, they can only be ‘‘waived’’ by safety risks addressed by the regulatory pro-
FRA under the exemption conditions set visions of this part, a waiver petition should
forth in 49 U.S.C. 20306. Because exemptions explain precisely how the light rail system’s
requested under this statutory provision do practices will provide for the safe operation
not involve a waiver of a safety rule, regula- of its passenger equipment. The petition
tion, or standard (see 49 CFR 211.41), FRA is should focus on the design specifications of
not required to follow the rules of practice the equipment, and explain how the light
for waivers contained in part 211. However, rail system’s operating practices, and its in-
whenever appropriate, FRA will combine its tended use of the equipment, will satisfy the
consideration of any request for an exemp- safety purpose of the regulations while pro-
tion under § 20306 with its review under part viding at least an equivalent level of safety.
84
H. Passenger equipment safety standards rules and that employees be instructed and
(part 238). This part prescribes minimum tested on compliance with them. A light rail
Federal safety standards for railroad pas- operation would not likely have difficulty
senger equipment. Since a collision on the complying with this part. However, if a waiv-
general railroad system between light rail er is desired, the light rail system should ex-
equipment and conventional rail equipment plain how other safeguards it has in place
could prove catastrophic, because of the sig- provide the same assurance that operating
nificantly greater mass and structural employees are trained and periodically test-
strength of the conventional equipment, a ed on the rules that govern train operation.
waiver petition should describe the light rail A light rail system that has a system safety
operation’s system safety program that is in program plan developed under FTA’s rules
place to minimize the risk of such a colli- may be in a good position to give such an as-
sion. The petition should discuss the light surance.
rail operation’s operating rules and proce- C. Railroad operating practices (part 218).
dures, train control technology, and signal This part requires railroads to follow certain
system. If the light rail operator and conven-
practices in various aspects of their oper-
tional railroad will operate simultaneously
ations (protection of employees working on
on the same track, the petition should in-
equipment, protection of trains and loco-
clude a quantitative risk assessment that in-
motives from collisions in certain situations,
corporates design information and provide
prohibition against tampering with safety
an engineering analysis of the light rail
equipment and its likely performance in de- devices, protection of occupied camp cars).
railment and collision scenarios. The peti- Some of these provisions (e.g., camp cars)
tioner should also demonstrate that risk may be irrelevant to light rail operations.
mitigation measures to avoid the possibility Others may not fit well in the context of
of collisions, or to limit the speed at which light rail operations. To the extent the light
a collision might occur , will be employed in rail operation presents the risks addressed
connection with the use of the equipment on by the various provisions of this part, a
a specified shared-use rail line. This part waiver provision should explain precisely
also contains requirements concerning power how the light rail system’s practices will ad-
brakes on passenger trains, and a petitioner dress those risks. FRA is not likely to waive
seeking a waiver in this area should refer to the prohibition against tampering with safe-
these requirements, not those found in 49 ty devices, which would seem to present no
CFR part 232. particular burden to light rail operations.
Moreover, blue signal regulations, which pro-
3. Operating practices. tect employees working on or near equip-
A. Railroad workplace safety (part 214). (1) ment, are not likely to be waived to the ex-
This part contains standards for protecting tent that such work is performed on track
bridge workers and roadway workers. The shared by a light rail operation and a con-
petition should explain whether the light ventional railroad, where safety may best be
rail operator or conventional railroad is reserved by uniformity.
sponsible for bridge work on shared general D. Control of alcohol and drug use (part 219).
system trackage. If the light rail operator FRA will not permit operations to occur on
does the work and does similar work on seg- the general system in the absence of effec-
ments outside of the general system, it may tive rules governing alcohol and drug use by
wish to seek a waiver permitting it to ob- operating employees. FTA’s own rules may
serve OSHA standards throughout its sys- provide a suitable alternative for a light rail
tem. system that is otherwise governed by those
(2) There are no comparable OSHA stand- rules. However, to the extent that light rail
ards protecting roadway workers. The peti- and conventional operations occur simulta-
tion should explain which operator is respon- neously on the same track, FRA is not likely
sible for track and signal work on the shared to apply different rules to the two oper-
segments. If the light rail operator does this ations, particularly with respect to post-ac-
work, the petition should explain how the cident testing, for which FRA requirements
light rail operator protects these workers. are more extensive (e.g., section 219.11(f) ad-
However, to the extent that protection var- dresses the removal, under certain cir-
ies significantly from FRA’s rules, a waiver cumstances, of body fluid and/or tissue sam-
permitting use of the light rail system’s ples taken from the remains of any railroad
standards could be very confusing to train employee who performs service for a rail-
crews of the conventional railroad who fol- road). (FRA recognizes that in the event of a
low FRA’s rules elsewhere. A waiver of this fatal train accident involving a transit vehi-
rule is unlikely. A petition should address cle, whether involving temporal separation
how such confusion would be avoided and or simultaneous use of the same track, the
safety of roadway workers would be ensured. National Transportation Safety Board will
B. Railroad operating rules (part 217). This likely investigate and obtain its own toxi-
part requires filing of a railroad’s operating cology test results.)
85
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
F. Railroad accident/incident reporting (part of covered service described in 49 U.S.C.
225). (1) FRA’s accident/incident information 21101. If an individual performs more than
is very important in the agency’s decision- one kind of covered service during a tour of
making on regulatory issues and strategic duty, then the most restrictive of the appli-
planning. A waiver petition should indicate cable limitations control. Under current law,
precisely what types of accidents and inci- a light rail operation could request a waiver
dents it would report, and to whom, under of the substantive provisions of the hours of
any alternative it proposes. FRA is not like- service laws only under the ‘‘pilot project’’
ly to waive its reporting requirements con- provision described in 49 U.S.C. 21108, pro-
cerning train accidents or highway-rail vided that the request is based upon a joint
grade crossing collisions that occur on the petition submitted by the railroad and its af-
general railroad system. Reporting of acci- fected labor organizations. Because waivers
dents under FTA’s rules is quite different requested under this statutory provision do
and would not provide an effective sub- not involve a waiver of a safety rule, regula-
stitute. However, with regard to employee tion, or standard (see 49 CFR 211.41), FRA is
injuries, the light rail operation may, absent not required to follow the rules of practice
FRA’s rules, otherwise be subject to report- for waivers contained in part 211. However,
ing requirements of FTA and OSHA and may whenever appropriate, FRA will combine its
have an interest in uniform reporting of consideration of any request for a waiver
those injuries wherever they occur on the under § 21108 with its review under part 211 of
system. Therefore, it is more likely that a light rail operation’s petition for waivers
FRA would grant a waiver with regard to re- of FRA’s regulations.
porting of employee injuries. (2) If such a statutory waiver is desired,
(2) Any waiver FRA may grant in the acci- the light rail system will need to assure FRA
dent/incident reporting area would have no that the waiver of compliance is in the pub-
effect on FRA’s authority to investigate lic interest and consistent with railroad safe-
such incidents or on the duties of light rail ty. The waiver petition should include a dis-
operators and any other affected railroads to cussion of what fatigue management strate-
cooperate with those investigations. See sec- gies will be in place for each category of cov-
tions 225.31 and 225.35 and 49 U.S.C. 20107 and ered employees in order to minimize the ef-
20902. Light rail operators should anticipate fects of fatigue on their job performance.
that FRA will investigate any serious acci- However, FRA is unlikely to grant a statu-
dent or injury that occurs on the shared use tory waiver covering employees of a light
portion of their lines, even if it occurs during rail operation who dispatch the trains of a
hours when only the light rail trains are op- conventional railroad or maintain a signal
erating. Moreover, there may be instances system affecting shared use trackage.
when FRA will work jointly with FTA and H. Hours of service recordkeeping (part 228).
the state agency to investigate the cause of This part prescribes reporting and record-
a transit accident that occurs off the general keeping requirements with respect to the
system under circumstances that raise con- hours of service of employees who perform
cerns about the safety of operations on the the job functions set forth in 49 U.S.C. 21101.
shared use portions. For example, if a transit As a general rule, FRA anticipates that any
operator using the same light rail equipment waivers granted under this part will only ex-
on the shared and non-shared-use portions of empt the same groups of employees for
its operation has a serious accident on the whom a light rail system has obtained a
non-shared-use portion, FRA may want to waiver of the substantive provisions of the
determine whether the cause of the accident hours of service laws under 49 U.S.C. 21108.
pointed to a systemic problem with the Since it is important that FRA be able to
equipment that might impact the transit verify that a light rail operation is com-
system’s operations on the general system. plying with the on- and off-duty restrictions
Similarly, where human error might be a of the hour of service laws for all employees
factor, FRA may want to determine whether not covered by a waiver of the laws’ sub-
the employee potentially at fault also has stantive provisions, it is unlikely that any
safety responsibilities on the general system waiver granted of the reporting and record-
and, if so, take appropriate action to ensure keeping requirements would exclude those
86
employees. However, in a system with fixed multaneously on the same track with con-
work schedules that do not approach 12 ventional equipment, FRA will not be in-
hours on duty in the aggregate, it may be clined to waive the part 240 requirements. In
possible to utilize existing payroll records to that situation, FRA’s paramount concern
verify compliance. would be uniformity of training and quali-
I. Passenger train emergency preparedness fications of all those operating trains on the
(part 239). This part prescribes minimum general system, regardless of the type of
Federal safety standards for the preparation, equipment.
adoption, and implementation of emergency
preparedness plans by railroads connected V. WAIVERS THAT MAY BE APPROPRIATE FOR
with the operation of passenger trains. TIME-SEPARATED LIGHT RAIL OPERATIONS
FRA’s expectation is that by requiring af-
1. The foregoing discussion of factors to ad-
fected railroads to provide sufficient emer-
dress in a petition for approval of shared use
gency egress capability and information to
concerns all such petitions and, accordingly,
passengers, along with mandating that these
is quite general. FRA is willing to provide
railroads coordinate with local emergency
more specific guidance on where waivers
response officials, the risk of death or injury
may be likely with regard to light rail oper-
from accidents and incidents will be less-
ations that are time-separated from conven-
ened. A waiver petition should state whether
the light rail system has an emergency pre- tional operations. FRA’s greatest concern
paredness plan in place under a state system with regard to shared use of the general sys-
safety program developed under FTA’s rules tem is a collision between light rail and con-
for the light rail operator’s separate street ventional trains on the same track. Because
railway segments. Under a system safety the results could well be catastrophic, FRA
program, a light rail operation is likely to places great emphasis on avoiding such colli-
have an effective plan for dealing with emer- sions. The surest way to guarantee that such
gency situations that may provide an equiv- collisions will not occur is to strictly seg-
alent alternative to FRA’s rules. To the ex- regate light rail and conventional operations
tent that the light rail operation’s plan re- by time of day so that the two types of
lates to the various provisions of this part, a equipment never share the same track at the
waiver petition should explain precisely how same time. This is not to say that FRA will
each of the requirements of this part is being not entertain waiver petitions that rely on
addressed. The petition should especially other methods of collision avoidance such as
focus on the issues of communication, em- sophisticated train control systems. How-
ployee training, passenger information, liai- ever, petitioners who do not intend to sepa-
son relationships with emergency respond- rate light rail from conventional operations
ers, and marking of emergency exits. by time of day will face a steep burden of
J. Qualification and certification of loco- demonstrating an acceptable level of safety.
motive engineers (part 240). This part contains FRA does not insist that all risk of collision
minimum Federal safety requirements for be eliminated. However, given the enormous
the eligibility, training, testing, certifi- severity of the likely consequences of a colli-
cation, and monitoring of locomotive engi- sion, the demonstrated risk of such an event
neers. Those who operate light rail trains must be extremely remote.
may have significant effects on the safety of 2. There are various ways of providing such
light rail passengers, motorists at grade strict separation by time. For example,
crossings, and, to the extent trackage is freight operations could be limited to the
shared with conventional railroads, the em- hours of midnight to 5 a.m. when light rail
ployees and passengers of those railroads. operations are prohibited. Or, there might be
The petition should describe whether a light both a nighttime and a mid-day window for
rail system has a system safety plan devel- freight operation. The important thing is
oped under FTA’s rules that is likely to have that the arrangement not permit simulta-
an effective means of assuring that the oper- neous operation on the same track by clearly
ators, or ‘‘engineers,’’ of its equipment re- defining specific segments of the day when
ceive the necessary training and have proper only one type of operation may occur. Mere
skills to operate a light rail vehicle in spacing of train movements by a train con-
shared use on the general railroad system. trol system does not constitute this tem-
The petition should explain what safeguards poral separation.
are in place to ensure that light rail engi- 3. FRA is very likely to grant waivers of
neers receive at least an equivalent level of many of its rules where complete temporal
training, testing, and monitoring on the separation between light rail and conven-
rules governing train operations to that re- tional operations is demonstrated in the
ceived by locomotive engineers employed by waiver request. The chart below lists each of
conventional railroads and certified under FRA’s railroad safety rules and provides
part 240. Any light rail system unable to FRA’s view on whether it is likely to grant
meet this burden would have to fully comply a waiver in a particular area where temporal
with the requirements of part 240. Moreover, separation is assured. Where the ‘‘Likely
where a transit system intends to operate si- Treatment’’ column says ‘‘comply’’ a waiver
87
is not likely, and where it says ‘‘waive’’ a a system safety plan developed in accordance
waiver is likely. Of course, FRA will consider with the FTA state safety oversight pro-
each petition on its own merits and one gram. The state safety oversight agency
should not presume, based on the chart, that would be responsible for the safety oversight
FRA will grant or deny any particular re- of the light rail operation, even on the gen-
quest in a petition. This chart is offered as eral system, with regard to aspects of that
general guidance as part of a statement of operation for which a waiver is granted. (The
policy, and as such does not alter any safety ‘‘Comments’’ column of the chart shows
rules or obligate FRA to follow it in every ‘‘State Safety Oversight’’ where waivers con-
case. This chart assumes that the operations ditioned on such state oversight are likely.)
of the local rail transit agency on the gen- FRA will coordinate with FTA and the state
eral railroad system are completely sepa- agency to address any serious safety prob-
rated in time from conventional railroad op- lems. If the conditions under which the waiv-
erations, and that the light rail operation er was granted change substantially, or un-
poses no atypical safety hazards. FRA’s pro- anticipated safety issues arise, FRA may
cedural rules on matters such as enforce- modify or withdraw a waiver in order to en-
ment (49 CFR parts 209 and 216), and its stat- sure safety. On certain subjects where waiv-
utory authority to investigate accidents and ers are not likely, the ‘‘Comments’’ column
injuries and take emergency action to ad- of the chart makes special note of some im-
dress an imminent hazard of death or injury, portant regulatory requirements that the
would apply to these operations in all cases. light rail system will have to observe even if
4. Where waivers are granted, a light rail it is not primarily responsible for compli-
operator would be expected to operate under 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.
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.
88
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
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, as amended at 74 FR 25172, May 27, 2009]
PART 212—STATE SAFETY 212.219 Apprentice MP&E inspector.

212.221 Operating practices inspector.
PARTICIPATION REGULATIONS 212.223 Operating practices compliance in-
spector.
Subpart A—General 212.225 Apprentice operating practices in-
Sec. spector.
212.1 Purpose and scope. 212.227 Hazardous materials inspector.
212.3 Definitions. 212.229 Apprentice hazardous materials in-
212.5 Filing. spector.
212.231 Highway-rail grade crossing inspec-
Subpart B—State/Federal Roles tor.
212.101 Program principles. 212.233 Apprentice highway-rail grade cross-
212.103 Investigative and surveillance au- ing inspector.
thority. 212.235 Inapplicable qualification require-
212.105 Agreements. ments.
212.107 Certification.
AUTHORITY: 49 U.S.C. 20103, 20106, 20105, and
212.109 Joint planning of inspections.
20113 (formerly secs. 202, 205, 206, and 208, of
212.111 Monitoring and other inspections.
the Federal Railroad Safety Act of 1970, as
212.113 Program termination.
212.115 Enforcement actions. amended (45 U.S.C. 431, 434, 435, and 436)); and
49 CFR 1.49.
Subpart C—State Inspection Personnel SOURCE: 47 FR 41051, Sept. 16, 1982, unless
212.201 General qualifications of State in- otherwise noted.
spection personnel.
212.203 Track inspector. Subpart A—General
212.205 Apprentice track inspector.
212.207 Signal and train control inspector. § 212.1 Purpose and scope.
212.209 Train control inspector.
212.211 Apprentice signal and train control This part establishes standards and
inspector. procedures for State participation in
212.213 Motive power and equipment investigative and surveillance activi-
(MP&E) inspector. ties under the Federal railroad safety
212.215 Locomotive inspector.
212.217 Car inspector.
laws and regulations.
89
§ 212.3 49 CFR Ch. II (10–1–11 Edition)
§ 212.3 Definitions. § 212.5 Filing.

As used in this part: Each State agency desiring to con-
(a) Administrator means the Federal duct investigative and surveillance ac-
Railroad Administrator or the Deputy tivities must submit to the Associate
Administrator or the delegate of either Administrator for Safety, Federal Rail-
of them. road Administration, 1200 New Jersey
(b) Associate Administrator means the Avenue, SE., Washington, DC 20590, the
Associate Administrator for Safety, documentation which contains the in-
Federal Railroad Administration formation prescribed by §§ 212.105 and
(FRA), or the Deputy Associate Admin- 212.107.
istrator for Safety, FRA. [47 FR 41051, Sept. 16, 1982, as amended at 74
(c) FRA means the Federal Railroad FR 25172, May 27, 2009]
Administration.
(d) Federal railroad safety laws means Subpart B—State/Federal Roles
the following enactments, together
with regulations and orders issued § 212.101 Program principles.
under their authority: (a) The purpose of the national rail-
(1) The Federal Railroad Safety Act road safety program is to promote safe-
of 1970, as amended (45 U.S.C. 421, 431– ty in all areas of railroad operations in
441); order to reduce deaths, injuries and
(2) The Safety Appliance Acts, as damage to property resulting from rail-
amended (45 U.S.C. 1–16); road accidents.
(3) The Locomotive Inspection Act, (b)(1) The national railroad safety
program is carried out in part through
as amended (45 U.S.C. 22–34);
the issuance of mandatory Federal
(4) The Signal Inspection Act, as
safety requirements and through in-
amended (49 U.S.C. 26); spection efforts designed to monitor
(5) The Accident Reports Act, as compliance with those requirements.
amended (45 U.S.C. 38–42); FRA and State inspections determine
(6) The Hours of Service Act, as the extent to which the railroads, ship-
amended (45 U.S.C. 61–64(b); and pers, and manufacturers have fulfilled
(7) The Hazardous Materials Trans- their obligations with respect to in-
portation Act (49 app. U.S.C. 1801 et spection, maintenance, training, and
seq.), as it pertains to shipment or supervision. The FRA and partici-
transportation by railroad. pating States do not conduct inspec-
(e) Manufacturer means a person that tions of track, equipment, signal sys-
manufactures, fabricates, marks, main- tems, operating practices, and haz-
tains, reconditions, repairs, or tests ardous materials handling for the rail-
containers which are represented, roads, shippers, and manufacturers.
marked, certified, or sold for use in the (2) The national railroad safety pro-
bulk transportation of hazardous mate- gram is also carried out through rou-
rials by railroad. tine inspections, accident investiga-
(f) Shipper means a person that offers tions, formal and informal educational
a hazardous material for transpor- efforts, complaint investigations, safe-
tation or otherwise causes it to be ty assessments, special inquiries, regu-
transported. latory development, research and simi-
(g) Planned compliance inspections lar initiatives.
(c) It is the policy of the FRA to
means investigative and surveillance
maintain direct oversight of railroad,
activities described in the annual work
shipper, and manufacturer conditions
plan required by § 212.109 of this part
and practices relevant to safety by con-
that provide basic surveillance of rail-
ducting inspections and investigations
road facilities, equipment and/or oper-
in concert with participating State
ations for the purpose of determining
agencies.
the level of compliance with relevant (d) The principal role of the State
Federal safety requirements. Safety Participation Program in the
[47 FR 41051, Sept. 16, 1982, as amended at 57 national railroad safety effort is to
FR 28115, June 24, 1992] provide an enhanced investigative and
90
surveillance capability through as- (d) Common terms. Each agreement

sumption, by participating State agen- entered into under this section pro-
cies, of responsibility for planned rou- vides that:
tine compliance inspections. The FRA (1) The State agency is delegated cer-
encourages further State contributions tain specified authority with respect to
to the national railroad safety program investigative and surveillance activi-
consistent with overall program needs, ties;
individual State capabilities, and the (2) The delgation is effective only to
willingness of the States to undertake the extent it is carried out through
additional investigative and surveil- personnel recognized by the State and
lance activities. the FRA (pursuant to subpart C of this
(e) It is the policy of the FRA to pro- part) to be qualified to perform the
mote the growth and vitality of the particular investigative and surveil-
State Safety Participation Program lance activities to which the personnel
through liaison with State govern- are assigned; and
ment, coordination of Federal and (3) The State agency agrees to pro-
State investigative and surveillance vide the capability necessary to assure
activities, and training of inspection coverage of facilities, equipment, and
personnel. operating practices through planned
[47 FR 41051, Sept. 16, 1982, as amended at 57 routine compliance inspections for all,
FR 28115, June 24, 1992] or a specified part of, the territory of
the State.
§ 212.103 Investigative and surveil- (e) Request for agreement. A request
lance authority. for agreement shall contain the fol-
(a) Subject to the requirements of lowing information:
this part, a State agency with jurisdic- (1) An opinion of the counsel for the
tion under State law may participate State agency stating that:
in investigative and surveillance ac- (i) The agency has jurisdiction over
tivities concerning Federal railroad the safety practices of the facilities,
safety laws and regulations by entering equipment, rolling stock, and oper-
into an agreement under § 212.105 for ations of railroads in that State and
the exercise of specified authority. whether the agency has jurisdiction
(b) Subject to requirements of this over shippers and manufacturers;
part, a State agency with jurisdiction (ii) The agency has the authority and
under State law may participate in in- capability to conduct investigative and
vestigative and surveillance activities surveillance activities in connection
with respect to particular rules, regu- with the rules, regulations, orders, and
lations, orders or standards issued standards issued by the Administrator
under the regulatory authority of the under the Federal railroad safety laws;
Federal Railroad Safety Act of 1970 by and
filing an annual certification under (iii) State funds may be used for this
§ 212.107. purpose.
(2) A statement that the State agen-
§ 212.105 Agreements. cy has been furnished a copy of each
(a) Scope. The principal method by Federal safety statute, rule, regula-
which States may participate in inves- tion, order, or standard pertinent to
tigative and surveillance activities is the State’s participation;
by agreement with FRA. An agreement (3) The names of the railroads oper-
may delegate investigative and surveil- ating in the State together with the
lance authority with respect to all or number of miles of main and branch
any part of the Federal railroad safety lines operated by each railroad in the
laws. State;
(b) Duration. An agreement may be (4) The name, title and telephone
for a fixed term or for an indefinite du- number of the person designated by the
ration. agency to coordinate the program; and
(c) Amendments. An agreement may (5) A description of the organization,
be amended to expand or contract its programs, and functions of the agency
scope by consent of FRA and the State. with respect to railroad safety.
91
§ 212.107 49 CFR Ch. II (10–1–11 Edition)
(f) Developmental agreement. Con- ing of an annual certification within 60

sistent with national program require- days of its receipt by accepting it or by
ments, the Associate Administrator rejecting it for cause stated.
may enter into an agreement under (d) Delegation of authority. Accept-
this section prior to the qualification ance of an annual certification con-
of inspection personnel of the State stitutes a delegation of authority to
under subpart C of this part. In such a conduct investigative and surveillance
case, the agreement shall (1) specify activities only to the extent that the
the date at which the State will as- delegation is carried out through per-
sume investigative and surveillance
sonnel recognized by the State and the
duties, and (2) refer to any undertaking
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
schedule for the training courses that particular investigative and surveil-
will be made available. lance activities to which the personnel
(g) Action on request. The Associate are assigned.
Administrator responds to a request (Approved by the Office of Management and
for agreement by entering into an Budget under control number 2130–0509)
agreement based on the request, by de-
clining the request, or by suggesting § 212.109 Joint planning of inspec-
modifications. tions.
(Approved by the Office of Management and Prior to the beginning of each cal-
Budget under control number 2130–0509) endar year, each participating State
[47 FR 41051, Sept. 16, 1982, as amended at 57 applying for grant assistance under
FR 28115, June 24, 1992] subpart D of this part shall develop, in
conjunction with the FRA Regional Di-
§ 212.107 Certification. rector of the region in which the State
(a) Scope. In the event the FRA and is located, an annual work plan for the
the State agency do not agree on terms conduct of investigative and surveil-
for the participation of the State under lance activities by the State agency.
§ 212.105 of this part and the State wish- The plan shall include a program of in-
es to engage in investigative and sur- spections designed to monitor the com-
veillance activities with respect to any pliance of the railroads, shippers, and
rule, regulation, order, or standard manufacturers operating within the
issued under the authority of the Fed- State (or portion thereof) with applica-
eral Railroad Safety Act of 1970, the ble Federal railroad safety laws and
State shall file an annual certification regulations. In the event the partici-
with respect to such activities. pating State and the FRA Regional Di-
(b) Content. The annual certification rector cannot agree on an annual work
shall be filed not less than 60 days be-
plan, the Associate Administrator for
fore the beginning of the Federal fiscal
Safety shall review the matter.
year to which it applies, shall contain
the information required by § 212.105(e) (Approved by the Office of Management and
of this part and, in addition, shall cer- Budget under control number 2130–0509)
tify that: [57 FR 28115, June 24, 1992]
(1) The State agency has the author-
ity and capability to conduct inves- § 212.111 Monitoring and other inspec-
tigative and surveillance activities tions.
under the requirements of this part
with respect to each rule, regulation, (a) It is the policy of the FRA to
order or standard for which certifi- monitor State investigative and sur-
cation is submitted; and veillance practices at the program
(2) The State agency will, at a min- level.
imum, conduct planned compliance in- (b) It is the policy of the FRA to co-
spections meeting the level of effort ordinate its direct inspection and in-
prescribed in the applicable appendix vestigative functions in participating
to this part. States with the responsible State agen-
(c) Action on certification. The Asso- cy, providing prior advice to the States
ciate Administrator responds to the fil- whenever practicable.
92
(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
necessary to aid in the enforcement of an action within fifteen (15) days of re-
the Federal railroad safety laws. ceipt, by referring the matter to the
Attorney General for litigation, by un-
§ 212.113 Program termination. dertaking other enforcement action, or
(a) A State agency participating in by determining in writing that no vio-
investigative and surveillance activi- lation has occurred.
ties by agreement or certification shall (3) For purposes of this paragraph, a
provide thirty (30) days notice of its in- request for legal action is deemed to be
tent to terminate its participation. received when a legally sufficient in-
(b) The Administrator may, on his vestigative report specifying the action
own initiative, terminate the partici- requested is received by the designated
pation of a State agency if, after at FRA offices.
least thirty (30) days notice an oppor- (c)(1) Requests for civil penalty as-
tunity for oral hearing under section sessments and other administrative ac-
553 of title 5 U.S.C., the State agency tions shall be submitted to the FRA
does not establish that it has complied Regional Director for Railroad Safety
and is complying with: for the FRA region in which the State
(1) The requirements of this part; is located.
(2) Relevant directives, enforcement (2) Requests for the institution of in-
manuals, and written interpretations junctive actions shall be submitted si-
of law and regulations provided by the multaneously to—
FRA for guidance of the program; and (i) The FRA Regional Director for
(3) The rule of national uniformity of Railroad Safety for the FRA region in
laws, rules, regulations, orders, and which the State is located and
standards relating to railroad safety as (ii) The Enforcement Division, Office
expressed in section 205 of the Federal of Chief Counsel, FRA, Washington, DC
Railroad Safety Act of 1970 (45 U.S.C. 20590.
434).
Subpart C—State Inspection
§ 212.115 Enforcement actions. Personnel
(b) of this section, the FRA reserves ex- § 212.201 General qualifications of
clusive authority to assess and com- State inspection personnel.
promise penalties, to issue emergency (a) This subpart prescribes the min-
orders and compliance orders, institute imum qualification requirements for
or cause to be instituted actions for State railroad safety inspectors, com-
collection of civil penalties or for in- pliance inspectors and inspector ap-
junctive relief, and to commence any prentices. A State agency may estab-
and all other enforcement actions lish more stringent or additional re-
under the Federal railroad safety laws. quirements for its employees.
(b)(1) Section 207(a) of the Federal (b) An inspector, compliance inspec-
Railroad Safety Act of 1970, as amend- tor, or apprentice inspector shall be
ed (45 U.S.C. 436(a)), authorizes a par- recognized as qualified under this part
ticipating State to bring an action for by the State agency and the Associate
assessment and collection of a civil Administrator prior to assuming the
penalty in a Federal district court of responsibilities of the position.
proper venue, if the FRA has not acted (c) Each inspector, compliance in-
on a request for civil penalty assess- spectors and apprentice inspector shall
ment originated by the State, within be a bona fide employee of the State
sixty (60) days of receipt, by assessing agency.
the penalty or by determining in writ- (d) Each inspector, compliance in-
ing that no violation occurred. spector, and apprentice inspector shall
(2) Section 207(b) of the Federal Rail- demonstrate:
road Safety Act of 1970, as amended (45 (1) The ability to read and com-
U.S.C. 436(b)), authorizes a partici- prehend written materials such as
93
§ 212.203 49 CFR Ch. II (10–1–11 Edition)
training and enforcement manuals, (1) A comprehensive knowledge of

regulations, operating and safety rules track nomenclature, track inspection
of the railroad, and similar materials; techniques, track maintenance meth-
(2) The ability to compose narrative ods, and track equipment;
reports of investigative findings that (2) The ability to understand and de-
are clear, complete, and grammatically tect deviations from:
acceptable; (i) Track maintenance standards ac-
(3) The ability to record data on cepted in the industry; and
standard report forms with a high de-
(ii) The Track Safety Standards (49
gree of accuracy;
CFR part 213).
(4) The ability to communicate oral-
ly; and (3) Knowledge of operating practices
(5) Basic knowledge of rail transpor- and vehicle/track interaction sufficient
tation functions, the organization of to understand the safety significance of
railroad, shipper, and manufacturer deviations and combinations of devi-
companies, and standard industry rules ations; and
for personal safety. (4) Specialized knowledge of the re-
(e) Each inspector shall demonstrate quirements of the Track Safety Stand-
a thorough knowledge of: ards, including the remedial action re-
(1) Railroad rules, practices, record quired to bring defective track into
systems, and terminology common to compliance with the standards.
operating and maintenance functions;
and § 212.205 Apprentice track inspector.
(2) The scope and major requirements (a) The apprentice track inspector
of all of the Federal railroad safety must be enrolled in a program of train-
laws and regulations. ing prescribed by the Associate Admin-
(f) In addition to meeting the re- istrator leading to qualification as a
quirements of this section, each inspec-
track inspector. The apprentice track
tor and apprentice inspector shall meet
inspector may not participate in inves-
the applicable requirements of §§ 212.203
tigative and surveillance activities, ex-
through 212.229 of this subpart.
cept as an assistant to a qualified
[47 FR 41051, Sept. 16, 1982, as amended at 57 State or FRA inspector while accom-
FR 28115, June 24, 1992] panying that qualified inspector.
§ 212.203 Track inspector. (b) An apprentice track inspector
shall demonstrate basic knowledge of
(a) The track inspector is required, at track inspection techniques, track
a minimum, to be able to conduct inde- maintenance methods, and track equip-
pendent inspections of track structures ment prior to being enrolled in the pro-
for the purpose of determining compli- gram.
ance with the Track Safety Standards
(49 CFR part 213), to make reports of § 212.207 Signal and train control in-
those inspections, and to recommend spector.
the institution of enforcement actions
when appropriate to promote compli- (a) The signal and train control in-
ance. spector is required, at a minimum, to
(b) The track inspector is required, at be able to conduct independent inspec-
a minimum to have at least four years tions of all types of signal and train
of recent experience in track construc- control systems for the purpose of de-
tion or maintenance. A bachelor’s determining compliance with the Rules,
gree in engineering or a related tech- Standards and Instructions for Rail-
nical specialization may be substituted road Signal Systems (49 CFR part 236),
for two of the four years of this experi- to make reports of those inspections,
ence requirement and successful com- and to recommend the institution of
pletion of the apprentice training pro- enforcement actions when appropriate
gram may be substituted for the four to promote compliance.
years of this experience requirement. (b) The signal and train inspector is
(c) The track inspector shall dem- required, at a minimum, to have at
onstrate the following specific quali- least four years of recent experience in
fications: signal construction or maintenance. A
94
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
be substituted for the four years of this be substituted for the four year experi-
requirement. ence requirement.
(c) The signal and train control in- (c) The train control inspector shall
spector shall demonstrate the fol- demonstrate the following specific
lowing specific qualifications: qualifications:
(1) A comprehensive knowledge of (1) A comprehensive knowledge of the
signal and train control systems, main-
various train control systems used on
tenance practices, test and inspection
board locomotives, locomotive air
techniques;
brake systems and test and inspection
(2) The ability to understand and de-
procedures;
tect deviations from:
(i) Signal and train control mainte- (2) The ability to understand and de-
nance standards accepted in the indus- tect deviations from:
try; and (i) Train control maintenance stand-
(ii) The Rules, Standards and In- ards accepted in the industry; and
structions for Railroad Signal Systems (ii) Subpart E of the Rules, Standards
(49 CFR part 236). and Instructions for Railroad Signal
(3) The ability to examine plans and Systems (49 CFR part 236);
records, to make inspections of signal (3) Knowledge of operating practices
train control systems and to determine and train control systems sufficient to
adequacy of stopping distances from understand the safety significance of
prescribed speeds; deviations and combinations of devi-
(4) Knowledge of operating practices ations; and
and signal systems sufficient to under- (4) Specialized knowledge of the re-
stand the safety significance of devi- quirements of subpart E of the Rules,
ations and combination of deviations; Standards and Instructions for Rail-
and road Signal Systems, including the re-
(5) Specialized knowledge of the remedial action required to bring train
quirements of the Rules, Standards and control systems used on board loco-
Instructions for Railroad Signal Sys- motives into compliance with the
tems, including the remedial action re- standards.
quired to bring signal and train control
systems into compliance with the § 212.211 Apprentice signal and train
standards. control inspector.
§ 212.209 Train control inspector. (a) The apprentice signal and train
control inspector must be enrolled in a
(a) The train control inspector is re-
program of training prescribed by the
quired, at a minimum, to be able to
Associate Administrator leading to
conduct independent inspections of
automatic cab signal, automatic train qualification as a signal and train con-
stop, and automatic train control de- trol inspector. The apprentice inspec-
vices on board locomotives for the pur- tor may not participate in the inves-
pose of determining compliance with tigative and surveillance activities, ex-
subpart E of the Rules, Standards and cept as an assistant to a qualified
Instructions for Railroad Signal Sys- State or FRA inspector while accom-
tems (49 CFR part 236) and to rec- panying that qualified inspector.
ommend the institution of enforcement (b) Prior to being enrolled in the pro-
action when appropriate to promote gram the apprentice inspector shall
compliance. demonstrate:
(b) The train control inspector is re- (1) Working knowledge of basic elec-
quired, at a minimum, to have at least tricity and the ability to use electrical
four years of recent experience in loco- test equipment in direct current and
motive construction or maintenance. A alternating current circuits; and
95
§ 212.213 49 CFR Ch. II (10–1–11 Edition)
(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
independent inspections of railroad conduct independent inspections of lo-
equipment for the purpose of deter- comotives and air brake systems for
mining compliance with all sections of the purpose of determining compliance
the Freight Car Safety Standards (49 with applicable sections of the Safety
CFR part 215), Safety Glazing Stand- Glazing Standards (49 CFR part 223),
ards (49 CFR part 223), Locomotive Locomotive Safety Standards (49 CFR
Safety Standards (49 CFR part 229), part 229), Safety Appliance Standards
Safety Appliance Standards (49 CFR (49 CFR part 231) and Power Brake
part 231), and Power Brake Standards Standards (49 CFR part 232), to make
(49 CFR part 232), to make reports of reports of those inspections and to rec-
those inspections and to recommend ommend the institution of enforcement
the institution of enforcement actions actions when appropriate to promote
when appropriate to promote compli- compliance.
ance. (b) The locomotive inspector is re-
(b) The MP&E inspector is required, quired, at a minimum, to have at least
at a minimum, to have at least four four years of experience in locomotive
years of recent experience in the con- construction or maintenance. A bach-
struction or maintenance of railroad elor’s degree in mechanical engineering
rolling equipment. A bachelor’s degree or a related technical specialization
in engineering or a related technical may be substituted for two of the four
specialization may be substituted for years of this experience requirement
two of the four years of this experience and successful completion of the ap-
requirement and successful completion prentice training program may be sub-
of the apprentice training program stituted for the four year experience
may be substituted for the four year requirement.
experience requirement.
(c) The locomotive inspector shall
(c) The MP&E inspector shall dem-
demonstrate the following specific
onstrate the following qualifications:
qualifications:
(1) A comprehensive knowledge of
(1) A comprehensive knowledge of
construction, testing, inspecting and
construction, testing, inspecting and
repair of railroad freight cars, pas-
repair of locomotive and air brakes;
senger cars, locomotives and air
brakes; (2) The ability to understand and de-
(2) The ability to understand and detect deviations from:
tect deviations from: (i) Railroad equipment maintenance
(i) Railroad equipment maintenance standards accepted in the industry; and
standards accepted in the industry; and (ii) Safety Glazing Standards, Loco-
(ii) The Freight Car Safety Stand- motive Safety Standards, Safety Appli-
ards, Safety Glazing Standards, Loco- ance Standards and Power Brake
motive Safety Standards, Safety Appli- Standards;
ance Standards and Power Brake (3) The knowledge of railroad oper-
Standards. ating procedures associated with the
(3) The knowledge of railroad oper- operation of locomotives and air
ating procedures associated with the brakes sufficient to understand the
operation of freight cars, passenger safety significance of deviations and
cars, locomotives and air brakes suffi- combinations of deviations; and
cient to understand the safety signifi- (4) Specialized knowledge of proper
cance of deviations and combinations remedial action to be taken in order to
of deviations; and bring defective locomotives, and air
(4) Specialized knowledge of proper brakes into compliance with applicable
remedial action to be taken in order to Federal standards.
96
§ 212.217 Car inspector. not participate in investigative and

(a) The car inspector is required, at a surveillance activities, except as an as-
minimum, to be able to conduct inde- sistant to a qualified State or FRA in-
pendent inspections of railroad rolling spector while accompanying that quali-
stock for the purpose of determining fied inspector.
compliance with all sections of the (b) An apprentice MP&E inspector
Freight Car Safety Standards (49 CFR shall demonstrate basic knowledge of
part 215), Safety Glazing Standards (49 railroad equipment and air brake in-
CFR part 223), Safety Appliance Stand- spection, testing and maintenance,
ards (49 CFR part 231) and Power Brake prior to being enrolled in the program.
Standards (49 CFR part 232), to make § 212.221 Operating practices inspec-
reports of those inspections and to rector.
ommend the institution of enforcement
actions when appropriate to promote (a) The operating practices inspector
compliance. is required, at a minimum, to be able
(b) The car inspector is required, at a to conduct independent inspections for
minimum, to have at least two years of the purpose of determining compliance
recent experience in freight car or pas- with all sections of the Federal oper-
senger car construction, maintenance ating practice regulations (49 CFR
or inspection. Successful completion of parts 217, 218, 219, 220, 221, 225 and 228)
the apprentice training program may and the Hours of Service Act (45 U.S.C.
be substituted for this two year experi- 61–64b), to make reports of those in-
ence requirement. spections, and to recommend the insti-
(c) The car inspector shall dem- tution of enforcement actions when ap-
onstrate the following specific quali- propriate to promote compliance.
fications: (b) The operating practices inspector
(1) A comprehensive knowledge of the is required at a minimum to have at
construction and testing of freight and least four years of recent experience in
passenger cars and air brakes; developing or administering railroad
(2) The ability to understand and de- operating rules. Successful completion
tect deviations from: of the apprentice training program
(i) Railroad freight and passenger car may be substituted for this four year
maintenance standards accepted in the experience requirement.
industry; and (c) The operating practices inspector
(ii) The Freight Car Safety Standards shall demonstrate the following spe-
(49 CFR part 215), Safety Glazing cific qualifications:
Standards (49 CFR part 223), Safety Ap- (1) A comprehensive knowledge of
pliance Standards (49 CFR part 231) and railroad operating practices, railroad
Power Brake Standards (49 CFR part operating rules, duties of railroad em-
232); ployees, and general railroad nomen-
(3) The knowledge of railroad oper- clature;
ating procedures associated with the (2) The ability to understand and de-
operation of freight and passenger cars tect deviations from:
and air brakes sufficient to understand (i) Railroad operating rules accepted
the safety significance of deviations in the industry; and
and combinations of deviations; and (ii) Federal operating practice regu-
(4) Specialized knowledge of proper lations;
remedial action to be taken in order to (3) Knowledge of operating practices
bring defective freight and passenger and rules sufficient to understand the
car equipment and air brakes into com- safety significance of deviations; and
pliance with applicable Federal stand- (4) Specialized knowledge of the re-
ards. quirements of the Federal operating
practices regulations listed in para-
§ 212.219 Apprentice MP&E inspector. graph (a) of this section, including the
(a) The apprentice MP&E inspector remedial action required to bring rail-
must be enrolled in a program of train- road operations into compliance with
ing prescribed by the Associate Admin- the regulations.
istrator leading to qualification as an [47 FR 41051, Sept. 16, 1982, as amended at 50
MP&E inspector. The apprentice may FR 31578, Aug. 2, 1985]
97
§ 212.223 49 CFR Ch. II (10–1–11 Edition)
§ 212.223 Operating practices compli- § 212.225 Apprentice operating prac-

ance inspector. tices inspector.
(a) The operating practices compli- (a) The apprentice operating prac-
ance inspector is required, at a min- tices inspector must be enrolled in a
imum, to be able to conduct inde- program of training prescribed by the
pendent inspections for the purpose of Associate Administrator leading to
determining compliance with the requalification as an inspector. The ap-
quirements of the following: prentice inspector may not participate
(1) Operating Rules—blue flag (49 in investigative and surveillance ac-
CFR part 218); tivities, except as an assistant to a
(2) Control of Alcohol and Drug Use qualified State or FRA inspector while
(49 CFR part 219); accompanying that qualified inspector.
(3) Rear End Marking Device Regula- (b) An apprentice operating practices
tions (49 CFR part 221); inspector shall demonstrate basic
(4) Railroad accidents/incidents: re- knowledge of railroad operating prac-
ports classification and investigations tices, railroad operating rules and gen-
eral duties of railroad employees prior
(49 CFR part 225); and
to being enrolled in the program.
(5) Hours of Service Act (45 U.S.C. 61–
64b) and implementing regulations (49 § 212.227 Hazardous materials inspec-
CFR part 228); to make reports of those tor.
inspections and to recommend the in-
(a) The hazardous materials inspec-
stitution of enforcement actions when
tor is required, at a minimum, to be
appropriate to promote compliance.
able to conduct independent inspec-
(b) The operating practices compli- tions to determine compliance with all
ance inspector is required, at a min- pertinent sections of the Federal haz-
imum, to have at least two years of re- ardous materials regulations (49 CFR
cent experience in developing or ad- parts 171 through 174, and 179), to make
ministering railroad operating rules. reports of those inspections and find-
Successful completion of the appren- ings, and to recommend the institution
tice training program may be sub- of enforcement actions when appro-
stituted for the two year experience re- priate to promote compliance.
quirement. (b) The hazardous materials inspec-
(c) The compliance inspector shall tor is required, at a minimum, to have
demonstrate the following specific at least two years of recent experience
qualifications. in developing, administering, or per-
(1) A basic knowledge of railroad op- forming managerial functions related
erations, duties of railroad employees to compliance with the hazardous ma-
and general railroad safety as it relates terials regulations; four years of recent
to the protection of railroad employ- experience in performing functions re-
ees; lated to compliance with the hazardous
(2) A basic knowledge of railroad materials regulations; or a bachelor’s
rules and practices; degree in a related technical specializa-
(3) The ability to understand and de- tion. Successful completion of the ap-
tect deviations from the requirements prentice training program may be sub-
cited in paragraph (a) of this section; stituted for this requirement.
and (c) The hazardous materials inspector
(4) Specialized knowledge of the re- shall demonstrate the following spe-
quirements of the Federal operating cific qualifications:
practices regulations listed in para- (1) A comprehensive knowledge of the
graph (a) of this section, including the transportation and operating proce-
remedial action required to bring de- dures employed in the railroad, ship-
fective conditions into compliance ping, or manufacturing industries asso-
with the applicable Federal standards. ciated with the transportation of haz-
ardous materials;
[47 FR 41051, Sept. 16, 1982, as amended at 50 (2) Knowledge and ability to under-
FR 31578, Aug. 2, 1985] stand and detect deviations from the
98
Department of Transportation’s Haz- ommend institution of enforcement ac-

ardous Materials Regulations, includ- tions when appropriate to promote
ing Federal requirements and industry compliance.
standards for the manufacturing of (b) The highway-rail grade crossing
bulk packaging used in the transpor- inspector is required, at a minimum, to
tation of hazardous materials by rail- have at least four years of recent expe-
road; rience in highway-rail grade crossing
(3) Knowledge of the physical and construction or maintenance. A bach-
chemical properties and chemical haz- elor’s degree in engineering or a re-
ards associated with hazardous mate- lated technical specialization may be
rials that are transported by railroad; substituted for two of the four years of
(4) Knowledge of the proper remedial this experience requirement. Success-
actions required to bring railroad, ship- ful completion of an apprentice train-
per, and/or manufacturing facilities ing program under § 212.233 may be sub-
into compliance with the Federal regu- stituted for the four years of this expe-
lations; and rience requirement.
(5) Knowledge of the proper remedial (c) The highway-rail grade crossing
actions required when a hazardous ma- inspector shall demonstrate the fol-
terials transportation accident or inci- lowing specific qualifications:
dent occurs. (1) A comprehensive knowledge of
highway-rail grade crossing nomen-
[57 FR 28115, June 24, 1992]
clature, inspection techniques, mainte-
§ 212.229 Apprentice hazardous mate- nance requirements, and methods;
rials inspector. (2) The ability to understand and de-
tect deviations from:
(a) The apprentice hazardous mate-
(i) Grade crossing signal system
rials inspector must be enrolled in a
maintenance, inspection and testing
program of training prescribed by the
standards accepted in the industry; and
Associate Administrator for Safety
(ii) The Grade Crossing Signal Sys-
leading to qualification as a hazardous
tem Safety Rules (49 CFR part 234);
materials inspector. The apprentice
(3) Knowledge of operating practices
may not participate in investigative
and highway-rail grade crossing sys-
and surveillance activities, except as
tems sufficient to understand the safe-
an assistant to a qualified State or
ty significance of deviations and com-
FRA inspector while accompanying
binations of deviations from
that qualified inspector.
§ 212.231(c)(2) (i) and (ii);
(b) An apprentice hazardous mate-
(4) Specialized knowledge of the re-
rials inspector shall demonstrate a
quirements of the Grade Crossing Sig-
basic knowledge of the chemical haz-
nal System Safety Rules (49 CFR part
ards associated with hazardous mate-
234), including the remedial action re-
rials that are transported by railroad,
quired to bring highway-rail grade
including requirements such as ship-
crossing signal systems into compli-
ping papers, marking, labeling,
ance with those Rules;
placarding, and the manufacturing and
(5) Specialized knowledge of high-
maintenance of packagings associated
way-rail grade crossing standards con-
with these shipments.
tained in the Manual on Uniform Traf-
[57 FR 28116, June 24, 1992] fic Control Devices; and
(6) Knowledge of railroad signal sys-
§ 212.231 Highway-rail grade crossing tems sufficient to ensure that highway-
inspector. rail grade crossing warning systems
(a) The highway-rail grade crossing and inspections of those systems do not
inspector is required, at a minimum, to adversely affect the safety of railroad
be able to conduct independent inspec- signal systems.
tions of all types of highway-rail grade (d) A State signal and train control
crossing warning systems for the pur- inspector qualified under this part and
pose of determining compliance with who has demonstrated the ability to
Grade Crossing Signal System Safety understand and detect deviations from
Rules (49 CFR part 234), to make re- the Grade Crossing Signal System
ports of those inspections, and to rec- Safety Rules (49 CFR part 234) is
99
§ 212.233 49 CFR Ch. II (10–1–11 Edition)
deemed to meet all requirements of PART 213—TRACK SAFETY

this section and is qualified to conduct STANDARDS
independent inspections of all types of
highway-rail grade crossing warning Subpart A—General
systems for the purpose of determining
compliance with Grade Crossing Signal Sec.
System Safety Rules (49 CFR part 234), 213.1 Scope of part.
to make reports of those inspections, 213.3 Application.
213.4 Excepted track.
and to recommend institution of en-
213.5 Responsibility for compliance.
forcement actions when appropriate to
213.7 Designation of qualified persons to su-
promote compliance. pervise certain renewals and inspect
[59 FR 50104, Sept. 30, 1994] track.
213.9 Classes of track: operating speed lim-
§ 212.233 Apprentice highway-rail its.
grade crossing inspector. 213.11 Restoration or renewal of track under
traffic conditions.
(a) An apprentice highway-rail grade 213.13 Measuring track not under load.
crossing inspector shall be enrolled in a 213.15 Penalties.
program of training prescribed by the 213.17 Waivers.
Associate Administrator for Safety 213.19 Information collection.
leading to qualification as a highway-
rail grade crossing inspector. The ap- Subpart B—Roadbed
prentice inspector may not participate 213.31 Scope.
in investigative and surveillance ac- 213.33 Drainage.
tivities, except as an assistant to a 213.37 Vegetation.
qualified State or FRA inspector while
accompanying that qualified inspector. Subpart C—Track Geometry
(b) Prior to being enrolled in the pro- 213.51 Scope.
gram the apprentice inspector shall 213.53 Gage.
demonstrate: 213.55 Alinement.
(1) Working basic knowledge of elec- 213.57 Curves; elevation and speed limita-
tricity; tions.
(2) The ability to use electrical test 213.59 Elevation of curved track; runoff.
equipment in direct current and alter- 213.63 Track surface.
nating current circuits; and
Subpart D—Track Structure
(3) A basic knowledge of highway-rail
grade crossing inspection and mainte- 213.101 Scope.
nance methods and procedures. 213.103 Ballast; general.
213.109 Crossties.
[59 FR 50104, Sept. 30, 1994] 213.110 Gage restraint measurement sys-
tems.
§ 212.235 Inapplicable qualification re- 213.113 Defective rails.
quirements. 213.115 Rail end mismatch.
The Associate Administrator may de- 213.118 Continuous welded rail (CWR); plan
termine that a specific requirement of review and approval.
this subpart is inapplicable to an iden- 213.119 Continuous welded rail (CWR); plan
contents.
tified position created by a State agen- 213.121 Rail joints.
cy if it is not relevant to the actual du- 213.122 Torch cut rail.
ties of the position. The determination 213.123 Tie plates.
is made in writing. 213.127 Rail fastening systems.
213.133 Turnouts and track crossings gen-
[47 FR 41051, Sept. 16, 1982. Redesignated at
erally.
57 FR 28115, June 24, 1992. Further redesig-
213.135 Switches.
nated at 59 FR 50104, Sept. 30, 1994]
213.137 Frogs.
213.139 Spring rail frogs.
213.141 Self-guarded frogs.
213.143 Frog guard rails and guard faces;
gage.
100
Subpart E—Track Appliances and Track- APPENDIX B TO PART 213—SCHEDULE OF CIVIL

Related Devices PENALTIES
AUTHORITY: 49 U.S.C. 20102–20114 and 20142;
213.201 Scope.
213.205 Derails Sec. 403, Div. A, Pub. L. 110–432, 122 Stat.
4885; 28 U.S.C. 2461, note; and 49 CFR 1.49.
Subpart F—Inspection SOURCE: 63 FR 34029, June 22, 1998, unless
otherwise noted.
213.231 Scope.
213.233 Track inspections.
213.234 Automated inspection of track con- Subpart A—General
structed with concrete crossties.
213.235 Inspection of switches, track cross- § 213.1 Scope of part.
ings, and lift rail assemblies or other
(a) This part prescribes minimum
transition devices on moveable bridges.
213.237 Inspection of rail. safety requirements for railroad track
213.239 Special inspections. that is part of the general railroad sys-
213.241 Inspection records. tem of transportation. The require-
ments prescribed in this part apply to
Subpart G—Train Operations at Track specific track conditions existing in
Classes 6 and Higher isolation. Therefore, a combination of
213.301 Scope of subpart.
track conditions, none of which indi-
213.303 Responsibility for compliance. vidually amounts to a deviation from
213.305 Designation of qualified individuals; the requirements in this part, may re-
general qualifications. quire remedial action to provide for
213.307 Class of track: operating speed lim- safe operations over that track. This
its. part does not restrict a railroad from
213.309 Restoration or renewal of track adopting and enforcing additional or
under traffic conditions.
more stringent requirements not in-
213.311 Measuring track not under load.
213.317 Waivers. consistent with this part.
213.319 Drainage. (b) Subparts A through F apply to
213.321 Vegetation. track Classes 1 through 5. Subpart G
213.323 Track gage. and 213.2, 213.3, and 213.15 apply to
213.327 Alinement. track over which trains are operated at
213.329 Curves, elevation and speed limita- speeds in excess of those permitted
tions.
over Class 5 track.
213.331 Track surface.
213.333 Automated vehicle inspection sys-
tems.
§ 213.3 Application.
213.334 Ballast; general. (a) Except as provided in paragraph
213.335 Crossties. (b) of this section, this part applies to
213.337 Defective rails. all standard gage track in the general
213.339 Inspection of rail in service.
railroad system of transportation.
213.341 Initial inspection of new rail and
welds. (b) This part does not apply to
213.343 Continuous welded rail (CWR). track—
213.345 Vehicle qualification testing. (1) Located inside an installation
213.347 Automotive or railroad crossings at which is not part of the general rail-
grade. road system of transportation; or
213.349 Rail end mismatch. (2) Used exclusively for rapid transit
213.351 Rail joints.
operations in an urban area that are
213.352 Torch cut rail.
213.353 Turnouts, crossovers, and lift rail as- not connected with the general rail-
semblies or other transition devices on road system of transportation.
moveable bridges.
213.355 Frog guard rails and guard faces; § 213.4 Excepted track.
gage. A track owner may designate a seg-
213.357 Derails.
ment of track as excepted track pro-
213.359 Track stiffness.
213.361 Right of way. vided that—
213.365 Visual inspections. (a) The segment is identified in the
213.367 Special inspections. timetable, special instructions, general
213.369 Inspection records. order, or other appropriate records
APPENDIX A TO PART 213—MAXIMUM ALLOW- which are available for inspection dur-
ABLE CURVING SPEEDS ing regular business hours;
101
§ 213.5 49 CFR Ch. II (10–1–11 Edition)
(b) The identified segment is not lo- provisions of § 213.4, operations may
cated within 30 feet of an adjacent continue over that track without com-
track which can be subjected to simul- plying with the provisions of subparts
taneous use at speeds in excess of 10 B, C, D, and E of this part, unless oth-
miles per hour; erwise expressly stated.
(c) The identified segment is in- (c) If an owner of track to which this
spected in accordance with 213.233(c) part applies assigns responsibility for
and 213.235 at the frequency specified the track to another person (by lease
for Class 1 track; or otherwise), written notification of
(d) The identified segment of track is the assignment shall be provided to the
not located on a bridge including the appropriate FRA Regional Office at
track approaching the bridge for 100 least 30 days in advance of the assign-
feet on either side, or located on a pub- ment. The notification may be made by
lic street or highway, if railroad cars any party to that assignment, but shall
containing commodities required to be be in writing and include the fol-
placarded by the Hazardous Materials lowing—
Regulations (49 CFR part 172), are (1) The name and address of the track
moved over the track; and owner;
(e) The railroad conducts operations (2) The name and address of the per-
on the identified segment under the son to whom responsibility is assigned
following conditions: (assignee);
(1) No train shall be operated at (3) A statement of the exact relation-
speeds in excess of 10 miles per hour; ship between the track owner and the
(2) No occupied passenger train shall assignee;
be operated; (4) A precise identification of the
(3) No freight train shall be operated track;
that contains more than five cars re- (5) A statement as to the competence
quired to be placarded by the Haz- and ability of the assignee to carry out
ardous Materials Regulations (49 CFR the duties of the track owner under
part 172); and this part; and
(4) The gage on excepted track shall
(6) A statement signed by the as-
not be more than 4 feet 101⁄4 inches.
signee acknowledging the assignment
This paragraph (e)(4) is applicable Sep-
to him of responsibility for purposes of
tember 21, 1999.
compliance with this part.
(f) A track owner shall advise the ap-
(d) The Administrator may hold the
propriate FRA Regional Office at least
track owner or the assignee or both re-
10 days prior to removal of a segment
sponsible for compliance with this part
of track from excepted status.
and subject to penalties under § 213.15.
[63 FR 34029, June 22, 1998] (e) A common carrier by railroad
which is directed by the Surface Trans-
§ 213.5 Responsibility for compliance. portation Board to provide service over
(a) Except as provided in paragraph the track of another railroad under 49
(b) of this section, any owner of track U.S.C. 11123 is considered the owner of
to which this part applies who knows that track for the purposes of the ap-
or has notice that the track does not plication of this part during the period
comply with the requirements of this the directed service order remains in
part, shall— effect.
(1) Bring the track into compliance; (f) When any person, including a con-
(2) Halt operations over that track; tractor for a railroad or track owner,
or performs any function required by this
(3) Operate under authority of a per- part, that person is required to perform
son designated under § 213.7(a), who has that function in accordance with this
at least one year of supervisory experi- part.
ence in railroad track maintenance,
subject to conditions set forth in this § 213.7 Designation of qualified per-
part. sons to supervise certain renewals
(b) If an owner of track to which this and inspect track.
part applies designates a segment of (a) Each track owner to which this
track as ‘‘excepted track’’ under the part applies shall designate qualified
102
persons to supervise restorations and tion, adjustment, and maintenance of

renewals of track under traffic condi- CWR track in accordance with the
tions. Each person designated shall written procedures of the track owner
have— shall have:
(1) At least— (1) Current qualifications under ei-
(i) 1 year of supervisory experience in ther paragraph (a) or (b) of this sec-
railroad track maintenance; or tion;
(ii) A combination of supervisory ex- (2) Successfully completed a com-
perience in track maintenance and prehensive training course specifically
training from a course in track mainte- developed for the application of writ-
nance or from a college level edu- ten CWR procedures issued by the
cational program related to track track owner;
maintenance; (3) Demonstrated to the track owner
(2) Demonstrated to the owner that that the individual:
he or she— (i) Knows and understands the re-
(i) Knows and understands the requirements of those written CWR pro-
quirements of this part; cedures;
(ii) Can detect deviations from those (ii) Can detect deviations from those
requirements; and requirements; and
(iii) Can prescribe appropriate reme- (iii) Can prescribe appropriate reme-
dial action to correct or safely com- dial action to correct or safely com-
pensate for those deviations; and pensate for those deviations; and
(3) Written authorization from the (4) Written authorization from the
track owner to prescribe remedial ac- track owner to prescribe remedial ac-
tions to correct or safely compensate tions to correct or safely compensate
for deviations from the requirements in for deviations from the requirements in
this part. those procedures and successfully com-
(b) Each track owner to which this pleted a recorded examination on those
part applies shall designate qualified procedures as part of the qualification
persons to inspect track for defects. process.
Each person designated shall have— (d) Persons not fully qualified to su-
(1) At least— pervise certain renewals and inspect
(i) 1 year of experience in railroad track as required in paragraphs (a)
track inspection; or through (c) of this section, but with at
(ii) A combination of experience in least one year of maintenance-of-way
track inspection and training from a or signal experience, may pass trains
course in track inspection or from a over broken rails and pull aparts pro-
college level educational program re- vided that—
lated to track inspection; (1) The track owner determines the
(2) Demonstrated to the owner that person to be qualified and, as part of
he or she— doing so, trains, examines, and re-ex-
(i) Knows and understands the re- amines the person periodically within
quirements of this part; two years after each prior examination
(ii) Can detect deviations from those on the following topics as they relate
requirements; and to the safe passage of trains over bro-
(iii) Can prescribe appropriate reme- ken rails or pull aparts: rail defect
dial action to correct or safely com- identification, crosstie condition,
pensate for those deviations; and track surface and alinement, gage re-
(3) Written authorization from the straint, rail end mismatch, joint bars,
track owner to prescribe remedial ac- and maximum distance between rail
tions to correct or safely compensate ends over which trains may be allowed
for deviations from the requirements of to pass. The sole purpose of the exam-
this part, pending review by a qualified ination is to ascertain the person’s
person designated under paragraph (a) ability to effectively apply these re-
of this section. quirements and the examination may
(c) Individuals designated under not be used to disqualify the person
paragraphs (a) or (b) of this section from other duties. A minimum of four
that inspect continuous welded rail hours training is required for initial
(CWR) track or supervise the installa- training;
103
§ 213.9 49 CFR Ch. II (10–1–11 Edition)
(2) The person deems it safe and train pliance, under the authority of a per-
speeds are limited to a maximum of 10 son designated under § 213.7(a), who has
m.p.h. over the broken rail or pull at least one year of supervisory experi-
apart; ence in railroad track maintenance,
(3) The person shall watch all move- after that person determines that oper-
ments over the broken rail or pull ations may safely continue and subject
apart and be prepared to stop the train to any limiting conditions specified by
if necessary; and such person.
(4) Person(s) fully qualified under
§ 213.7 are notified and dispatched to § 213.11 Restoration or renewal of
the location promptly for the purpose track under traffic conditions.
of authorizing movements and effect- If during a period of restoration or
ing temporary or permanent repairs. renewal, track is under traffic condi-
(e) With respect to designations tions and does not meet all of the re-
under paragraphs (a) through (d) of this quirements prescribed in this part, the
section, each track owner shall main- work on the track shall be under the
tain written records of— continuous supervision of a person des-
(1) Each designation in effect; ignated under § 213.7(a) who has at least
(2) The basis for each designation; one year of supervisory experience in
and railroad track maintenance, and sub-
(3) Track inspections made by each ject to any limiting conditions speci-
designated qualified person as required fied by such person. The term ‘‘contin-
by § 213.241. These records shall be kept uous supervision’’ as used in this sec-
available for inspection or copying by tion means the physical presence of
the Federal Railroad Administration that person at a job site. However,
during regular business hours. since the work may be performed over
a large area, it is not necessary that
[63 FR 34029, June 22, 1998, as amended at 74
each phase of the work be done under
FR 43002, Aug. 25, 2009]
the visual supervision of that person.
§ 213.9 Classes of track: operating
speed limits. § 213.13 Measuring track not under
load.
When unloaded track is measured to
(b) of this section and §§ 213.57(b),
determine compliance with require-
213.59(a), 213.113(a), and 213.137(b) and
ments of this part, the amount of rail
(c), the following maximum allowable
movement, if any, that occurs while
operating speeds apply—
the track is loaded must be added to
[In miles per hour]
the measurements of the unloaded
Over track that The maximum al- The maximum al-
track.
meets all of the re- lowable operating lowable operating
quirements pre- § 213.15 Penalties.
speed for freight speed for pas-
scribed in this part trains is— senger trains is—
for— (a) Any person who violates any re-
Excepted track ....... 10 N/A quirement of this part or causes the
Class 1 track ......... 10 15 violation of any such requirement is
Class 2 track ......... 25 30 subject to a civil penalty of at least
Class 3 track ......... 40 60
Class 4 track ......... 60 80 $650 and not more than $25,000 per vio-
Class 5 track ......... 80 90 lation, except that: Penalties may be
assessed against individuals only for
(b) If a segment of track does not willful violations, and, where a grossly
meet all of the requirements for its in- negligent violation or a pattern of re-
tended class, it is reclassified to the peated violations has created an immi-
next lowest class of track for which it nent hazard of death or injury to per-
does meet all of the requirements of sons, or has caused death or injury, a
this part. However, if the segment of penalty not to exceed $100,000 per viola-
track does not at least meet the re- tion may be assessed. ‘‘Person’’ means
quirements for Class 1 track, oper- an entity of any type covered under 1
ations may continue at Class 1 speeds U.S.C. 1, including but not limited to
for a period of not more than 30 days the following: a railroad; a manager,
without bringing the track into com- supervisor, official, or other employee
104
or agent of a railroad; any owner, man- sections: §§ 213.4, 213.5, 213.7, 213.17,
ufacturer, lessor, or lessee of railroad 213.57, 213.119, 213.122, 213.233, 213.237,
equipment, track, or facilities; any 213.241, 213.303, 213.305, 213.317, 213.329,
independent contractor providing 213.333, 213.339, 213.341, 213.343, 213.345,
goods or services to a railroad; any em- 213.353, 213.361, 213.369.
ployee of such owner, manufacturer,
lessor, lessee, or independent con- Subpart B—Roadbed
tractor; and anyone held by the Fed-
eral Railroad Administrator to be re- § 213.31 Scope.
sponsible under § 213.5(d) or § 213.303(c). This subpart prescribes minimum re-
Each day a violation continues shall quirements for roadbed and areas im-
constitute a separate offense. See ap- mediately adjacent to roadbed.
pendix B to this part for a statement of
agency civil penalty policy. § 213.33 Drainage.
(b) Any person who knowingly and
Each drainage or other water car-
willfully falsifies a record or report re-
rying facility under or immediately ad-
quired by this part may be subject to
jacent to the roadbed shall be main-
criminal penalties under 49 U.S.C.
tained and kept free of obstruction, to
21311.
accommodate expected water flow for
[63 FR 34029, June 22, 1998, as amended at 69 the area concerned.
FR 30593, May 28, 2004; 72 FR 51196, Sept. 6,
2007; 73 FR 79701, Dec. 30, 2008] § 213.37 Vegetation.
§ 213.17 Waivers. Vegetation on railroad property
which is on or immediately adjacent to
(a) Any owner of track to which this roadbed shall be controlled so that it
part applies, or other person subject to does not—
this part, may petition the Federal (a) Become a fire hazard to track-car-
Railroad Administrator for a waiver rying structures;
from any or all requirements pre- (b) Obstruct visibility of railroad
scribed in this part. The filing of such signs and signals:
a petition does not affect that person’s
(1) Along the right-of-way, and
responsibility for compliance with that
(2) At highway-rail crossings; (This
requirement while the petition is being
paragraph (b)(2) is applicable Sep-
considered.
tember 21, 1999.)
(b) Each petition for a waiver under
(c) Interfere with railroad employees
this section shall be filed in the man-
performing normal trackside duties;
ner and contain the information re-
(d) Prevent proper functioning of sig-
quired by part 211 of this chapter.
nal and communication lines; or
(c) If the Administrator finds that a
(e) Prevent railroad employees from
waiver is in the public interest and is
visually inspecting moving equipment
consistent with railroad safety, the Ad-
from their normal duty stations.
ministrator may grant the exemption
subject to any conditions the Adminis-
trator deems necessary. Where a waiv- Subpart C—Track Geometry
er is granted, the Administrator pub-
lishes a notice containing the reasons § 213.51 Scope.
for granting the waiver. This subpart prescribes requirements
for the gage, alinement, and surface of
§ 213.19 Information collection. track, and the elevation of outer rails
(a) The information collection re- and speed limitations for curved track.
quirements of this part were reviewed
by the Office of Management and Budg- § 213.53 Gage.
et pursuant to the Paperwork Reduc- (a) Gage is measured between the
tion Act of 1995 (44 U.S.C. 3501 et seq.) heads of the rails at right-angles to the
and are assigned OMB control number rails in a plane five-eighths of an inch
2130–0010. below the top of the rail head.
(b) The information collection re- (b) Gage shall be within the limits
quirements are found in the following prescribed in the following table—
105
§ 213.55 49 CFR Ch. II (10–1–11 Edition)
Class of track The gage must be at least— But not more than—
Excepted track ................................................... N/A .................................................................... 4′101⁄4″.

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 ................................................................................... 11⁄2 1 11⁄2
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 D = Degree of curvature (degrees). 2

limitations. (2) Table 1 of appendix A is a table of
(a) The maximum crosslevel on the maximum allowable operating speed
outside rail of a curve may not be more computed in accordance with this for-
than 8 inches on track Classes 1 and 2 mula for various elevations and degrees
and 7 inches on Classes 3 through 5. Ex- of curvature.
cept as provided in § 213.63, the outside (c)(1) For rolling stock meeting the
rail of a curve may not be lower than requirements specified in paragraph (d)
the inside rail. (The first sentence of of this section, the maximum operating
paragraph (a) is applicable September speed for each curve may be deter-
21, 1999.) mined by the following formula—
(b)(1) The maximum allowable oper-
ating speed for each curve is deter- Ea + 4
mined by the following formula—
Vmax =
0.0007D
Where—
Ea + 3
Vmax = Vmax = Maximum allowable operating speed
0.0007D (miles per hour).
Where— Ea = Actual elevation of the outside rail
(inches). 1
Vmax = Maximum allowable operating speed
D = Degree of curvature (degrees). 2
(miles per hour).
Ea = Actual elevation of the outside rail (2) Table 2 of appendix A is a table of
(inches). 1 maximum allowable operating speed
1 Actual elevation for each 155 foot track

average the points through the full length of
segment in the body of the curve is deter- the body of the curve.
mined by averaging the elevation for 10 2 Degree of curvature is determined by
ER22JN98.002</GPH>
points through the segment at 15.5 foot spac- averaging the degree of curvature over the
ing. If the curve length is less than 155 feet, same track segment as the elevation.
106
ER22JN98.001</GPH>
computed in accordance with this for- (e) A track owner, or an operator of a

mula for various elevations and degrees passenger or commuter service, who
of curvature. provides passenger or commuter serv-
(d) Qualified equipment may be oper- ice over trackage of more than one
ated at curving speeds determined by track owner with the same class of
the formula in paragraph (c) of this equipment may provide written notifi-
section, provided each specific class of cation to the Federal Railroad Admin-
equipment is approved for operation by istrator with the written consent of
the Federal Railroad Administration the other affected track owners.
and the railroad demonstrates that: (f) Equipment presently operating at
(1) When positioned on a track with a curving speeds allowed under the for-
uniform 4-inch superelevation, the roll mula in paragraph (c) of this section,
angle between the floor of the equip- by reason of conditional waivers grant-
ment and the horizontal does not ex- ed by the Federal Railroad Administra-
ceed 5.7 degrees; and tion, shall be considered to have suc-
(2) When positioned on a track with a cessfully complied with the require-
uniform 6 inch superelevation, no ments of paragraph (d) of this section.
wheel of the equipment unloads to a (g) A track owner or a railroad oper-
value of 60 percent of its static value ating above Class 5 speeds, may request
on perfectly level track, and the roll approval from the Federal Railroad Ad-
angle between the floor of the equip- ministrator to operate specified equip-
ment and the horizontal does not ex- ment at a level of cant deficiency
ceed 8.6 degrees. greater than four inches in accordance
(3) The track owner shall notify the with § 213.329(c) and (d) on curves in
Federal Railroad Administrator no less Class 1 through 5 track which are con-
than 30 calendar days prior to the pro- tiguous to the high speed track pro-
posed implementation of the higher vided that—
curving speeds allowed under the for- (1) The track owner or railroad sub-
mula in paragraph (c) of this section. mits a test plan to the Federal Rail-
The notification shall be in writing and road Administrator for approval no less
shall contain, at a minimum, the fol- than thirty calendar days prior to any
lowing information— proposed implementation of the higher
(i) A complete description of the curving speeds. The test plan shall in-
class of equipment involved, including clude an analysis and determination of
schematic diagrams of the suspension carbody acceleration safety limits for
systems and the location of the center each vehicle type which indicate wheel
of gravity above top of rail; unloading of 60 percent in a steady
(ii) A complete description of the test state condition and 80 percent in a
procedure 3 and instrumentation used transient (point by point) condition.
to qualify the equipment and the max- Accelerometers shall be laterally-ori-
imum values for wheel unloading and ented and floor-mounted near the end
roll angles which were observed during of a representative vehicle of each
testing; type;
(iii) Procedures or standards in effect (2) Upon FRA approval of a test plan,
which relate to the maintenance of the the track owner or railroad conducts
suspension system for the particular incrementally increasing train speed
class of equipment; and test runs over the curves in the identi-
fied track segment(s) to demonstrate
(iv) Identification of line segment on
that wheel unloading is within the lim-
which the higher curving speeds are
its prescribed in paragraph (g)(1) of this
proposed to be implemented.
section;
(3) Upon FRA approval of a cant defi-
3 The test procedure may be conducted in a
ciency level, the track owner or rail-
test facility whereby all the wheels on one road inspects the curves in the identi-
side (right or left) of the equipment are al-
ternately raised and lowered by 4 and 6
fied track segment with a Track Geom-
inches and the vertical wheel loads under etry Measurement System (TGMS)
each wheel are measured and a level is used qualified in accordance with § 213.333 (b)
to record the angle through which the floor through (g) at an inspection frequency
of the equipment has been rotated. of at least twice annually with not less
107
§ 213.59 49 CFR Ch. II (10–1–11 Edition)
than 120 days interval between inspec- § 213.59 Elevation of curved track;
tions; and runoff.
(4) The track owner or railroad oper-
(a) If a curve is elevated, the full ele-
ates an instrumented car having dy-
namic response characteristics that are vation shall be provided throughout
representative of other equipment as- the curve, unless physical conditions
signed to service or a portable device do not permit. If elevation runoff oc-
that monitors on-board instrumenta- curs in a curve, the actual minimum
tion on trains over the curves in the elevation shall be used in computing
identified track segment at the rev- the maximum allowable operating
enue speed profile at a frequency of at speed for that curve under § 213.57(b).
least once every 90-day period with not (b) Elevation runoff shall be at a uni-
less than 30 days interval between inform rate, within the limits of track
spections. The instrumented car or the surface deviation prescribed in § 213.63,
portable device shall monitor a lat- and it shall extend at least the full
erally-oriented accelerometer placed length of the spirals. If physical condi-
near the end of the vehicle at the floor tions do not permit a spiral long
level. If the carbody lateral accelera- enough to accommodate the minimum
tion measurement exceeds the safety length of runoff, part of the runoff may
limits prescribed in paragraph (g)(1), be on tangent track.
the railroad shall operate trains at
curving speeds in accordance with § 213.63 Track surface.
paragraph (b) or (c) of this section; and
(5) The track owner or railroad shall Each owner of the track to which
maintain a copy of the most recent ex- this part applies shall maintain the
ception printouts for the inspections surface of its track within the limits
required under paragraphs (g)(3) and (4) prescribed in the following table:
of this section.
[63 FR 34029, June 22, 1998; 63 FR 54078, Oct.
8, 1998]
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
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 13⁄4 11⁄4 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 assembly fittings, and the physical

conditions of rails.
§ 213.101 Scope.
This subpart prescribes minimum re-
quirements for ballast, crossties, track
108
§ 213.103 Ballast; general. forth in paragraph (b)(4) of this section

shall not be—
Unless it is otherwise structurally
(1) Broken through;
supported, all track shall be supported
(2) Split or otherwise impaired to the
by material which will—
extent the crosstie will allow the bal-
(a) Transmit and distribute the load
last to work through, or will not hold
of the track and railroad rolling equip-
spikes or rail fasteners;
ment to the subgrade;
(3) So deteriorated that the crosstie
(b) Restrain the track laterally, lon-
plate or base of rail can move laterally
gitudinally, and vertically under dy- 1⁄2 inch relative to the crosstie; or
namic loads imposed by railroad roll-
(4) Cut by the crosstie plate through
ing equipment and thermal stress ex-
more than 40 percent of a crosstie’s
erted by the rails;
thickness.
(c) Provide adequate drainage for the
(d) Concrete crossties counted to sat-
track; and
isfy the requirements set forth in para-
(d) Maintain proper track crosslevel, graph (b)(4) of this section shall not
surface, and alinement. be—
§ 213.109 Crossties. (1) Broken through or deteriorated to
the extent that prestressing material is
(a) Crossties shall be made of a mate- visible;
rial to which rail can be securely fas- (2) Deteriorated or broken off in the
tened. vicinity of the shoulder or insert so
(b) Each 39-foot segment of track that the fastener assembly can either
shall have at a minimum— pull out or move laterally more than 3⁄8
(1) A sufficient number of crossties inch relative to the crosstie;
that in combination provide effective (3) Deteriorated such that the base of
support that will— either rail can move laterally more
(i) Hold gage within the limits pre- than 3⁄8 inch relative to the crosstie on
scribed in § 213.53(b); curves of 2 degrees or greater; or can
(ii) Maintain surface within the lim- move laterally more than 1⁄2 inch rel-
its prescribed in § 213.63; and ative to the crosstie on tangent track
(iii) Maintain alinement within the or curves of less than 2 degrees;
limits prescribed in § 213.55; (4) Deteriorated or abraded at any
(2) The minimum number and type of point under the rail seat to a depth of
crossties specified in paragraph (b)(4) 1⁄2 inch or more;
of this section and described in para- (5) Deteriorated such that the cross-
graph (c) or (d), as applicable, of this tie’s fastening or anchoring system, in-
section effectively distributed to sup- cluding rail anchors (see § 213.127(b)), is
port the entire segment; unable to maintain longitudinal rail
(3) At least one non-defective crosstie restraint, or maintain rail hold down,
of the type specified in paragraphs (c) or maintain gage due to insufficient
and (d) of this section that is located at fastener toeload; or
a joint location as specified in para- (6) Configured with less than two fas-
graph (e) of this section; and teners on the same rail except as pro-
(4) The minimum number of crossties vided in § 213.127(c).
as indicated in the following table. (e) Class 1 and 2 track shall have one
crosstie whose centerline is within 24
Tangent track, turnouts, and
curves inches of each rail joint (end) location.
Class 3, 4, and 5 track shall have either
Tangent track
FRA track class Turnouts and one crosstie whose centerline is within
and curved curved track
track less than 18 inches of each rail joint location or
greater than 2
or equal to 2 degrees two crossties whose centerlines are
degrees
within 24 inches either side of each rail
Class 1 .............................. 5 6
Class 2 .............................. 8 9
joint location. The relative position of
Class 3 .............................. 8 10 these crossties is described in the fol-
Class 4 and 5 .................... 12 14 lowing three diagrams:
(1) Each rail joint in Class 1 and 2
(c) Crossties, other than concrete, track shall be supported by at least one
counted to satisfy the requirements set crosstie specified in paragraphs (c) and
109
§ 213.109 49 CFR Ch. II (10–1–11 Edition)
(d) of this section whose centerline is

within 48 inches as shown in Figure 1.
(2) Each rail joint in Class 3, 4, and 5 graphs (c) and (d) of this section whose
track shall be supported by either at centerline is within 36 inches as shown
least one crosstie specified in para- in Figure 2, or:
(3) Two crossties, one on each side of within 24 inches of the rail joint loca-
the rail joint, whose centerlines are tion as shown in Figure 3.
ER01AP11.046</GPH>
110
ER01AP11.002</GPH>
(f) For track constructed without milepost limits, class of track, or other
crossties, such as slab track, track con- identifying criteria; and
nected directly to bridge structural (2) The most recent record of million
components, track over servicing pits, gross tons of traffic per year over the
etc., the track structure shall meet the identified segment(s).
requirements of paragraph (b)(1) of this (c) The track owner shall also pro-
section. vide to FRA sufficient technical data
[76 FR 18084, Apr. 1, 2011]
to establish compliance with the min-
imum design requirements of a GRMS
§ 213.110 Gage restraint measurement vehicle which specify that—
systems. (1) Gage restraint shall be measured
(a) A track owner may elect to imple- between the heads of rail—
ment a Gage Restraint Measurement (A) At an interval not exceeding 16
System (GRMS), supplemented by the inches;
use of a Portable Track Loading Fix- (B) Under an applied vertical load of
ture (PTLF), to determine compliance no less than 10,000 pounds per rail; and
with the crosstie and fastener require- (C) Under an applied lateral load
ments specified in §§ 213.109 and 213.127 which provides for a lateral/vertical
provided that— load ratio between 0.5 and 1.25, and a
(1) The track owner notifies the ap- load severity greater than 3,000 pounds
propriate FRA Regional office at least but less than 8,000 pounds.
30 days prior to the designation of any (d) Load severity is defined by the
line segment on which GRMS tech- formula—S=L-cV
nology will be implemented; and Where—
(2) The track owner notifies the ap- S=Load severity, defined as the lateral load
propriate FRA Regional office at least applied to the fastener system (pounds).
10 days prior to the removal of any line L=Actual lateral load applied (pounds).
segment from GRMS designation. c=Coefficient of friction between rail/tie
(b) Initial notification under para- which is assigned a nominal value of (0.4).
V=Actual vertical load applied (pounds).
graph (a)(1) of this section shall in-
clude— (e) The measured gage values shall be
(1) Identification of the line seg- converted to a Projected Loaded Gage
ment(s) by timetable designation, 24 (PLG 24) as follows—
PLG 24 = UTG + A × ( LTG − UTG)

ER10JA01.000</MATH>
111
ER01AP11.003</GPH>
§ 213.110 49 CFR Ch. II (10–1–11 Edition)
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- (2) Maintain each PTLF used for de-
ble of producing output reports that termining compliance with the require-
provide a trace, on a constant-distance ments of this section such that the
scale, of all parameters specified in 4,000-pound reading is accurate to with-
paragraph (l) of this section. in five percent of that reading.
(h) The GRMS vehicle shall be capa- (k) The track owner shall provide
ble of providing an exception report training in GRMS technology to all
containing a systematic listing of all persons designated as fully qualified
exceptions, by magnitude and location, under § 213.7 and whose territories are
to all the parameters specified in para- subject to the requirements of this sec-
graph (l) of this section. tion. The training program shall be
(i) The exception reports required by made available to the Federal Railroad
this section shall be provided to the ap- Administration upon request. At a
propriate person designated as fully minimum, the training program shall
qualified under § 213.7 prior to the next address—
inspection required under § 213.233. (1) Basic GRMS procedures;
(j) The track owner shall institute (2) Interpretation and handling of ex-
the necessary procedures for maintain-
ception reports generated by the GRMS
ing the integrity of the data collected
vehicle;
by the GRMS and PTLF systems. At a
minimum, the track owner shall— (3) Locating and verifying defects in
(1) Maintain and make available to the field;
the Federal Railroad Administration (4) Remedial action requirements;
documented calibration procedures on (5) Use and calibration of the PTLF;
each GRMS vehicle which, at a min- and
imum, shall specify a daily instrument (6) Recordkeeping requirements.
verification procedure that will ensure (l) The GRMS record of lateral re-
correlation between measurements straint shall identify two exception
made on the ground and those recorded levels. At a minimum, the track owner
by the instrumentation with respect to shall initiate the required remedial ac-
loaded and unloaded gage parameters; tion at each exception level as defined
ER10JA01.002</MATH>
and in the following table—
112
ER10JA01.001</MATH>
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 ments of paragraph (m)(1)(i) and (ii) of
PTLF may be used as an additional an- this section.
alytical tool to assist fully qualified (4) When a functional PTLF is not
§ 213.7 individuals in determining com- available to a fully qualified person
pliance with the crosstie and fastener designated under § 213.7, the criteria for
requirements of §§ 213.109 and 213.127. determining crosstie and fastener com-
When the PTLF is used, whether as an pliance shall be based solely on the re-
additional analytical tool or to fulfill quirements specified in §§ 213.109 and
the requirements of paragraph (l), it 213.127.
shall be used subject to the following (5) If the PTLF becomes non-func-
criteria— tional or is missing, the track owner
(1) At any location along the track will replace or repair it before the next
that the PTLF is applied, that location inspection required under § 213.233.
will be deemed in compliance with the (6) Where vertical loading of the
crosstie and fastener requirements track is necessary for contact with the
specified in §§ 213.109 and 213.127 pro- lateral rail restraint components, a
vided that— PTLF test will not be considered valid
until contact with these components is
(i) The total gage widening at that
restored under static loading condi-
location does not exceed 5⁄8 inch when
tions.
increasing the applied force from 0 to
(n) The track owner shall maintain a
4,000 pounds; and record of the two most recent GRMS
(ii) The gage of the track under 4,000 inspections at locations which meet
pounds of applied force does not exceed the requirements specified in
the allowable gage prescribed in § 213.241(b). At a minimum, records
§ 213.53(b) for the class of track. shall indicate the following—
(2) Gage widening in excess of 5⁄8 inch (1) Location and nature of each First
shall constitute a deviation from Class Level exception; and
1 standards. (2) Nature and date of remedial ac-
(3) A person designated as fully quali- tion, if any, for each exception identi-
fied under § 213.7 retains the discre- fied in paragraph (n)(1) of this section.
tionary authority to prescribe addi- (o) The inspection interval for des-
tional remedial actions for those loca- ignated GRMS line segments shall be
tions which comply with the require- such that—
113
§ 213.113 49 CFR Ch. II (10–1–11 Edition)
(1) On line segments where the an- (5) Loaded Track Gage (LTG) means
nual tonnage exceeds two million gross the gage measured by the GRMS vehi-
tons, or where the maximum operating cle at a point no more than 12 inches
speeds for passenger trains exceeds 30 from the lateral load application point.
mph, GRMS inspections must be per- (6) Portable Track Loading Fixture
formed annually at an interval not to (PTLF) means a portable track loading
exceed 14 months; or device capable of applying an increas-
(2) On line segments where the an- ing lateral force from 0 to 4,000 pounds
nual tonnage is two million gross tons on the web/base fillet of each rail si-
or less and the maximum operating multaneously.
speed for passenger trains does not ex- (7) Projected Loaded Gage (PLG) means
ceed 30 mph, the interval between an extrapolated value for loaded gage
GRMS inspections must not exceed 24 calculated from actual measured loads
months. and deflections. PLG 24 means the ex-
(p) As used in this section— trapolated value for loaded gage under
(1) Gage Restraint Measurement System a 24,000 pound lateral load and a 33,000
(GRMS) means a track loading vehicle pound vertical load.
meeting the minimum design require- (8) Unloaded Track Gage (UTG) means
ments specified in this section. the gage measured by the GRMS vehi-
(2) Gage Widening Ratio (GWR) means cle at a point no less than 10 feet from
the measured difference between load- any lateral or vertical load.
ed and unloaded gage measurements,
linearly normalized to 16,000 pounds of [66 FR 1899, Jan. 10, 2001; 66 FR 8372, Jan. 31,
applied lateral load. 2001]
(3) L/V ratio means the numerical
§ 213.113 Defective rails.
ratio of lateral load applied at a point
on the rail to the vertical load applied (a) When an owner of track to which
at that same point. GRMS design re- this part applies learns, through in-
quirements specify an L/V ratio of be- spection or otherwise, that a rail in
tween 0.5 and 1.25. GRMS vehicles that track contains any of the defects
using load combinations developing L/ listed in the following table, a person
V ratios which exceed 0.8 must be oper- designated under § 213.7 shall determine
ated with caution to protect against whether or not the track may continue
the risk of wheel climb by the test in use. If he determines that the track
wheelset. may continue in use, operation over
(4) Load severity means the amount of the defective rail is not permitted
lateral load applied to the fastener sys- until—
tem after friction between rail and tie (1) The rail is replaced; or
is overcome by any applied gage-wid- (2) The remedial action prescribed in
ening lateral load. the table is initiated.
114
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
115
EN28SE98.059</GPH>
§ 213.113 49 CFR Ch. II (10–1–11 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
116
compound or even transverse fissures separating the head from the web of
with which they should not be confused the rail at the head fillet area.
or classified. [63 FR 34029, June 22, 1998; 63 FR 51639, Sept.
(10) Ordinary break means a partial or 28, 1998]
complete break in which there is no
sign of a fissure, and in which none of § 213.115 Rail end mismatch.
the other defects described in this Any mismatch of rails at joints may
paragraph (b) are found. not be more than that prescribed by
(11) Damaged rail means any rail bro- the following table—
ken or injured by wrecks, broken, flat,
or unbalanced wheels, slipping, or simi- Any mismatch of rails at joints may
not be more than the following—
lar causes.
Class of track
(12) Flattened rail means a short On the tread of On the gage side
of the rail ends
length of rail, not at a joint, which has the rail ends (inch) (inch)
flattened out across the width of the
Class 1 track ......... 14 ⁄ 14 ⁄
rail head to a depth of 3⁄8 inch or more Class 2 track ......... 14 ⁄ ⁄
3 16
below the rest of the rail. Flattened Class 3 track ......... ⁄
3 16 ⁄
3 16
rail occurrences have no repetitive reg- Class 4 and 5 track 18 ⁄ 18 ⁄

ularity and thus do not include cor-
rugations, and have no apparent local- § 213.118 Continuous welded rail
ized cause such as a weld or engine (CWR); plan review and approval.
burn. Their individual length is rel- (a) Each track owner with track con-
atively short, as compared to a condi- structed of CWR shall have in effect
tion such as head flow on the low rail and comply with a plan that contains
of curves. written procedures which address: the
(13) Bolt hole crack means a crack installation, adjustment, maintenance,
across the web, originating from a bolt and inspection of CWR; inspection of
hole, and progressing on a path either CWR joints; and a training program for
inclined upward toward the rail head or the application of those procedures.
inclined downward toward the base. (b) The track owner shall file its
Fully developed bolt hole cracks may CWR plan with the FRA Associate Ad-
continue horizontally along the head/ ministrator for Railroad Safety/Chief
web or base/web fillet, or they may Safety Officer (Associate Adminis-
progress into and through the head or trator). Within 30 days of receipt of the
base to separate a piece of the rail end submission, FRA will review the plan
from the rail. Multiple cracks occur- for compliance with this subpart. FRA
ring in one rail end are considered to will approve, disapprove or condi-
be a single defect. However, bolt hole tionally approve the submitted plan,
cracks occurring in adjacent rail ends and will provide written notice of its
within the same joint must be reported determination.
as separate defects. (c) The track owner’s existing plan
(14) Defective weld means a field or shall remain in effect until the track
plant weld containing any discontinu- owner’s new plan is approved or condi-
ities or pockets, exceeding 5 percent of tionally approved and is effective pur-
the rail head area individually or 10 suant to paragraph (d) of this section.
percent in the aggregate, oriented in or (d) The track owner shall, upon re-
near the transverse plane, due to in- ceipt of FRA’s approval or conditional
complete penetration of the weld metal approval, establish the plan’s effective
between the rail ends, lack of fusion date. The track owner shall advise in
between weld and rail end metal, en- writing FRA and all affected employees
trainment of slag or sand, under-bead of the effective date.
or other shrinkage cracking, or fatigue (e) FRA, for cause stated, may, sub-
cracking. Weld defects may originate sequent to plan approval or conditional
in the rail head, web, or base, and in approval, require revisions to the plan
some cases, cracks may progress from to bring the plan into conformity with
the defect into either or both adjoining this subpart. Notice of a revision re-
rail ends. quirement shall be made in writing and
(15) Head and web separation means a specify the basis of FRA’s requirement.
progressive fracture, longitudinally The track owner may, within 30 days of
117
§ 213.119 49 CFR Ch. II (10–1–11 Edition)
the revision requirement, respond and (i) Weld the joint;

provide written submissions in support (ii) Replace the broken bar(s), replace
of the original plan. FRA renders a the broken bolts, adjust the anchors
final decision in writing. Not more and, within 30 days, weld the joint;
than 30 days following any final deci- (iii) Replace the broken bar(s), re-
sion requiring revisions to a CWR plan, place the broken bolts, install one ad-
the track owner shall amend the plan ditional bolt per rail end, and adjust
in accordance with FRA’s decision and anchors;
resubmit the conforming plan. The (iv) Replace the broken bar(s), re-
conforming plan becomes effective place the broken bolts, and anchor
upon its submission to FRA. every tie 195 feet in both directions
[74 FR 43002, Aug. 25, 2009] from the CWR joint; or
(v) Replace the broken bar(s), replace
§ 213.119 Continuous welded rail the broken bolts, add rail with provi-
(CWR); plan contents. sions for later adjustment pursuant to
The track owner shall comply with paragraph (d)(2) of this section, and re-
the contents of the CWR plan approved apply the anchors.
or conditionally approved under (d) Procedures which specifically ad-
§ 213.118. The plan shall contain the fol- dress maintaining a desired rail instal-
lowing elements— lation temperature range when cutting
(a) Procedures for the installation CWR, including rail repairs, in-track
and adjustment of CWR which in- welding, and in conjunction with ad-
clude— justments made in the area of tight
(1) Designation of a desired rail in- track, a track buckle, or a pull-apart.
stallation temperature range for the Rail repair practices shall take into
geographic area in which the CWR is consideration existing rail temperature
located; and so that—
(2) De-stressing procedures/methods (1) When rail is removed, the length
which address proper attainment of the installed shall be determined by taking
desired rail installation temperature into consideration the existing rail
range when adjusting CWR. temperature and the desired rail instal-
(b) Rail anchoring or fastening relation temperature range; and
quirements that will provide sufficient
(2) Under no circumstances should
restraint to limit longitudinal rail and
rail be added when the rail tempera-
crosstie movement to the extent prac-
ture is below that designated by para-
tical, and specifically addressing CWR
graph (a)(1) of this section, without
rail anchoring or fastening patterns on
provisions for later adjustment.
bridges, bridge approaches, and at
(e) Procedures which address the
other locations where possible longitu-
monitoring of CWR in curved track for
dinal rail and crosstie movement asso-
inward shifts of alinement toward the
ciated with normally expected train-in-
center of the curve as a result of dis-
duced forces, is restricted.
turbed track.
(c) CWR joint installation and main-
tenance procedures which require (f) Procedures which govern train
that— speed on CWR track when—
(1) Each rail shall be bolted with at (1) Maintenance work, track rehabili-
least two bolts at each CWR joint; tation, track construction, or any
(2) In the case of a bolted joint in- other event occurs which disturbs the
stalled during CWR installation after roadbed or ballast section and reduces
October 21, 2009, the track owner shall the lateral or longitudinal resistance of
either, within 60 days— the track; and
(i) Weld the joint; (2) The difference between the aver-
(ii) Install a joint with six bolts; or age rail temperature and the average
(iii) Anchor every tie 195 feet in both rail neutral temperature is in a range
directions from the joint; and that causes buckling-prone conditions
(3) In the case of a bolted joint in to be present at a specific location; and
CWR experiencing service failure or a (3) In formulating the procedures
failed bar with a rail gap present, the under paragraphs (f)(1) and (f)(2) of this
track owner shall either— section, the track owner shall—
118
(i) Determine the speed required, and cluding, at a minimum, periodic on-
the duration and subsequent removal foot inspections;
of any speed restriction based on the (2) Identify joint bars with visible or
restoration of the ballast, along with otherwise detectable cracks and con-
sufficient ballast re-consolidation to duct remedial action pursuant to
stabilize the track to a level that can § 213.121;
accommodate expected train-induced (3) Specify the conditions of actual or
forces. Ballast re-consolidation can be potential joint failure for which per-
achieved through either the passage of sonnel must inspect, including, at a
train tonnage or mechanical stabiliza- minimum, the following items:
tion procedures, or both; and
(ii) Take into consideration the type (i) Loose, bent, or missing joint bolts;
of crossties used. (ii) Rail end batter or mismatch that
(g) Procedures which prescribe when contributes to instability of the joint;
physical track inspections are to be and
performed. (iii) Evidence of excessive longitu-
(1) At a minimum, these procedures dinal rail movement in or near the
shall address inspecting track to iden- joint, including, but not limited to;
tify— wide rail gap, defective joint bolts, dis-
(i) Buckling-prone conditions in CWR turbed ballast, surface deviations, gap
track, including— between tie plates and rail, or dis-
(A) Locations where tight or kinky placed rail anchors;
rail conditions are likely to occur; and (4) Specify the procedures for the in-
(B) Locations where track work of spection of CWR joints that are
the nature described in paragraph imbedded in highway-rail crossings or
(f)(1)(i) of this section has recently in other structures that prevent a com-
been performed; and plete inspection of the joint, including
(ii) Pull-apart prone conditions in procedures for the removal from the
CWR track, including locations where joint of loose material or other tem-
pull-apart or stripped-joint rail condi- porary material;
tions are likely to occur; and
(5) Specify the appropriate corrective
(2) In formulating the procedures
under paragraph (g)(1) of this section, actions to be taken when personnel
the track owner shall— find conditions of actual or potential
(i) Specify when the inspections will joint failure, including on-foot follow-
be conducted; and up inspections to monitor conditions of
(ii) Specify the appropriate remedial potential joint failure in any period
actions to be taken when either buck- prior to completion of repairs;
ling-prone or pull-apart prone condi- (6) Specify the timing of periodic in-
tions are found. spections, which shall be based on the
(h) Procedures which prescribe the configuration and condition of the
scheduling and conduct of inspections joint:
to detect cracks and other indications (i) Except as provided in paragraphs
of potential failures in CWR joints. In (h)(6)(ii) through (h)(6)(iv) of this sec-
formulating the procedures under this tion, track owners must specify that
paragraph, the track owner shall— all CWR joints are inspected, at a min-
(1) Address the inspection of joints imum, in accordance with the intervals
and the track structure at joints, in- 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 ton-
nage of:
Less than 40 Greater than Greater than

40 to 60 mgt Less than 20
mgt 60 mgt or equal to 20
mgt mgt
Class 5 & above ........................................ 2 32 42 32 32

Class 4 ...................................................... 2 32 42 2 32
Class 3 ...................................................... 1 2 2 2 2
Class 2 ...................................................... 0 0 0 1 1
119
§ 213.119 49 CFR Ch. II (10–1–11 Edition)
MINIMUM NUMBER OF INSPECTIONS PER CALENDAR YEAR 1—Continued

Freight trains operating over track with an annual Passenger trains operating
tonnage of: over track with an annual ton-
nage of:
Less than 40 Greater than Greater than

40 to 60 mgt Less than 20
mgt 60 mgt or equal to 20
mgt mgt
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 the requirements in § 213.241. A track

applied by the track owner, a passenger owner may include in its § 213.235 in-
train conducting an unscheduled de- spections, in lieu of the joint inspec-
tour operation may proceed over track tions required by paragraph (h)(6)(i) of
not normally used for passenger oper- this section, CWR joints that are lo-
ations at a speed not to exceed the cated in track structure that is adja-
maximum authorized speed otherwise cent to switches and turnouts, provided
allowed, even though CWR joints have that the track owner precisely defines
not been inspected in accordance with the parameters of that arrangement in
the frequency identified in paragraph the CWR plans.
(h)(6)(i) of this section, provided that: (7) Specify the recordkeeping require-
(A) All CWR joints have been in- ments related to joint bars in CWR, in-
spected consistent with requirements cluding the following:
for freight service; and (i) The track owner shall keep a
(B) The unscheduled detour operation record of each periodic and follow-up
lasts no more than 14 consecutive cal- inspection required to be performed by
endar days. In order to continue oper- the track owner’s CWR plan, except for
ations beyond the 14-day period, the those inspections conducted pursuant
track owner must inspect the CWR to § 213.235 for which track owners must
joints in accordance with the require- maintain records pursuant to § 213.241.
ments of paragraph (h)(6)(i) of this sec- The record shall be prepared on the day
tion. the inspection is made and signed by
(iii) Tourist, scenic, historic, or ex- the person making the inspection. The
cursion operations, if limited to the record shall include, at a minimum,
maximum authorized speed for pas- the following items: the boundaries of
senger trains over the next lower class the territory inspected; the nature and
of track, need not be considered in de- location of any deviations at the joint
termining the frequency of inspections from the requirements of this part or
under paragraph (h)(6)(i) of this sec- of the track owner’s CWR plan, with
tion. the location identified with sufficient
(iv) All CWR joints that are located precision that personnel could return
in switches, turnouts, track crossings, to the joint and identify it without am-
lift rail assemblies or other transition biguity; the date of the inspection; the
devices on moveable bridges must be remedial action, corrective action, or
inspected on foot at least monthly, both, that has been taken or will be
consistent with the requirements in taken; and the name or identification
§ 213.235; and all records of those inspec- number of the person who made the in-
tions must be kept in accordance with spection.
120
(ii) The track owner shall generate a (i) The track owner shall submit the
Fracture Report for every cracked or proposed alternate procedures and a
broken CWR joint bar that the track supporting statement of justification
owner discovers during the course of an to the Associate Administrator.
inspection conducted pursuant to (ii) If the Associate Administrator
§ 213.119(g), § 213.233, or § 213.235 on track finds that the proposed alternate pro-
that is required under § 213.119(h)(6)(i) cedures provide an equivalent or higher
to be inspected. level of safety than the requirements
(A) The Fracture Report shall be pre- in paragraphs (h)(1) through (h)(7) of
pared on the day the cracked or broken this section, the Associate Adminis-
joint bar is discovered. The Report trator will approve the alternate proce-
shall include, at a minimum: the rail- dures by notifying the track owner in
road name; the location of the joint bar writing. The Associate Administrator
as identified by milepost and subdivi- will specify in the written notification
sion; the class of track; annual million the date on which the procedures will
gross tons for the previous calendar become effective, and after that date,
year; the date of discovery of the crack the track owner shall comply with the
or break; the rail section; the type of procedures. If the Associate Adminis-
bar (standard, insulated, or com- trator determines that the alternate
promise); the number of holes in the procedures do not provide an equiva-
joint bar; a general description of the lent level of safety, the Associate Ad-
location of the crack or break in bar; ministrator will disapprove the alter-
the visible length of the crack in nate procedures in writing, and the
inches; the gap measurement between track owner shall continue to comply
rail ends; the amount and length of rail with the requirements in paragraphs
end batter or ramp on each rail end; (h)(1) through (h)(7) of this section.
the amount of tread mismatch; the (iii) While a determination is pending
vertical movement of joint; and in with the Associate Administrator on a
curves or spirals, the amount of gage request submitted pursuant to para-
graph (h)(8) of this section, the track
mismatch and the lateral movement of
owner shall continue to comply with
the joint.
the requirements contained in para-
(B) The track owner shall submit the
graphs (h)(1) through (h)(7) of this sec-
information contained in the Fracture tion.
Reports to the FRA Associate Adminis- (i) The track owner shall have in ef-
trator twice annually, by July 31 for fect a comprehensive training program
the preceding six-month period from for the application of these written
January 1 through June 30 and by Jan- CWR procedures, with provisions for
uary 31 for the preceding six-month pe- annual re-training, for those individ-
riod from July 1 through December 31. uals designated under § 213.7(c) as quali-
(C) After February 1, 2010, any track fied to supervise the installation, ad-
owner may petition FRA to conduct a justment, and maintenance of CWR
technical conference to review the track and to perform inspections of
Fracture Report data submitted CWR track. The track owner shall
through December of 2009 and assess make the training program available
whether there is a continued need for for review by FRA upon request.
the collection of Fracture Report data. (j) The track owner shall prescribe
The track owner shall submit a written and comply with recordkeeping re-
request to the Associate Adminis- quirements necessary to provide an
trator, requesting the technical con- adequate history of track constructed
ference and explaining the reasons for with CWR. At a minimum, these
proposing to discontinue the collection records must include:
of the data. (1) Rail temperature, location, and
(8) In lieu of the requirements for the date of CWR installations. Each record
inspection of rail joints contained in shall be retained for at least one year;
paragraphs (h)(1) through (h)(7) of this (2) A record of any CWR installation
section, a track owner may seek ap- or maintenance work that does not
proval from FRA to use alternate pro- conform to the written procedures.
cedures. Such record shall include the location
121
§ 213.119 49 CFR Ch. II (10–1–11 Edition)
of the rail and be maintained until the Desired rail installation temperature
CWR is brought into conformance with range means the rail temperature
such procedures; and range, within a specific geographical
(3) Information on inspection of rail area, at which forces in CWR should
joints as specified in paragraph (h)(7) of not cause a buckling incident in ex-
this section. treme heat, or a pull apart during ex-
(k) The track owner shall make read- treme cold weather.
ily available, at every job site where Disturbed track means the disturbance
personnel are assigned to install, in- of the roadbed or ballast section, as a
spect or maintain CWR, a copy of the result of track maintenance or any
track owner’s CWR procedures and all other event, which reduces the lateral
revisions, appendices, updates, and ref- or longitudinal resistance of the track,
erenced materials related thereto prior or both.
to their effective date. Such CWR pro- Mechanical stabilization means a type
cedures shall be issued and maintained of procedure used to restore track re-
in one CWR standards and procedures sistance to disturbed track following
manual. certain maintenance operations. This
(l) As used in this section— procedure may incorporate dynamic
Adjusting/de-stressing means a proce- track stabilizers or ballast
dure by which a rail’s neutral tempera- consolidators, which are units of work
ture is re-adjusted to the desired value. equipment that are used as a sub-
It typically consists of cutting the rail stitute for the stabilization action pro-
and removing rail anchoring devices, vided by the passage of tonnage trains.
which provides for the necessary ex- Pull apart or stripped joint means a
pansion and contraction, and then re- condition when no bolts are mounted
assembling the track. through a joint on the rail end, rending
Annual re-training means training the joint bar ineffective due to exces-
every calendar year. sive expansive or contractive forces.
Buckling incident means the forma- Pull-apart prone condition means a
tion of a lateral misalignment suffi- condition when the actual rail tem-
cient in magnitude to constitute a de- perature is below the rail neutral tem-
viation from the Class 1 requirements perature at or near a joint where longi-
specified in § 213.55. These normally tudinal tensile forces may affect the
occur when rail temperatures are rel- fastenings at the joint.
atively high and are caused by high Rail anchors mean those devices
longitudinal compressive forces. which are attached to the rail and bear
Buckling-prone condition means a against the side of the crosstie to con-
track condition that can result in the trol longitudinal rail movement. Cer-
track being laterally displaced due to tain types of rail fasteners also act as
high compression forces caused by crit- rail anchors and control longitudinal
ical rail temperature combined with rail movement by exerting a downward
insufficient track strength and/or train clamping force on the upper surface of
dynamics. the rail base.
Continuous welded rail (CWR) means Rail neutral temperature is the tem-
rail that has been welded together into perature at which the rail is neither in
lengths exceeding 400 feet. Rail in- compression nor tension.
stalled as CWR remains CWR, regard- Rail temperature means the tempera-
less of whether a joint or plug is in- ture of the rail, measured with a rail
stalled into the rail at a later time. thermometer.
Corrective actions mean those actions Remedial actions mean those actions
which track owners specify in their which track owners are required to
CWR plans to address conditions of ac- take as a result of requirements of this
tual or potential joint failure, includ- part to address a non-compliant condi-
ing, as applicable, repair, restrictions tion.
on operations, and additional on-foot Tight/kinky rail means CWR which ex-
inspections. hibits minute alinement irregularities
CWR joint means any joint directly which indicate that the rail is in a con-
connected to CWR. siderable amount of compression.
122
Tourist, scenic, historic, or excursion paragraph do not apply. Those loca-

operations mean railroad operations tions when over 400 feet in length, are
that carry passengers with the convey- considered to be continuous welded rail
ance of the passengers to a particular track and shall meet all the require-
destination not being the principal pur- ments for continuous welded rail track
pose. prescribed in this part.
Track lateral resistance means the re- (g) No rail shall have a bolt hole
sistance provided by the rail/crosstie which is torch cut or burned in Classes
structure against lateral displacement. 2 through 5 track. For Class 2 track,
Track longitudinal resistance means this paragraph (g) is applicable Sep-
the resistance provided by the rail an- tember 21, 1999.
chors/rail fasteners and the ballast sec- (h) No joint bar shall be reconfigured
tion to the rail/crosstie structure by torch cutting in Classes 3 through 5
against longitudinal displacement. track.
Train-induced forces means the
vertical, longitudinal, and lateral dy- § 213.122 Torch cut rail.
namic forces which are generated dur- (a) Except as a temporary repair in
ing train movement and which can con- emergency situations no rail having a
tribute to the buckling potential of the torch cut end shall be used in Classes 3
rail. through 5 track. When a rail end is
Unscheduled detour operation means a torch cut in emergency situations,
short-term, unscheduled operation train speed over that rail end shall not
where a track owner has no more than exceed the maximum allowable for
14 calendar days’ notice that the oper- Class 2 track. For existing torch cut
ation is going to occur. rail ends in Classes 3 through 5 track
[74 FR 43002, Aug. 25, 2009, as amended at 74 the following shall apply—
FR 53889, Oct. 21, 2009; 75 FR 4705, Jan. 29, (1) Within one year of September 21,
2010] 1998, all torch cut rail ends in Class 5
track shall be removed;
§ 213.121 Rail joints. (2) Within two years of September 21,
(a) Each rail joint, insulated joint, 1998, all torch cut rail ends in Class 4
and compromise joint shall be of a track shall be removed; and
structurally sound design and dimen- (3) Within one year of September 21,
sions for the rail on which it is applied. 1998, all torch cut rail ends in Class 3
(b) If a joint bar on Classes 3 through track over which regularly scheduled
5 track is cracked, broken, or because passenger trains operate, shall be
of wear allows excessive vertical move- inventoried by the track owner.
ment of either rail when all bolts are (b) Following the expiration of the
tight, it shall be replaced. time limits specified in paragraphs
(c) If a joint bar is cracked or broken (a)(1), (2), and (3) of this section, any
between the middle two bolt holes it torch cut rail end not removed from
shall be replaced. Classes 4 and 5 track, or any torch cut
(d) In the case of conventional joint- rail end not inventoried in Class 3
ed track, each rail shall be bolted with track over which regularly scheduled
at least two bolts at each joint in passenger trains operate, shall be re-
Classes 2 through 5 track, and with at moved within 30 days of discovery.
least one bolt in Class 1 track. Train speed over that rail end shall not
(e) In the case of continuous welded exceed the maximum allowable for
rail track, each rail shall be bolted Class 2 track until removed.
with at least two bolts at each joint.
(f) Each joint bar shall be held in po- § 213.123 Tie plates.
sition by track bolts tightened to allow (a) In Classes 3 through 5 track where
the joint bar to firmly support the timber crossties are in use there shall
abutting rail ends and to allow longitu- be tie plates under the running rails on
dinal movement of the rail in the joint at least eight of any 10 consecutive
to accommodate expansion and con- ties.
traction due to temperature variations. (b) In Classes 3 through 5 track no
When no-slip, joint-to-rail contact ex- metal object which causes a con-
ists by design, the requirements of this centrated load by solely supporting a
123
§ 213.127 49 CFR Ch. II (10–1–11 Edition)
rail shall be allowed between the base point to the stock rail. Broken or
of the rail and the bearing surface of cracked switch point rails will be sub-
the tie plate. This paragraph (b) is ap- ject to the requirements of § 213.113, ex-
plicable September 21, 1999.) cept that where remedial actions C, D,
or E require the use of joint bars, and
§ 213.127 Rail fastening systems.
joint bars cannot be placed due to the
(a) Track shall be fastened by a sys- physical configuration of the switch,
tem of components that effectively remedial action B will govern, taking
maintains gage within the limits pre- into account any added safety provided
scribed in § 213.53(b). Each component by the presence of reinforcing bars on
of each such system shall be evaluated
the switch points.
to determine whether gage is effec-
tively being maintained. (c) Each switch shall be maintained
(b) If rail anchors are applied to con- so that the outer edge of the wheel
crete crossties, the combination of the tread cannot contact the gage side of
crossties, fasteners, and rail anchors the stock rail.
must provide effective longitudinal re- (d) The heel of each switch rail shall
straint. be secure and the bolts in each heel
(c) Where fastener placement im- shall be kept tight.
pedes insulated joints from performing (e) Each switch stand and connecting
as intended, the fastener may be modi- rod shall be securely fastened and oper-
fied or removed, provided that the able without excessive lost motion.
crosstie supports the rail. (f) Each throw lever shall be main-
[76 FR 18086, Apr. 1, 2011] 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.
(b) Classes 3 through 5 track shall be cepted track maximum gage limits, are
equipped with rail anchoring through permitted in Class 1 and excepted
and on each side of track crossings and track.
turnouts, to restrain rail movement af-
fecting the position of switch points § 213.137 Frogs.
and frogs. For Class 3 track, this para- (a) The flangeway depth measured
graph (b) is applicable September 21, from a plane across the wheel-bearing
1999.) area of a frog on Class 1 track shall not
(c) Each flangeway at turnouts and be less than 13⁄8 inches, or less than 11⁄2
track crossings shall be at least 11⁄2 inches on Classes 2 through 5 track.
inches wide. (b) If a frog point is chipped, broken,
§ 213.135 Switches. or worn more than five-eighths inch
down and 6 inches back, operating
(a) Each stock rail must be securely
speed over the frog shall not be more
seated in switch plates, but care shall
than 10 m.p.h.
be used to avoid canting the rail by
overtightening the rail braces. (c) If the tread portion of a frog cast-
(b) Each switch point shall fit its ing is worn down more than three-
stock rail properly, with the switch eighths inch below the original con-
stand in either of its closed positions tour, operating speed over that frog
to allow wheels to pass the switch shall not be more than 10 m.p.h.
point. Lateral and vertical movement (d) Where frogs are designed as
of a stock rail in the switch plates or of flange-bearing, flangeway depth may
a switch plate on a tie shall not ad- be less than that shown for Class 1 if
versely affect the fit of the switch operated at Class 1 speeds.
124
§ 213.139 Spring rail frogs. § 213.141 Self-guarded frogs.

(a) The outer edge of a wheel tread (a) The raised guard on a self-guarded
shall not contact the gage side of a frog shall not be worn more than three-
spring wing rail. eighths of an inch.
(b) The toe of each wing rail shall be (b) If repairs are made to a self-
solidly tamped and fully and tightly guarded frog without removing it from
bolted. service, the guarding face shall be re-
(c) Each frog with a bolt hole defect
stored before rebuilding the point.
or head-web separation shall be re-
placed. § 213.143 Frog guard rails and guard
(d) Each spring shall have compres- faces; gage.
sion sufficient to hold the wing rail
against the point rail. The guard check and guard face
(e) The clearance between the gages in frogs shall be within the lim-
holddown housing and the horn shall its prescribed in the following table—
not be more than one-fourth of an inch.
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″
1 A 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.
ER22JN98.007</GPH>
125
ER22JN98.006</GPH>
§ 213.201 49 CFR Ch. II (10–1–11 Edition)
Subpart E—Track Appliances and visual inspection. If a vehicle is used

Track-Related Devices for visual inspection, the speed of the
vehicle may not be more than 5 miles
§ 213.201 Scope. per hour when passing over track
This subpart prescribes minimum re- crossings and turnouts, otherwise, the
quirements for certain track appli- inspection vehicle speed shall be at the
ances and track-related devices. sole discretion of the inspector, based
on track conditions and inspection re-
§ 213.205 Derails. quirements. When riding over the track
(a) Each derail shall be clearly visi- in a vehicle, the inspection will be sub-
ble. ject to the following conditions—
(b) When in a locked position, a de- (1) One inspector in a vehicle may in-
rail shall be free of lost motion which spect up to two tracks at one time pro-
would prevent it from performing its vided that the inspector’s visibility re-
intended function. mains unobstructed by any cause and
(c) Each derail shall be maintained to that the second track is not centered
function as intended. more than 30 feet from the track upon
(d) Each derail shall be properly in- which the inspector is riding;
stalled for the rail to which it is ap- (2) Two inspectors in one vehicle may
plied. (This paragraph (d) is applicable inspect up to four tracks at a time pro-
September 21, 1999.) vided that the inspectors’ visibility re-
mains unobstructed by any cause and
Subpart F—Inspection that each track being inspected is cen-
tered within 39 feet from the track
§ 213.231 Scope. upon which the inspectors are riding;
This subpart prescribes requirements (3) Each main track is actually tra-
for the frequency and manner of in- versed by the vehicle or inspected on
specting track to detect deviations foot at least once every two weeks, and
from the standards prescribed in this each siding is actually traversed by the
part. vehicle or inspected on foot at least
once every month. On high density
§ 213.233 Track inspections. commuter railroad lines where track
(a) All track shall be inspected in ac- time does not permit an on track vehi-
cordance with the schedule prescribed cle inspection, and where track centers
in paragraph (c) of this section by a are 15 foot or less, the requirements of
person designated under § 213.7. this paragraph (b)(3) will not apply;
(b) Each inspection shall be made on and
foot or by riding over the track in a ve- (4) Track inspection records shall in-
hicle at a speed that allows the person dicate which track(s) are traversed by
making the inspection to visually in- the vehicle or inspected on foot as out-
spect the track structure for compli- lined in paragraph (b)(3) of this section.
ance with this part. However, mechan- (c) Each track inspection shall be
ical, electrical, and other track inspec- made in accordance with the following
tion devices may be used to supplement schedule—
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.
126
(d) If the person making the inspec- section because of train operation
tion finds a deviation from the require- interruption shall be reinspected with-
ments of this part, the inspector shall in 45 days of the resumption of train
immediately initiate remedial action. operations by a walking or automated
NOTE TO § 213.233: Except as provided in
inspection. If this inspection is con-
paragraph (b) of this section, no part of this ducted as a walking inspection, the
section will in any way be construed to limit next inspection shall be an automated
the inspector’s discretion as it involves in- inspection as prescribed in this para-
spection speed and sight distance. graph.
(c) Nonapplication. Sections of tan-
§ 213.234 Automated inspection of gent track 600 feet or less constructed
track constructed with concrete
crossties. of concrete crossties, including, but
not limited to, isolated track seg-
(a) General. Except for track de- ments, experimental or test track seg-
scribed in paragraph (c) of this section, ments, highway-rail crossings, and
the provisions in this section are appli- wayside detectors, are excluded from
cable on and after January 1, 2012. In the requirements of this section.
addition to the track inspection re- (d) Performance standard for automated
quired under § 213.233, for Class 3 main inspection measurement system. The
track constructed with concrete cross- automated inspection measurement
ties over which regularly scheduled system must be capable of measuring
passenger service trains operate, and and processing rail seat deterioration
for Class 4 and 5 main track con- requirements that specify the fol-
structed with concrete crossties, auto- lowing:
mated inspection technology shall be
(1) An accuracy, to within 1⁄8 of an
used as indicated in paragraph (b) of
inch;
this section, as a supplement to visual
inspection, by Class I railroads (includ- (2) A distance-based sampling inter-
ing Amtrak), Class II railroads, other val, which shall not exceed five feet;
intercity passenger railroads, and com- and
muter railroads or small governmental (3) Calibration procedures and param-
jurisdictions that serve populations eters assigned to the system, which as-
greater than 50,000. Automated inspec- sure that measured and recorded values
tion shall identify and report excep- accurately represent rail seat deterio-
tions to conditions described in ration.
§ 213.109(d)(4). (e) Exception reports to be produced by
(b) Frequency of automated inspections. system; duty to field-verify exceptions.
Automated inspections shall be con- The automated inspection measure-
ducted at the following frequencies: ment system shall produce an excep-
(1) If annual tonnage on Class 4 and 5 tion report containing a systematic
main track and Class 3 main track listing of all exceptions to
with regularly scheduled passenger § 213.109(d)(4), identified so that an ap-
service, exceeds 40 million gross tons propriate person(s) designated as fully
(mgt) annually, at least twice each cal- qualified under § 213.7 can field-verify
endar year, with no less than 160 days each exception.
between inspections. (1) Each exception must be located
(2) If annual tonnage on Class 4 and 5 and field-verified no later than 48 hours
main track and Class 3 main track after the automated inspection.
with regularly scheduled passenger (2) All field-verified exceptions are
service is equal to or less than 40 mgt subject to all the requirements of this
annually, at least once each calendar part.
year. (f) Recordkeeping requirements. The
(3) On Class 3, 4, and 5 main track track owner shall maintain and make
with exclusively passenger service, ei- available to FRA a record of the in-
ther an automated inspection or walk- spection data and the exception record
ing inspection must be conducted once for the track inspected in accordance
per calendar year. with this paragraph for a minimum of
(4) Track not inspected in accordance two years. The exception reports must
with paragraph (b)(1) or (b)(2) of this include the following:
127
§ 213.235 49 CFR Ch. II (10–1–11 Edition)
(1) Date and location of limits of the inspection measurement system must be ca-
inspection; pable of indicating and processing rail seat
(2) Type and location of each excep- deterioration requirements that specify the
following:
tion;
(1) An accuracy, to within 1⁄8 of an inch;
(3) Results of field verification; and
(2) A distance-based sampling interval,
(4) Remedial action if required.
which shall not exceed five feet; and
(g) Procedures for integrity of data. The (3) Calibration procedures and parameters
track owner shall institute the nec- assigned to the system, which assure that in-
essary procedures for maintaining the dicated and recorded values accurately rep-
integrity of the data collected by the resent rail seat deterioration.
measurement system. At a minimum, (e) Exception reports to be produced by sys-
the track owner shall do the following: tem; duty to field-verify exceptions. The auto-
(1) Maintain and make available to mated inspection measurement system shall
FRA documented calibration proce- produce an exception report containing a
dures of the measurement system that, systematic listing of all exceptions to
§ 213.109(d)(4), identified so that an appro-
at a minimum, specify an instrument
priate person(s) designated as fully qualified
verification procedure that ensures under § 213.7 can field-verify each exception.
correlation between measurements (1) Exception reports must be provided to
made on the ground and those recorded or be made available to all persons des-
by the instrumentation; and ignated as fully qualified under § 213.7 and
(2) Maintain each instrument used whose territories are subject to the require-
for determining compliance with this ments of § 213.234.
section such that it accurately meas- (2) Each exception must be located and
ures the depth of rail seat deteriora- field-verified no later than 48 hours after the
tion in accordance with paragraph automated inspection.
(d)(1) of this section. (3) All field-verified exceptions are subject
(h) Training. The track owner shall to all the requirements of this part.
(4) Exception reports must note areas iden-
provide annual training in handling
tified between 3⁄8 of an inch and 1⁄2 of an inch
rail seat deterioration exceptions to all as an ‘‘alert.’’
persons designated as fully qualified
under § 213.7 and whose territories are
subject to the requirements of § 213.234. * * * * *
At a minimum, the training shall ad- (g) Procedures for integrity of data. The
dress the following: track owner shall institute the necessary
(1) Interpretation and handling of the procedures for maintaining the integrity of
exception reports generated by the the data collected by the measurement sys-
automated inspection measurement tem. At a minimum, the track owner shall
system; do the following:
(1) Maintain and make available to FRA
(2) Locating and verifying exceptions
documented calibration procedures of the
in the field and required remedial ac- measurement system that, at a minimum,
tion; and specify an instrument verification procedure
(3) Recordkeeping requirements. that ensures correlation between measure-
[76 FR 18086, Apr. 1, 2011] ments made on the ground and those re-
corded by the instrumentation; and
EFFECTIVE DATE NOTE: At 76 FR 55825, (2) Maintain each instrument used for de-
Sept. 19, 2011, § 213.234 was amended by revis- termining compliance with this section such
ing the first sentence of paragraph (a) and that it accurately provides an indication of
paragraphs (d), (e) and (g), effective Novem- the depth of rail seat deterioration in ac-
ber 8, 2011 For the convenience of the user, cordance with paragraph (d)(1) of this sec-
the revised text is set forth as follows: tion.
§ 213.234 Automated inspection of track con-
structed with concrete crossties. * * * * *
(a) General. Except for track described in
paragraph (c) of this section, the provisions § 213.235 Inspection of switches, track
in this section are applicable on and after crossings, and lift rail assemblies or
July 1, 2012. * * * other transition devices on move-
able bridges.
* * * * * (a) Except as provided in paragraph
(d) Performance standard for automated in- (c) of this section, each switch, turn-
spection measurement system. The automated out, track crossing, and moveable
128
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.
(a) Each owner of track to which this
§ 213.237 Inspection of rail. part applies shall keep a record of each
(a) In addition to the track inspec- inspection required to be performed on
tions required by § 213.233, a continuous that track under this subpart.
search for internal defects shall be (b) Each record of an inspection
made of all rail in Classes 4 through 5 under §§ 213.4, 213.119, 213.233, and 213.235
track, and Class 3 track over which shall be prepared on the day the inspec-
passenger trains operate, at least once tion is made and signed by the person
every 40 million gross tons (mgt) or making the inspection. Records shall
once a year, whichever interval is specify the track inspected, date of in-
shorter. On Class 3 track over which spection, location and nature of any
passenger trains do not operate such a deviation from the requirements of this
search shall be made at least once part, and the remedial action taken by
every 30 mgt or once a year, whichever the person making the inspection. The
interval is longer. (This paragraph (a) owner shall designate the location(s)
is applicable January 1, 1999. where each original record shall be
(b) Inspection equipment shall be ca- maintained for at least one year after
pable of detecting defects between the inspection covered by the record.
joint bars, in the area enclosed by joint The owner shall also designate one lo-
bars. cation, within 100 miles of each state in
(c) Each defective rail shall be which they conduct operations, where
marked with a highly visible marking copies of records which apply to those
on both sides of the web and base. operations are either maintained or
(d) If the person assigned to operate can be viewed following 10 days notice
the rail defect detection equipment by the Federal Railroad Administra-
being used determines that, due to rail tion.
surface conditions, a valid search for (c) Rail inspection records shall
internal defects could not be made over specify the date of inspection, the loca-
a particular length of track, the test tion and nature of any internal defects
on that particular length of track can- found, the remedial action taken and
not be considered as a search for inter- the date thereof, and the location of
nal defects under paragraph (a) of this any intervals of track not tested per
section. (This paragraph (d) is not ret- § 213.237(d). The owner shall retain a
roactive to tests performed prior to rail inspection record for at least two
September 21, 1998. years after the inspection and for one
(e) If a valid search for internal de- year after remedial action is taken.
fects cannot be conducted for reasons (d) Each owner required to keep in-
described in paragraph (d) of this sec- spection records under this section
tion, the track owner shall, before the shall make those records available for
expiration of time or tonnage limits— inspection and copying by the Federal
(1) Conduct a valid search for inter- Railroad Administration.
nal defects; (e) For purposes of compliance with
(2) Reduce operating speed to a max- the requirements of this section, an
imum of 25 miles per hour until such owner of track may maintain and
129
§ 213.301 49 CFR Ch. II (10–1–11 Edition)
transfer records through electronic § 213.303 Responsibility for compli-

transmission, storage, and retrieval ance.
provided that— (a) Any owner of track to which this
(1) The electronic system be designed subpart applies who knows or has no-
so that the integrity of each record is tice that the track does not comply
maintained through appropriate levels with the requirements of this subpart,
of security such as recognition of an shall—
electronic signature, or other means, (1) Bring the track into compliance;
which uniquely identify the initiating or
person as the author of that record. No (2) Halt operations over that track.
two persons shall have the same elec- (b) If an owner of track to which this
tronic identity; subpart applies assigns responsibility
(2) The electronic storage of each for the track to another person (by
lease or otherwise), notification of the
record shall be initiated by the person
assignment shall be provided to the ap-
making the inspection within 24 hours
propriate FRA Regional Office at least
following the completion of that in-
30 days in advance of the assignment.
spection; The notification may be made by any
(3) The electronic system shall en- party to that assignment, but shall be
sure that each record cannot be modi- in writing and include the following—
fied in any way, or replaced, once the (1) The name and address of the track
record is transmitted and stored; owner;
(4) Any amendment to a record shall (2) The name and address of the per-
be electronically stored apart from the son to whom responsibility is assigned
record which it amends. Each amend- (assignee);
ment to a record shall be uniquely (3) A statement of the exact relation-
identified as to the person making the ship between the track owner and the
amendment; assignee;
(5) The electronic system shall pro- (4) A precise identification of the
vide for the maintenance of inspection track;
records as originally submitted with- (5) A statement as to the competence
and ability of the assignee to carry out
out corruption or loss of data;
the duties of the track owner under
(6) Paper copies of electronic records
this subpart;
and amendments to those records, that (6) A statement signed by the as-
may be necessary to document compli- signee acknowledging the assignment
ance with this part shall be made avail- to that person of responsibility for pur-
able for inspection and copying by the poses of compliance with this subpart.
Federal Railroad Administration at the (c) The Administrator may hold the
locations specified in paragraph (b) of track owner or the assignee or both re-
this section; and sponsible for compliance with this sub-
(7) Track inspection records shall be part and subject to the penalties under
kept available to persons who per- § 213.15.
formed the inspections and to persons (d) When any person, including a con-
performing subsequent inspections. tractor for a railroad or track owner,
performs any function required by this
[63 FR 34029, June 22, 1998, as amended at 70 part, that person is required to perform
FR 66298, Nov. 2, 2005]
that function in accordance with this
part.
Subpart G—Train Operations at
Track Classes 6 and Higher § 213.305 Designation of qualified indi-
viduals; general qualifications.
§ 213.301 Scope of subpart. Each track owner to which this sub-
This subpart applies to all track used part applies shall designate qualified
for the operation of trains at a speed individuals responsible for the mainte-
nance and inspection of track in com-
greater than 90 m.p.h. for passenger
pliance with the safety requirements
equipment and greater than 80 m.p.h.
prescribed in this subpart. Each indi-
for freight equipment. vidual, including a contractor or an
130
employee of a contractor who is not a (b) Inspect track for defects shall
railroad employee, designated to: meet the following minimum qualifica-
(a) Supervise restorations and renew- tions:
als of track shall meet the following (1) At least:
minimum requirements: (i) Five years of responsible experi-
(1) At least; ence inspecting track in Class 4 or
(i) Five years of responsible super- above and the successful completion of
visory experience in railroad track a course offered by the employer or by
maintenance in track Class 4 or higher a college level engineering program,
and the successful completion of a supplemented by special on the job
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 (ii) Can detect deviations from those
speed track. requirements; and
(2) Demonstrate to the track owner (iii) Can prescribe appropriate reme-
that the individual: dial action to correct or safely com-
(i) Knows and understands the re- pensate for those deviations; and
quirements of this subpart; (3) Be authorized in writing by the
(ii) Can detect deviations from those track owner to prescribe remedial ac-
requirements; and tions to correct or safely compensate
(iii) Can prescribe appropriate reme- for deviations from the requirements in
dial action to correct or safely com- this subpart and successful completion
pensate for those deviations; and of a recorded examination on this sub-
(3) Be authorized in writing by the part as part of the qualification proc-
track owner to prescribe remedial ac- ess.
tions to correct or safely compensate (c) Individuals designated under
for deviations from the requirements of paragraphs (a) or (b) of this section
this subpart and successful completion that inspect continuous welded rail
of a recorded examination on this sub- (CWR) track or supervise the installa-
part as part of the qualification proc- tion, adjustment, and maintenance of
ess. CWR in accordance with the written
131
§ 213.307 49 CFR Ch. II (10–1–11 Edition)
procedures established by the track hours training is adequate for initial

owner shall have: training;
(1) Current qualifications under ei- (2) The person deems it safe, and
ther paragraph (a) or (b) of this sec- train speeds are limited to a maximum
tion; of 10 m.p.h. over the broken rail or pull
(2) Successfully completed a training apart;
course of at least eight hours duration (3) The person shall watch all move-
specifically developed for the applica- ments over the broken rail or pull
tion of written CWR procedures issued apart and be prepared to stop the train
by the track owner; and if necessary; and
(3) Demonstrated to the track owner (4) Person(s) fully qualified under
that the individual: § 213.305 of this subpart are notified and
(i) Knows and understands the re- dispatched to the location as soon as
quirements of those written CWR pro- practicable for the purpose of author-
cedures; izing movements and effectuating tem-
(ii) Can detect deviations from those porary or permanent repairs.
requirements; and (e) With respect to designations
(iii) Can prescribe appropriate reme- under paragraphs (a), (b), (c) and (d) of
dial action to correct or safely com- this section, each track owner shall
pensate for those deviations; and maintain written records of:
(4) Written authorization from the (1) Each designation in effect;
track owner to prescribe remedial ac- (2) The basis for each designation, in-
tions to correct or safely compensate cluding but not limited to:
for deviations from the requirements in (i) The exact nature of any training
those procedures and successful com- courses attended and the dates thereof;
pletion of a recorded examination on (ii) The manner in which the track
those procedures as part of the quali- owner has determined a successful
fication process. The recorded exam- completion of that training course, in-
ination may be written, or it may be a cluding test scores or other qualifying
computer file with the results of an results;
interactive training course. (3) Track inspections made by each
(d) Persons not fully qualified to su- individual as required by § 213.369.
pervise certain renewals and inspect These records shall be made available
track as outlined in paragraphs (a), (b) for inspection and copying by the Fed-
and (c) of this section, but with at least eral Railroad Administration during
one year of maintenance of way or sig- regular business hours.
nal experience, may pass trains over [63 FR 34029, June 22, 1998; 63 FR 45959, Aug.
broken rails and pull aparts provided 28, 1998]
that—
(1) The track owner determines the § 213.307 Class of track: operating
person to be qualified and, as part of speed limits.
doing so, trains, examines, and re-ex- (a) Except as provided in paragraph
amines the person periodically within (b) of this section and §§ 213.329,
two years after each prior examination 213.337(a) and 213.345(c), the following
on the following topics as they relate maximum allowable operating speeds
to the safe passage of trains over bro- apply:
ken rails or pull aparts: rail defect
identification, crosstie condition, The maximum al-
Over track that meets all of the require- lowable operating
track surface and alinement, gage re- ments prescribed in this subpart for— speed for trains 1
straint, rail end mismatch, joint bars, is—
and maximum distance between rail Class 6 track ............................................. 110 m.p.h.
ends over which trains may be allowed Class 7 track ............................................. 125 m.p.h.
to pass. The sole purpose of the exam- Class 8 track ............................................. 160 m.p.h. 2
ination is to ascertain the person’s Class 9 track ............................................. 200 m.p.h.
ability to effectively apply these re- 1 Freight may be transported at passenger train speeds if
quirements and the examination may the following conditions are met:
(1) The vehicles utilized to carry such freight are of equal
not be used to disqualify the person dynamic performance and have been qualified in accordance
from other duties. A minimum of four with Sections 213.345 and 213.329(d) of this subpart.
132
(2) The load distribution and securement in the freight vehi- er from any or all requirements pre-
cle will not adversely affect the dynamic performance of the
vehicle. The axle loading pattern is uniform and does not ex- scribed in this subpart.
ceed the passenger locomotive axle loadings utilized in pas- (b) Each petition for a waiver under
senger service operating at the same maximum speed.
(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- ner and contain the information re-
umn 9A of the Hazardous Materials Table (49 CFR 172.101)
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 ter.
no passenger-carrying vehicles.
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- waiver is in the public interest and is
cability addressing other safety issues presented by the
system. consistent with railroad safety, the Ad-
ministrator may grant the waiver sub-
(b) If a segment of track does not ject to any conditions the Adminis-
meet all of the requirements for its in- trator deems necessary. Where a waiv-
tended class, it is to be reclassified to er is granted, the Administrator pub-
the next lower class of track for which lishes a notice containing the reasons
it does meet all of the requirements of for granting the waiver.
this subpart. If a segment does not
meet all of the requirements for Class § 213.319 Drainage.
6, the requirements for Classes 1
Each drainage or other water car-
through 5 apply.
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
accommodate expected water flow for
(a) Restoration or renewal of track
the area concerned.
under traffic conditions is limited to
the replacement of worn, broken, or § 213.321 Vegetation.
missing components or fastenings that
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;
(d) Prevent proper functioning of sig-
volved at any one time and the ambi-
nal and communication lines; or
ent air temperature is not above 95 de-
(e) Prevent railroad employees from
grees Fahrenheit; and
visually inspecting moving equipment
(3) Removal and replacement of the
from their normal duty stations.
rail fastenings on more than one tie at
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.
ments of this subpart, evidence of rail (b) Gage shall be within the limits
movement, if any, that occurs while prescribed in the following table:
the track is loaded shall be added to The
the measurements of the unloaded change
of gage
track. The gage within
But not more
Class of track must be at 31 feet
than—
§ 213.317 Waivers. least— must
not be
(a) Any owner of track to which this greater
than—
subpart applies may petition the Fed-
eral Railroad Administrator for a waiv- 6 ............................. ′8″ ................ 4′91⁄4″ .......... ⁄ ″
12
133
§ 213.327 49 CFR Ch. II (10–1–11 Edition)
The measured mid-chord offset values for

change nine consecutive points centered
of gage
The gage But not more within around that point and which are spaced
Class of track must be at 31 feet according to the following table:
than—
least— must
not be
greater Chord length Spacing
than—
31′ .................................................................... 7′9″
7 ............................. 4′8″ .............. 4′91⁄4″ .......... ⁄ ″
12
62′ .................................................................... 15′6″
8 ............................. 4′8″ .............. 4′91⁄4″ .......... ⁄ ″
12
124′ .................................................................. 31′0″
9 ............................. 4′81⁄4″ .......... 4′91⁄4″ .......... ⁄ ″
12
(b) For a single deviation, alinement

§ 213.327 Alinement. may not deviate from uniformity more
(a) Uniformity at any point along the than the amount prescribed in the fol-
track is established by averaging the 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. Ea = Actual elevation of the outside rail
(b) (1) The maximum allowable oper- (inches) 4.
ating speed for each curve is deter-
mined by the following formula:
4 Actual elevation for each 155 foot track
segment in the body of the curve is deter-

mined by averaging the elevation for 10
134
ER22JN98.009</GPH>
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
system and the location of the center
Ea + Eu
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
equipment, the angle, measured about limits prescribed in the following
the roll axis, between the floor of the table:
points through the segment at 15.5 foot spac- 6 The test procedure may be conducted in a
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
5 Degree of curvature is determined by
angle through which the floor of the vehicle
averaging the degree of curvature over the
has been rotated.
same track segment as the elevation.
135
ER22JN98.008</GPH>
§ 213.333 49 CFR Ch. II (10–1–11 Edition)
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 ............................................................................. 1 ⁄
34 1 ⁄
12 1 ⁄
14 1 ⁄
14
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 ............................................................................. 11⁄4 1 ⁄
78 ⁄
78
§ 213.333 Automated vehicle inspection recorded by the system shall not differ
systems. on repeated runs at the same site at
(a) For track Class 7, a qualifying the same speed more than 1/8 inch.
Track Geometry Measurement System (c) A qualifying TGMS shall be capa-
(TGMS) vehicle shall be operated at ble of measuring and processing the
least twice within 120 calendar days necessary track geometry parameters,
with not less than 30 days between in- at an interval of no more than every 2
spections. For track Classes 8 and 9, it feet, which enables the system to de-
shall be operated at least twice within termine compliance with: § 213.323,
60 days with not less than 15 days be- Track gage; § 213.327, Alinement;
tween inspections. § 213.329, Curves; elevation and speed
(b) A qualifying TGMS shall meet or limitations; and § 213.331, Track sur-
exceed minimum design requirements face.
which specify that— (d) A qualifying TGMS shall be capa-
(1) Track geometry measurements ble of producing, within 24 hours of the
shall be taken no more than 3 feet inspection, output reports that—
away from the contact point of wheels (1) Provide a continuous plot, on a
carrying a vertical load of no less than constant-distance axis, of all measured
10,000 pounds per wheel; track geometry parameters required in
(2) Track geometry measurements paragraph (c) of this section;
shall be taken and recorded on a dis- (2) Provide an exception report con-
tance-based sampling interval which taining a systematic listing of all
shall not exceed 2 feet; and track geometry conditions which con-
(3) Calibration procedures and param- stitute an exception to the class of
eters are assigned to the system which track over the segment surveyed.
assure that measured and recorded val- (e) The output reports required under
ues accurately represent track condi- paragraph (c) of this section shall con-
tions. Track geometry measurements tain sufficient location identification
136
information which enable field forces c = Coefficient of friction between rail/tie

to easily locate indicated exceptions. which is assigned a nominal value of (0.4).
(f) Following a track inspection per- V = Actual vertical load applied (pounds).
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
Where:
spection performed by a qualifying
UTG=Unloaded track gage measured by the
TGMS, copy of the plot and the excep-
GRMS vehicle at a point no less than 10
tion printout for the track segment in- feet from any lateral or vertical load appli-
volved, and additional records which: 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 (j) At least one vehicle in one train
listed exceptions to the class. per day operating in Classes 8 and 9
(h) For track Classes 8 and 9, a quali- shall be equipped with functioning on-
fying Gage Restraint Measurement board truck frame and carbody
System (GRMS) shall be operated at accelerometers. Each track owner shall
least once annually with at least 180 have in effect written procedures for
days between inspections to continu- the notification of track personnel
ously compare loaded track gage to un- when on-board accelerometers on
loaded gage under a known loading trains in Classes 8 and 9 indicate a pos-
condition. The lateral capacity of the sible track-related condition.
track structure shall not permit a gage (k) For track Classes 7 , 8 and 9, an
widening ratio (GWR) greater than 0.5 instrumented car having dynamic re-
inches. sponse characteristics that are rep-
(i) A GRMS shall meet or exceed resentative of other equipment as-
minimum design requirements which signed to service or a portable device
specify that— that monitors on-board instrumenta-
(1) Gage restraint shall be measured tion on trains shall be operated over
between the heads of the rail— the track at the revenue speed profile
(i) At an interval not exceeding 16 at a frequency of at least twice within
inches; 60 days with not less than 15 days be-
(ii) Under an applied vertical load of tween inspections. The instrumented
no less than 10,000 pounds per rail; car or the portable device shall mon-
(iii) Under an applied lateral load itor vertically and laterally oriented
which provides for lateral/vertical load accelerometers placed near the end of
ratio of between 0.5 and 1.25 7, and a the vehicle at the floor level. In addi-
load severity greater than 3,000 pounds tion, accelerometers shall be mounted
but less than 8,000 pounds per rail. on the truck frame. If the carbody lat-
Load severity is defined by the for- eral, carbody vertical, or truck frame
mula— lateral safety limits in the following
table of vehicle/track interaction safe-
S = L ¥cV ty limits are exceeded, speeds will be
where: reduced until these safety limits are
S = Load severity, defined as the lateral load not exceeded.
applied to the fastener system (pounds). (l) For track Classes 8 and 9, an in-
L = Actual lateral load applied (pounds). strumented car having dynamic re-
sponse characteristics that are rep-
7 GRMS equipment using load combina- resentative of other equipment as-
tions developing L/V ratios which exceed 0.8 signed to service shall be operated over
shall be operated with caution to protect the track at the revenue speed profile
against the risk of wheel climb by the test annually with not less than 180 days
wheelset. between inspections. The instrumented
137
ER22JN98.010</GPH>
§ 213.333 49 CFR Ch. II (10–1–11 Edition)
car shall be equipped with functioning (m) The track owner shall maintain a
instrumented wheelsets to measure copy of the most recent exception
wheel/rail forces. If the wheel/rail force printouts for the inspections required
limits in the following table of vehicle/ under paragraphs (k) and (l) of this sec-
track interaction safety limits are ex- tion.
ceeded, speeds will be reduced until
these safety limits are not exceeded.
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.
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]
138
EC15NO91.207</GPH>
§ 213.334 Ballast; general. (5) Configured with less than 2 rail

holding spikes or fasteners per tie
Unless it is otherwise structurally
plate; or
supported, all track shall be supported
(6) So unable, due to insufficient fas-
by material which will—
tener toeload, to maintain longitudinal
(a) Transmit and distribute the load
restraint and maintain rail hold down
of the track and railroad rolling equip-
and gage.
ment to the subgrade;
(d) For concrete tie construction,
(b) Restrain the track laterally, lon-
each 39 foot segment of Class 6 track
gitudinally, and vertically under dy-
shall have fourteen crossties, Classes 7,
namic loads imposed by railroad roll-
8 and 9 shall have 16 crossties which
ing equipment and thermal stress ex-
are not—
erted by the rails;
(1) So deteriorated that the prestress
(c) Provide adequate drainage for the
strands are ineffective or withdrawn
track; and
into the tie at one end and the tie ex-
(d) Maintain proper track crosslevel, hibits structural cracks in the rail seat
surface, and alinement. or in the gage of track;
§ 213.335 Crossties. (2) Configured with less than 2 fas-
teners on the same rail;
(a) Crossties shall be made of a mate- (3) So deteriorated in the vicinity of
rial to which rail can be securely fas- the rail fastener such that the fastener
tened. assembly may pull out or move lat-
(b) Each 39 foot segment of track erally more than 3⁄8 inch relative to the
shall have— crosstie;
(1) A sufficient number of crossties (4) So deteriorated that the fastener
which in combination provide effective base plate or base of rail can move lat-
support that will— erally more than 3⁄8 inch relative to the
(i) Hold gage within the limits pre- crossties;
scribed in § 213.323(b); (5) So deteriorated that rail seat ab-
(ii) Maintain surface within the lim- rasion is sufficiently deep so as to
its prescribed in § 213.331; and cause loss of rail fastener toeload;
(iii) Maintain alinement within the (6) Completely broken through; or
limits prescribed in § 213.327. (7) So unable, due to insufficient fas-
(2) The minimum number and type of tener toeload, to maintain longitudinal
crossties specified in paragraph (c) of restraint and maintain rail hold down
this section effectively distributed to and gage.
support the entire segment; and (e) Class 6 track shall have one non-
(3) Crossties of the type specified in defective crosstie whose centerline is
paragraph (c) of this section that within 18 inches of the rail joint loca-
are(is) located at a joint location as tion or two crossties whose center lines
specified in paragraph (e) of this sec- are within 24 inches either side of the
tion. rail joint location. Class 7, 8, and 9
(c) For non-concrete tie construction, track shall have two non-defective ties
each 39 foot segment of Class 6 track within 24 inches each side of the rail
shall have fourteen crossties; Classes 7, joint.
8 and 9 shall have 18 crossties which (f) For track constructed without
are not— crossties, such as slab track and track
(1) Broken through; connected directly to bridge structural
(2) Split or otherwise impaired to the components, the track structure shall
extent the crossties will allow the bal- meet the requirements of paragraphs
last to work through, or will not hold (b)(1)(i), (ii), and (iii) of this section.
spikes or rail fasteners; (g) In Classes 7, 8 and 9 there shall be
(3) So deteriorated that the tie plate at least three non-defective ties each
or base of rail can move laterally 3⁄8 side of a defective tie.
inch relative to the crossties; (h) Where timber crossties are in use
(4) Cut by the tie plate through more there shall be tie plates under the run-
than 40 percent of a crosstie’s thick- ning rails on at least nine of 10 con-
ness; secutive ties.
139
§ 213.337 49 CFR Ch. II (10–1–11 Edition)
(i) No metal object which causes a listed in the following table, a person
concentrated load by solely supporting designated under § 213.305 shall deter-
a rail shall be allowed between the base mine whether or not the track may
of the rail and the bearing surface of continue in use. If the person deter-
the tie plate. mines that the track may continue in
use, operation over the defective rail is
§ 213.337 Defective rails.
not permitted until—
(a) When an owner of track to which (1) The rail is replaced; or
this part applies learns, through in- (2) The remedial action prescribed in
spection or otherwise, that a rail in the table is initiated—
that track contains any of the defects
140
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.
141
EN28SE98.059</GPH>
§ 213.337 49 CFR Ch. II (10–1–11 Edition)
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
142
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
143
§ 213.343 49 CFR Ch. II (10–1–11 Edition)
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
144
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]
145
§ 213.345 49 CFR Ch. II (10–1–11 Edition)
§ 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
146
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
147
§ 213.355 49 CFR Ch. II (10–1–11 Edition)
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—
148
(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
149
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
150
VerDate Mar<15>2010
TABLE 1—THREE INCHES UNBALANCE
[Elevation of outer rail (inches)]
14:14 Nov 15, 2011

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 223217
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 00161
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
Federal Railroad Administration, DOT
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
151
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
Q:\49\49V4.TXT
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
12°00′ .......................................... 19 20 22 23 24 26 27 28 29 30 31 32 33
ofr150
TABLE 2—FOUR INCHES UNBALANCE
PsN: PC150
⁄ 1 11⁄2 2 21⁄2 3 31⁄2 4 41⁄2 5 51⁄2 6
Pt. 213, App. A
VerDate Mar<15>2010
TABLE 2—FOUR INCHES UNBALANCE—Continued
14:14 Nov 15, 2011

⁄ 1 11⁄2 2 21⁄2 3 31⁄2 4 41⁄2 5 51⁄2 6
(12) Maximum allowable operating speed (mph)

0°30′ ............................................ 107 113 120 125 131 136 141 146 151 156 160 165 169
Jkt 223217
Pt. 213, App. A
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
PO 00000
1°30′ ............................................ 62 65 69 72 76 79 82 85 87 90 93 95 98
1°45′ ............................................ 57 61 64 67 70 73 76 78 81 83 86 88 90
2°00′ ............................................ 53 57 60 63 65 68 71 73 76 78 80 82 85
2°15′ ............................................ 50 53 56 59 62 64 67 69 71 73 76 78 80
Frm 00162
2°30′ ............................................ 48 51 53 56 59 61 63 65 68 70 72 74 76
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
3°15′ ............................................ 42 44 47 49 51 53 55 57 59 61 63 65 66
Fmt 8010
3°30′ ............................................ 40 43 45 47 49 52 53 55 57 59 61 62 64
152
3°45′ ............................................ 39 41 44 46 48 50 52 53 55 57 59 60 62
4°00′ ............................................ 38 40 42 44 46 48 50 52 53 55 57 58 60
4°30′ ............................................ 36 38 40 42 44 45 47 49 50 52 53 55 56
Sfmt 8002
5°00′ ............................................ 34 36 38 40 41 43 45 46 48 49 51 52 53
5°30′ ............................................ 32 34 36 38 39 41 43 44 46 47 48 50 51
6°00′ ............................................ 31 33 35 36 38 39 41 42 44 45 46 48 49
6°30′ ............................................ 30 31 33 35 36 38 39 41 42 43 44 46 47
7°00′ ............................................ 29 30 32 34 35 36 38 39 40 42 43 44 45
8°00′ ............................................ 27 28 30 31 33 34 35 37 38 39 40 41 42
Q:\49\49V4.TXT
9°00′ ............................................ 25 27 28 30 31 32 33 35 36 37 38 39 40
10°00′ .......................................... 24 25 27 28 29 30 32 33 34 35 36 37 38
11°00′ .......................................... 23 24 25 27 28 29 30 31 32 33 34 35 36
ofr150
12°00′ .......................................... 22 23 24 26 27 28 29 30 31 32 33 34 35
PsN: PC150
49 CFR Ch. II (10–1–11 Edition)
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
213.118 Continuous welded rail plan (a) through (e) ..................................................... 5,000 7,500
213.119 Continuous welded rail plan contents (a) through (k) ...................................... 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
153
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 $100,000 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;
73 FR 79701, Dec. 30, 2008; 74 FR 43006, Aug. 25, 2009]
PART 214—RAILROAD WORKPLACE 214.109 Scaffolding.

214.111 Personal protective equipment, gen-
SAFETY erally.
214.113 Head protection.
Subpart A—General 214.115 Foot protection.
Sec. 214.117 Eye and face protection.
214.1 Purpose and scope.
214.3 Application. Subpart C—Roadway Worker Protection
214.4 Preemptive effect.
214.5 Responsibility for compliance.
214.302 Information collection require-
214.7 Definitions.
ments.
Subpart B—Bridge Worker Safety Standards 214.303 Railroad on-track safety programs,
generally.
214.101 Purpose and scope. 214.305 Compliance dates.
214.103 Fall protection, generally. 214.307 Review and approval of individual
214.105 Fall protection systems standards on-track safety programs by FRA.
and practices. 214.309 On-track safety program documents.
214.107 Working over or adjacent to water. 214.311 Responsibility of employers.
154
214.313 Responsibility of individual roadway 214.521 Flagging equipment for on-track
workers. roadway maintenance machines and hi-
214.315 Supervision and communication. rail vehicles.
214.317 On-track safety procedures, gen- 214.523 Hi-rail vehicles.
erally. 214.525 Towing with on-track roadway
214.319 Working limits, generally. maintenance machines or hi-rail vehi-
214.321 Exclusive track occupancy. cles.
214.323 Foul time. 214.527 On-track roadway maintenance ma-
214.325 Train coordination. chines; inspection for compliance and
214.327 Inaccessible track. schedule for repairs.
214.329 Train approach warning provided by 214.529 In-service failure of primary braking
watchmen/lookouts. system.
214.331 Definite train location. 214.531 Schedule of repairs; general.
214.333 Informational line-ups of trains. 214.533 Schedule of repairs subject to avail-
214.335 On-track safety procedures for road- ability of parts.
way work groups. APPENDIX A TO PART 214—SCHEDULE OF CIVIL
214.337 On-track safety procedures for lone PENALTIES
workers.
214.339 Audible warning from trains. AUTHORITY: 49 U.S.C. 20103, 20107, 21301,
214.341 Roadway maintenance machines. 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.
214.343 Training and qualification, general. SOURCE: 57 FR 28127, June 24, 1992, unless
214.345 Training for all roadway workers. otherwise noted.
214.347 Training and qualification for lone
workers.
214.349 Training and qualification of watch- Subpart A—General
men/lookouts.
214.351 Training and qualification of § 214.1 Purpose and scope.
flagmen. (a) The purpose of this part is to pre-
214.353 Training and qualification of road- vent accidents and casualties to em-
way workers who provide on-track safety ployees involved in certain railroad in-
for roadway work groups.
spection, maintenance and construc-
214.355 Training and qualification in on-
track safety for operators of roadway tion activities.
maintenance machines. (b) This part prescribes minimum
Federal safety standards for the rail-
Subpart D—On-Track Roadway Mainte- road workplace safety subjects ad-
nance Machines and Hi-Rail Vehicles dressed herein. This part does not re-
strict a railroad or railroad contractor
from adopting and enforcing additional
214.503 Good-faith challenges; procedures
for notification and resolution. or more stringent requirements not in-
214.505 Required environmental control and consistent with this part.
protection systems for new on-track
roadway maintenance machines with en- § 214.3 Application.
closed cabs. This part applies to railroads that
214.507 Required safety equipment for new operate rolling equipment on track
on-track roadway maintenance ma-
chines.
that is part of the general railroad sys-
214.509 Required visual illumination and re- tem of transportation.
flective devices for new on-track road-
way maintenance machines. § 214.4 Preemptive effect.
214.511 Required audible warning devices for Under 49 U.S.C. 20106 (formerly sec-
new on-track roadway maintenance mation 205 of the Federal Railroad Safety
chines.
Act of 1970 (45 U.S.C. 434)), issuance of
214.513 Retrofitting of existing on-track
roadway maintenance machines; general. the regulations in this part preempts
214.515 Overhead covers for existing on- any State law, rule, regulation, order,
track roadway maintenance machines. or standard covering the same subject
214.517 Retrofitting of existing on-track matter, except a provision directed at
roadway maintenance machines manu- an essentially local safety hazard that
factured on or after January 1, 1991. is not incompatible with this part and
214.518 Safe and secure positions for riders. that does not unreasonably burden on
214.519 Floors, decks, stairs, and ladders of interstate commerce.
on-track roadway maintenance ma-
chines. [61 FR 65975, Dec. 16, 1996]
155
§ 214.5 49 CFR Ch. II (10–1–11 Edition)
§ 214.5 Responsibility for compliance. dictable hazards in the workplace and

Any person (an entity of any type who is authorized to take prompt cor-
covered under 1 U.S.C. 1, including but rective measures to eliminate them.
not limited to the following: a railroad; Control operator means the railroad
a manager, supervisor, official, or employee in charge of a remotely con-
other employee or agent of a railroad; trolled switch or derail, an inter-
any owner, manufacturer, lessor, or locking, or a controlled point, or a seg-
lessee of railroad equipment, track, or ment of controlled track.
facilities; any independent contractor Controlled track means track upon
providing goods or services to a rail- which the railroad’s operating rules re-
road; and any employee of such owner, quire that all movements of trains
manufacturer, lessor, lessee, or inde- must be authorized by a train dis-
pendent contractor) who violates any patcher or a control operator.
requirement of this part or causes the Deceleration device means any mecha-
violation of any such requirement is nism, including, but not limited to,
subject to a civil penalty of at least rope grabs, ripstitch lanyards, spe-
$650 and not more than $25,000 per vio- cially woven lanyards, tearing or de-
lation, except that penalties may be as- forming lanyards, and automatic self-
sessed against individuals only for will- retracting lifelines/lanyards that serve
ful violations, and where a grossly neg- to dissipate a substantial amount of
ligent violation or a pattern of re- energy during a fall arrest, or other-
peated violations has created an immi- wise limit the energy on a person dur-
nent hazard of death or injury, or has ing fall arrest.
caused death or injury, a penalty not Definite train location means a system
to exceed $100,000 per violation may be for establishing on-track safety by pro-
assessed. See appendix A to this part viding roadway workers with informa-
for a statement of agency civil penalty tion about the earliest possible time
policy. that approaching trains may pass spe-
cific locations as prescribed in § 214.331
FR 11620, Mar. 10, 1998; 69 FR 30593, May 28,
of this part.
2004; 72 FR 51196, Sept. 6, 2007; 73 FR 79701, Designated official means any per-
Dec. 30, 2008] son(s) designated by the employer to
receive notification of non-complying
§ 214.7 Definitions. conditions on on-track roadway main-
Adjacent tracks mean two or more tenance machines and hi-rail vehicles.
tracks with track centers spaced less Effective securing device when used in
than 25 feet apart. relation to a manually operated switch
Anchorage means a secure point of at- or derail means one which is:
tachment for lifelines, lanyards or de- (a) Vandal resistant;
celeration devices that is independent (b) Tamper resistant; and
of the means of supporting or sus- (c) Designed to be applied, secured,
pending the employee. uniquely tagged and removed only by
Body belt means a strap that can be the class, craft or group of employees
secured around the waist or body and for whom the protection is being pro-
attached to a lanyard, lifeline, or de- vided.
celeration device. Employee means an individual who is
Body harness means a device with engaged or compensated by a railroad
straps that is secured about the person or by a contractor to a railroad to per-
in a manner so as to distribute the fall form any of the duties defined in this
arrest forces over (at least) the thighs, part.
shoulders, pelvis, waist, and chest and Employer means a railroad, or a con-
that can be attached to a lanyard, life- tractor to a railroad, that directly en-
line, or deceleration device. gages or compensates individuals to
Class I, Class II, and Class III have the perform any of the duties defined in
meaning assigned by, Title 49 Code of this part.
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
156
employees than the means specified in 2003 or completed after September 27,
this part. 2004.
Exclusive track occupancy means a Inaccessible track means a method of
method of establishing working limits establishing working limits on non-
on controlled track in which movement controlled track by physically pre-
authority of trains and other equip- venting entry and movement of trains
ment is withheld by the train dis- and equipment.
patcher or control operator, or re- Individual train detection means a pro-
stricted by flagmen, as prescribed in cedure by which a lone worker acquires
§ 214.321 of this part. on-track safety by seeing approaching
Flagman when used in relation to trains and leaving the track before
roadway worker safety means an em- they arrive and which may be used
ployee designated by the railroad to di- only under circumstances strictly de-
rect or restrict the movement of trains fined in this part.
past a point on a track to provide on- Informational line-up of trains means
track safety for roadway workers, information provided in a prescribed
while engaged solely in performing format to a roadway worker by the
that function. train dispatcher regarding movements
Foul time is a method of establishing of trains authorized or expected on a
working limits on controlled track in specific segment of track during a spe-
which a roadway worker is notified by cific period of time.
the train dispatcher or control oper- Lanyard means a flexible line of rope,
ator that no trains will operate within wire rope, or strap that is used to se-
a specific segment of controlled track cure a body harness to a deceleration
until the roadway worker reports clear device, lifeline, or anchorage.
of the track, as prescribed in § 214.323 of Lifeline means a component of a fall
this part. arrest system consisting of a flexible
Fouling a track means the placement line that connects to an anchorage at
of an individual or an item of equip- one end to hang vertically (vertical
ment in such proximity to a track that lifeline) or to an anchorage at both
the individual or equipment could be ends to stretch horizontally (horizontal
struck by a moving train or on-track lifeline), and that serves as a means for
equipment, or in any case is within connecting other components of a per-
four feet of the field side of the near sonal fall arrest system to the anchor-
running rail. age.
Free fall means the act of falling be- Lone worker means an individual
fore the personal fall arrest system be- roadway worker who is not being af-
gins to apply force to arrest the fall. forded on-track safety by another road-
Free fall distance means the vertical way worker, who is not a member of a
displacement of the fall arrest attach- roadway work group, and who is not
ment point on a person’s body harness engaged in a common task with an-
between onset of the fall and the point other roadway worker.
at which the system begins to apply Non-controlled track means track
force to arrest the fall. This distance upon which trains are permitted by
excludes deceleration distance and life- railroad rule or special instruction to
line and lanyard elongation, but in- move without receiving authorization
cludes any deceleration device slide from a train dispatcher or control oper-
distance or self-retracting lifeline/lan- ator.
yard extension before they operate and On-track roadway maintenance ma-
fall arrest forces occur. chine means a self-propelled, rail-
Hi-rail vehicle means a roadway main- mounted, non-highway, maintenance
tenance machine that is manufactured machine whose light weight is in ex-
to meet Federal Motor Vehicle Safety cess of 7,500 pounds, and whose purpose
Standards and is equipped with retract- is not for the inspection of railroad
able flanged wheels so that the vehicle track.
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
157
§ 214.7 49 CFR Ch. II (10–1–11 Edition)
on-track roadway maintenance ma- bridge whose assigned duties, if per-

chine.’’ formed on the bridge, include inspec-
On-track roadway maintenance mation, testing, maintenance, repair, con-
chine, new means an on-track roadway struction, or reconstruction of the
maintenance machine that is ordered track, bridge structural members, op-
after December 26, 2003, and completed erating mechanisms and water traffic
after September 27, 2004. control systems, or signal, communica-
On-track safety means a state of free- tion, or train control systems integral
dom from the danger of being struck by to that bridge.
a moving railroad train or other rail- Restricted speed means a speed that
road equipment, provided by operating will permit a train or other equipment
and safety rules that govern track oc- to stop within one-half the range of vi-
cupancy by personnel, trains and on- sion of the person operating the train
track equipment. or other equipment, but not exceeding
Personal fall arrest system means a 20 miles per hour, unless further re-
system used to arrest the fall of a per- stricted by the operating rules of the
son from a working level. It consists of railroad.
an anchorage, connectors, body har- Roadway maintenance machine means
ness, lanyard, deceleration device, life- a device powered by any means of en-
line, or combination of these. ergy other than hand power which is
Qualified means a status attained by being used on or near railroad track for
an employee who has successfully com- maintenance, repair, construction or
pleted any required training for, has inspection of track, bridges, roadway,
demonstrated proficiency in, and has signal, communications, or electric
been authorized by the employer to traction systems. Roadway mainte-
perform the duties of a particular posi- nance machines may have road or rail
tion or function. wheels or may be stationary.
Railroad means all forms of non-high-
Roadway work group means two or
way ground transportation that run on
more roadway workers organized to
rails or electro-magnetic guideways,
work together on a common task.
including (1) commuter or other short-
haul rail passenger service in a metro- Roadway worker means any employee
politan or suburban area, and (2) high- of a railroad, or of a contractor to a
speed ground transportation systems railroad, whose duties include inspec-
that connect metropolitan areas, with- tion, construction, maintenance or re-
out regard to whether they use new pair of railroad track, bridges, road-
technologies not associated with tradi- way, signal and communication sys-
tional railroads. Such term does not in- tems, electric traction systems, road-
clude rapid transit operations within way facilities or roadway maintenance
an urban area that are not connected machinery on or near track or with the
to the general railroad system of trans- potential of fouling a track, and
portation. flagmen and watchmen/lookouts as de-
Railroad bridge means a structure fined in this section.
supporting one or more railroad tracks Self-retracting lifeline/lanyard means a
above land or water with a span length deceleration device that contains a
of 12 feet or more measured along the drum-wound line that may be slowly
track centerline. This term applies to extracted from, or retracted onto, the
the entire structure between the faces drum under slight tension during nor-
of the backwalls of abutments or equiv- mal employee movement, and which,
alent components, regardless of the after onset of a fall, automatically
number of spans, and includes all such locks the drum and arrests the fall.
structures, whether of timber, stone, Snap-hook means a connector com-
concrete, metal, or any combination prised of a hook-shaped member with a
thereof. normally closed keeper, that may be
Railroad bridge worker or bridge worker opened to permit the hook to receive
means any employee of, or employee of an object and, when released, auto-
a contractor of, a railroad owning or matically closes to retain the object.
responsible for the construction, in- Train approach warning means a
spection, testing, or maintenance of a method of establishing on-track safety
158
by warning roadway workers of the ap- may prescribe additional or more strin-
proach of trains in ample time for gent operating rules, safety rules, and
them to move to or remain in a place other special instructions not incon-
of safety in accordance with the re- sistent with this subpart.
quirements of this part. (c) These provisions apply to all rail-
Train coordination means a method of road employees, railroads, and railroad
establishing working limits on track contractors performing work on rail-
upon which a train holds exclusive au- road bridges.
thority to move whereby the crew of (d) Any working conditions involving
that train yields that authority to a the protection of railroad employees
roadway worker. working on railroad bridges not within
Train dispatcher means the railroad the subject matter addressed by this
employee assigned to control and issue chapter, including respiratory protec-
orders governing the movement of tion, hazard communication, hearing
trains on a specific segment of railroad protection, welding and lead exposure
track in accordance with the operating standards, shall be governed by the
rules of the railroad that apply to that regulations of the U.S. Department of
segment of track. Labor, Occupational Safety and Health
Watchman/lookout means an employee Administration.
who has been annually trained and
qualified to provide warning to road- § 214.103 Fall protection, generally.
way workers of approaching trains or (a) Except as provided in paragraphs
on-track equipment. Watchmen/look- (b) through (d) of this section, when
outs shall be properly equipped to pro- bridge workers work twelve feet or
vide visual and auditory warning such more above the ground or water sur-
as whistle, air horn, white disk, red face, they shall be provided and shall
flag, lantern, fusee. A watchman/look- use a personal fall arrest system or
out’s sole duty is to look out for ap- safety net system. All fall protection
proaching trains/on-track equipment systems required by this section shall
and provide at least fifteen seconds ad- conform to the standards set forth in
vanced warning to employees before ar- § 214.105 of this subpart.
rival of trains/on-track equipment. (b)(1) This section shall not apply if
Working limits means a segment of the installation of the fall arrest sys-
track with definite boundaries estab- tem poses a greater risk than the work
lished in accordance with this part
to be performed. In any action brought
upon which trains and engines may
by FRA to enforce the fall protection
move only as authorized by the road-
requirements, the railroad or railroad
way worker having control over that
contractor shall have the burden of
defined segment of track. Working lim-
proving that the installation of such
its may be established through ‘‘exclu-
device poses greater exposure to risk
sive track occupancy,’’ ‘‘inaccessible
than performance of the work itself.
track,’’ ‘‘foul time’’ or ‘‘train coordina-
(2) This section shall not apply to
tion’’ as defined herein.
bridge workers engaged in inspection of
[57 FR 28127, June 24, 1992, as amended at 61 railroad bridges conducted in full com-
FR 65975, Dec. 16, 1996; 67 FR 1906, Jan. 15, pliance with the following conditions:
2002; 68 FR 44407, July 28, 2003] (i) The railroad or railroad con-
tractor has a written program in place
Subpart B—Bridge Worker Safety that requires training in, adherence to,
Standards and use of safe procedures associated
with climbing techniques and proce-
§ 214.101 Purpose and scope. dures to be used;
(a) The purpose of this subpart is to (ii) The bridge worker to whom this
prevent accidents and casualties aris- exception applies has been trained and
ing from the performance of work on qualified according to that program to
railroad bridges. perform bridge inspections, has been
(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;
159
§ 214.105 49 CFR Ch. II (10–1–11 Edition)
(iii) The bridge worker to whom this (2) Any fall protection system sub-
exception applies is familiar with the jected to impact loading shall be im-
appropriate climbing techniques asso- mediately and permanently removed
ciated with all bridge structures the from service unless fully inspected and
bridge worker is responsible for in- determined by a competent person to
specting; be undamaged and suitable for reuse.
(iv) The bridge worker to whom this (3) All fall protection system compo-
exception applies is engaged solely in nents shall be protected from abra-
moving on or about the bridge or ob- sions, corrosion, or any other form of
serving, measuring and recording the deterioration.
dimensions and condition of the bridge (4) All fall protection system compo-
and its components; and nents shall be inspected prior to each
(v) The bridge worker to whom this use for wear, damage, corrosion, mil-
section applies is provided all equip- dew, and other deterioration. Defective
ment necessary to meet the needs of components shall be permanently re-
safety, including any specialized alter- moved from service.
native systems required. (5) Prior to use and after any compo-
(c) This section shall not apply where nent or system is changed, bridge
bridge workers are working on a rail- workers shall be trained in the applica-
road bridge equipped with walkways tion limits of the equipment, proper
and railings of sufficient height, width, hook-up, anchoring and tie-off tech-
and strength to prevent a fall, so long niques, methods of use, and proper
as bridge workers do not work beyond methods of equipment inspection and
the railings, over the side of the bridge, storage.
on ladders or other elevation devices, (6) The railroad or railroad con-
or where gaps or holes exist through tractor shall provide for prompt rescue
which a body could fall. Where used in of bridge workers in the event of a fall.
place of fall protection as provided for (7) Connectors shall have a corrosion-
in § 214.105, this paragraph (c) is satis- resistant finish, and all surfaces and
fied by: edges shall be smooth to prevent dam-
(1) Walkways and railings meeting age to interfacing parts of the system.
standards set forth in the American (8) Connectors shall be drop forged,
Railway Engineering Association’s pressed or formed steel, or made of
Manual for Railway Engineering; and equivalent-strength materials.
(2) Roadways attached to railroad (9) Anchorages, including single- and
bridges, provided that bridge workers double-head anchors, shall be capable
on the roadway deck work or move at of supporting at least 5,000 pounds per
a distance six feet or more from the bridge worker attached, or shall be de-
edge of the roadway deck, or from an signed, installed, and used under super-
opening through which a person could vision of a qualified person as part of a
fall. complete personal fall protection sys-
(d) This section shall not apply where tem that maintains a safety factor of
bridge workers are performing repairs at least two.
or inspections of a minor nature that (b) Personal fall arrest systems. All
are completed by working exclusively components of a personal fall arrest
between the outside rails, including system shall conform to the following
but not limited to, routine welding, standards:
spiking, anchoring, spot surfacing, and (1) Lanyards and vertical lifelines
joint bolt replacement. that tie off one bridge worker shall
have a minimum breaking strength of
[67 FR 1906, Jan. 15, 2002] 5,000 pounds.
(2) Self-retracting lifelines and lan-
§ 214.105 Fall protection systems yards that automatically limit free fall
standards and practices. distance to two feet or less shall have
(a) General requirements. All fall pro- components capable of sustaining a
tection systems required by this sub- minimum static tensile load of 3,000
part shall conform to the following: 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.
160
(3) Self-retracting lifelines and lan- (15) Dee-rings and snap-hooks shall
yards that do not limit free fall dis- be capable of sustaining a minimum
tance to two feet or less, ripstitch, and tensile load of 5,000 pounds.
tearing and deformed lanyards shall be (16) Snap-hooks shall not be con-
capable of withstanding 5,000 pounds nected to each other.
applied to the device with the lifeline (17) Snap-hooks shall be dimension-
or lanyard in the fully extended posi- ally compatible with the member to
tion. which they are connected to prevent
(4) Horizontal lifelines shall be de- unintentional disengagement, or shall
signed, installed, and used under the be a locking snap-hook designed to pre-
supervision of a competent person, as vent unintentional disengagement.
part of a complete personal fall arrest (18) Unless of a locking type, snap-
system that maintains a safety factor hooks shall not be engaged:
of at least two.
(i) Directly, next to a webbing, rope,
(5) Lifelines shall not be made of nat- or wire rope;
ural fiber rope.
(ii) To each other;
(6) Body belts shall not be used as
(iii) To a dee-ring to which another
components of personal fall arrest sys-
snap-hook or other connector is at-
tems.
tached;
(7) The personal fall arrest system
(iv) To a horizontal lifeline; or
shall limit the maximum arresting
force on a bridge worker to 1,800 (v) To any object that is incom-
pounds when used with a body harness. patibly shaped or dimensioned in rela-
(8) The personal fall arrest system tion to the snap-hook so that uninten-
shall bring a bridge worker to a com- tional disengagement could occur.
plete stop and limit maximum decel- (c) Safety net systems. Use of safety
eration distance a bridge worker trav- net systems shall conform to the fol-
els to 3.5 feet. lowing standards and practices:
(9) The personal fall arrest system (1) Safety nets shall be installed as
shall have sufficient strength to with- close as practicable under the walking/
stand twice the potential impact en- working surface on which bridge work-
ergy of a bridge worker free falling a ers are working, but shall not be in-
distance of six feet, or the free fall dis- stalled more than 30 feet below such
tance permitted by the system, which- surface.
ever is less. (2) If the distance from the working
(10) The personal fall arrest system surface to the net exceeds 30 feet,
shall be arranged so that a bridge bridge workers shall be protected by
worker cannot free fall more than six personal fall arrest systems.
feet and cannot contact the ground or (3) The safety net shall be installed
any lower horizontal surface of the such that any fall from the working
bridge. surface to the net is unobstructed.
(11) Personal fall arrest systems shall (4) Except as provided in this section,
be worn with the attachment point of safety nets and net installations shall
the body harness located in the center be drop-tested at the jobsite after ini-
of the wearer’s back near shoulder tial installation and before being used
level, or above the wearer’s head. as a fall protection system, whenever
(12) When vertical lifelines are used, relocated, after major repair, and at
each bridge worker shall be provided six-month intervals if left in one place.
with a separate lifeline. The drop-test shall consist of a 400-
(13) Devices used to connect to a hor- pound bag of sand 30 inches, plus or
izontal lifeline that may become a minus two inches, in diameter dropped
vertical lifeline shall be capable of into the net from the highest (but not
locking in either direction. less than 31⁄2 feet) working surface on
(14) Dee-rings and snap-hooks shall which bridge workers are to be pro-
be capable of sustaining a minimum tected.
tensile load of 3,600 pounds without (i) When the railroad or railroad con-
cracking, breaking, or taking perma- tractor demonstrates that a drop-test
nent deformation. is not feasible and, as a result, the test
161
§ 214.107 49 CFR Ch. II (10–1–11 Edition)
is not performed, the railroad or rail- (9) Safety nets shall be inspected
road contractor, or designated com- after any occurrence that could affect
petent person, shall certify that the the integrity of the safety net system.
net and its installation are in compli- (10) Tools, scraps, or other materials
ance with the provisions of this section that have fallen into the safety net
by preparing a certification record shall be removed as soon as possible,
prior to use of the net. and at least before the next work shift.
(ii) The certification shall include an (11) Each safety net shall have a bor-
identification of the net, the date it der rope for webbing with a minimum
breaking strength of 5,000 pounds.
was determined that the net was in
(12) The maximum size of each safety
compliance with this section, and the
net mesh opening shall not exceed 36
signature of the person making this de- square inches and shall not be longer
termination. Such person’s signature than 6 inches on any side measured
shall certify that the net and its instal- center-to-center of mesh ropes or web-
lation are in compliance with this sec- bing. All mesh crossing shall be se-
tion. The most recent certification for cured to prevent enlargement of the
each net installation shall be available mesh opening.
at the jobsite where the subject net is (13) Connections between safety net
located. panels shall be as strong as integral
(5) Safety nets and their installations net components and shall be spaced not
shall be capable of absorbing an impact more than 6 inches apart.
force equal to that produced by the [67 FR 1906, Jan. 15, 2002; 67 FR 11055, Mar. 12,
drop test specified in this section. 2002]
(6) The safety net shall be installed
such that there is no contact with sur- § 214.107 Working over or adjacent to
faces or structures below the net when water.
subjected to an impact force equal to (a) Bridge workers working over or
the drop test specified in this section. adjacent to water with a depth of four
(7) Safety nets shall extend outward feet or more, or where the danger of
from the outermost projection of the drowning exists, shall be provided and
work surface as follows: shall use life vests or buoyant work
(i) When the vertical distance from vests in compliance with U.S. Coast
the working level to the horizontal Guard requirements in 46 CFR 160.047,
plane of the net is 5 feet or less, the 160.052, and 160.053. Life preservers in
minimum required horizontal distance compliance with U.S. Coast Guard re-
of the outer edge of the net beyond the quirements in 46 CFR 160.055 shall also
edge of the working surface is 8 feet. be within ready access. This section
(ii) When the vertical distance from shall not apply to bridge workers using
the working level to the horizontal personal fall arrest systems or safety
plane of the net is 5 feet, but less than nets that comply with this subpart or
to bridge workers who are working
10 feet, the minimum required hori-
under the provisions of § 214.103(b)(2),
zontal distance of the outer edge of the
(c) or (d) of this subpart.
net beyond the edge of the working
(b) Prior to each use, all flotation de-
surface is 10 feet.
vices shall be inspected for defects that
(iii) When the vertical distance from reduce their strength or buoyancy by
the working level to the horizontal designated individuals trained by the
plane of the net is more than 10 feet, railroad or railroad contractor. Defec-
the minimum required horizontal dis- tive units shall not be used.
tance of the outer edge of the net be- (c) Where life vests are required by
yond the edge of the working surface is paragraph (a) of this section, ring
13 feet. buoys with at least 90 feet of line shall
(8) Defective nets shall not be used. be provided and readily available for
Safety nets shall be inspected at least emergency rescue operations. Distance
once a week for mildew, wear, damage, between ring buoys shall not exceed 200
and other deterioration. Defective feet.
components shall be removed perma- (d) Where life vests are required, at
nently from service. least one lifesaving skiff, inflatable
162
boat, or equivalent device shall be im- (d) All exposed surfaces shall be pre-
mediately available. If it is determined pared and cleared to prevent injury due
by a competent person that environ- to laceration, puncture, tripping, or
mental conditions, including weather, falling hazard.
water speed, and terrain, merit addi- (e) All scaffold design, construction,
tional protection, the skiff or boat and repair shall be completed by com-
shall be manned. petent individuals trained and knowl-
[70 FR 7050, Feb. 10, 2005] edgeable about design criteria, in-
tended use, structural limitations, and
§ 214.109 Scaffolding. procedures for proper repair.
(a) Scaffolding used in connection (f) Manually propelled mobile ladder
with railroad bridge maintenance, in- stands and scaffolds shall conform to
spection, testing, and construction the following:
shall be constructed and maintained in (1) All manually propelled mobile
a safe condition and meet the following ladder stands and scaffolds shall be ca-
minimum requirements: pable of carrying the design load.
(1) Each scaffold and scaffold compo- (2) All ladder stands, scaffolds, and
nent, except suspension ropes and scaffold components shall be capable of
guardrail systems, but including foot- supporting, without failure, displace-
ings and anchorage, shall be capable of ment, or settlement, its own weight
supporting, without failure, its own and at least four times the maximum
weight and at least four times the max- intended load applied or transmitted to
imum intended load applied or trans- that ladder stand, scaffold, or scaffold
mitted to that scaffold or scaffold com- component.
ponent. (3) All exposed surfaces shall be free
(2) Guardrail systems shall be capa- from sharp edges or burrs.
ble of withstanding, without failure, a (4) The maximum work level height
force of at least 200 pounds applied shall not exceed four times the min-
within two inches of the top edge, in imum or least base dimensions of any
any outward or downward direction, at mobile ladder stand or scaffold. Where
any point along the top edge. the basic mobile unit does not meet
(3) Top edge height of toprails, or this requirement, suitable outrigger
equivalent guardrail system member, frames shall be employed to achieve
shall be 42 inches, plus or minus three this least base dimension, or equiva-
inches. Supports shall be at intervals lent provisions shall be made to guy or
not to exceed eight feet. Toeboards brace the unit against tipping.
shall be a minimum of four inches in (5) The minimum platform width for
height. any work level shall not be less than 20
(4) Midrails, screens, mesh, inter- inches for mobile scaffolds (towers).
mediate vertical members, solid pan- Ladder stands shall have a minimum
els, and equivalent structural members step width of 16 inches. The steps of
shall be capable of withstanding, with- ladder stands shall be fabricated from
out failure, a force of at least 150 slip resistant treads.
pounds applied in any downward or (6) Guardrails and midrails shall con-
outward direction at any point along form to the requirements listed in
the midrail or other member. paragraph (a) of this section.
(5) Midrails shall be installed at a (7) A climbing ladder or stairway
height midway between the top edge of shall be provided for proper access and
the guardrail system and the walking/ egress, and shall be affixed or built into
working level. the scaffold and so located that in its
(b) Scaffolds shall not be altered or use it will not have a tendency to tip
moved while they are occupied. This the scaffold.
paragraph does not apply to vertical (8) Wheels or casters shall be capable
movements of mobile scaffolds that are of supporting, without failure, at least
designed to move vertically while occu- four times the maximum intended load
pied. applied or transmitted to that compo-
(c) An access ladder or equivalent nent. All scaffold casters shall be pro-
safe access shall be provided. vided with a positive wheel and/or
163
§ 214.111 49 CFR Ch. II (10–1–11 Edition)
swivel lock to prevent movement. Lad- codeloflfederallregulations/

der stands shall have at least two of ibrllocations.html.
the four casters and shall be of the [67 FR 1908, Jan. 15, 2002, as amended at 74
swivel type. FR 25172, May 27, 2009]
§ 214.111 Personal protective equip- § 214.115 Foot protection.

ment, generally.
(a) The railroad or railroad con-
With the exception of foot protec- tractor shall require railroad bridge
tion, the railroad or railroad con- workers to wear foot protection equip-
tractor shall provide and the bridge ment when potential foot injury may
worker shall use appropriate personal result from impact, falling or flying
protective equipment described in this objects, electrical shock or burns, or
subpart in all operations where there is other hazardous condition.
exposure to hazardous conditions, or (b) Safety-toe footwear for railroad
where this subpart indicates the need bridge workers shall conform to the na-
for using such equipment to reduce the tional consensus standards for safety-
hazards to railroad bridge workers. The toe footwear (American National
railroad or railroad contractor shall re- Standards Institute, American Na-
quire the use of foot protection when tional Standard Z41–1991, Standard for
the potential for foot injury exists. Personal Protection-Protective Foot-
wear). This incorporation by reference
[67 FR 1908, Jan. 15, 2002] was approved by the Director of the
Federal Register in accordance with 5
§ 214.113 Head protection. U.S.C. 552(a) and 1 CFR part 51. Copies
(a) Railroad bridge workers working may be obtained from American Na-
in areas where there is a possible dan- tional Standards Institute, 25 West 43rd
ger of head injury from impact, or from Street, New York, NY 10036. Copies
falling or flying objects, or from elec- may be inspected at the Federal Rail-
trical shock and burns, shall be pro- road Administration, Docket Clerk,
vided and shall wear protective hel- 1200 New Jersey Avenue, SE., Wash-
ington, DC, or at the National Archives
mets.
and Records Administration (NARA).
(b) Helmets for the protection of rail- For information on the availability of
road bridge workers against impact this material at NARA, call 202–741–
and penetration of falling and flying 6030, or go to: http://www.archives.gov/
objects, or from high voltage electrical federallregister/
shock and burns shall conform to the codeloflfederallregulations/
national consensus standards for indus- ibrllocations.html.
trial head protection (American Na-
[67 FR 1908, Jan. 15, 2002, as amended at 74
tional Standards Institute, Z89.1–1986,
FR 25172, May 27, 2009]
Protective Headwear for Industrial
Workers). This incorporation by ref- § 214.117 Eye and face protection.
erence was approved by the Director of
(a) Railroad bridge workers shall be
the Federal Register in accordance provided and shall wear eye and face
with 5 U.S.C. 552(a) and 1 CFR part 51. protection equipment when potential
Copies may be obtained from the Amer- eye or face injury may result from
ican National Standards Institute, 25 physical, chemical, or radiant agents.
West 43rd Street, New York, NY 10036. (b) Eye and face protection equip-
Copies may be inspected at the Federal ment required by this section shall
Railroad Administration, Docket conform to the national consensus
Clerk, 1200 New Jersey Avenue, SE., standards for occupational and edu-
Washington, DC, or at the National Ar- cational eye and face protection
chives and Records Administration (American National Standards Insti-
(NARA). For information on the avail- tute, Z87.1–1989, Practice for Occupa-
ability of this material at NARA, call tional and Educational Eye and Face
202–741–6030, or go to: http:// Protection). This incorporation by ref-
www.archives.gov/federallregister/ erence was approved by the Director of
the Federal Register in accordance
164
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.
ican National Standards Institute, 25 (c) This subpart prescribes safety
West 43rd Street, New York, NY 10036. standards related to the movement of
Copies may be inspected at the Federal roadway maintenance machines where
Railroad Administration, Docket such movements affect the safety of
Clerk, 1200 New Jersey Avenue, SE., roadway workers. This subpart does
Washington, DC, or at the National Ar- not otherwise affect movements of
chives and Records Administration roadway maintenance machines that
(NARA). For information on the avail- are conducted under the authority of a
ability of this material at NARA, call train dispatcher, a control operator, or
202–741–6030, or go to: http:// the operating rules of the railroad.
www.archives.gov/federallregister/
codeloflfederallregulations/ § 214.302 Information collection re-
ibrllocations.html. quirements.
(c) Face and eye protection equip- (a) The information collection re-
ment required by this section shall be quirements of this part were reviewed
kept clean and in good repair. Use of by the Office of Management and Budg-
equipment with structural or optical et pursuant to the Paperwork Reduc-
defects is prohibited. tion Act of 1995, Public Law 104–13, § 2,
(d) Railroad bridge workers whose vi- 109 Stat.163 (1995) (codified as revised at
sion requires the use of corrective 44 U.S.C. §§ 3501–3520), and are assigned
lenses, when required by this section to OMB control number 2130–0539. FRA
wear eye protection, shall be protected may not conduct or sponsor and a re-
by goggles or spectacles of one of the spondent is not required to respond to,
following types: a collection of information unless it
(i) Spectacles whose protective lenses displays a currently valid OMB control
provide optical correction the, frame of number.
which includes shielding against ob- (b) The information collection re-
jects reaching the wearer’s eyes around quirements are found in the following
the lenses; sections: §§ 214.303, 214.307, 214.309,
(ii) Goggles that can be worn over 214.311, 214.313, 214.315, 214.319, 214.321,
corrective lenses without disturbing 214.323, 214.325, 214.327, 214.329, 214.331,
the adjustment of the lenses; or 214.335, 214.341.
(iii) Goggles that incorporate correc-
tive lenses mounted behind the protec- § 214.303 Railroad on-track safety pro-
tive lenses. grams, generally.
[67 FR 1908, Jan. 15, 2002; 67 FR 11055, Mar. 12, (a) Each railroad to which this part
2002, as amended at 74 FR 25172, May 27, 2009] applies shall adopt and implement a
program that will afford on-track safe-
Subpart C—Roadway Worker ty to all roadway workers whose duties
Protection are performed on that railroad. Each
such program shall provide for the lev-
SOURCE: 61 FR 65976, Dec. 16, 1996, unless
els of protection specified in this sub-
otherwise noted. part.
(b) Each on-track safety program
§ 214.301 Purpose and scope. adopted to comply with this part shall
(a) The purpose of this subpart is to include procedures to be used by each
prevent accidents and casualties railroad for monitoring effectiveness of
caused by moving railroad cars, loco- and compliance with the program.
motives or roadway maintenance ma-
§ 214.305 Compliance dates.
chines striking roadway workers or
roadway maintenance machines. Each program adopted by a railroad
(b) This subpart prescribes minimum shall comply not later than the date
safety standards for roadway workers. specified in the following schedule:
Each railroad and railroad contractor (a) For each Class I railroad (includ-
may prescribe additional or more strin- ing National Railroad Passenger Cor-
gent operating rules, safety rules, and poration) and each railroad providing
165
§ 214.307 49 CFR Ch. II (10–1–11 Edition)
commuter service in a metropolitan or by the Federal Railroad Administra-

suburban area, March 15, 1997. tion.
(b) For each Class II railroad, April [61 FR 65976, Dec. 16, 1996, as amended at 74
15, 1997. FR 25172, May 27, 2009]
(c) For each Class III railroad,
switching and terminal railroad, and § 214.309 On-track safety program doc-
any railroad not otherwise classified, uments.
May 15, 1997. Rules and operating procedures gov-
(d) For each railroad commencing op- erning track occupancy and protection
erations after the pertinent date speci- shall be maintained together in one
fied in this section, the date on which manual and be readily available to all
operations commence. roadway workers. Each roadway work-
er responsible for the on-track safety
§ 214.307 Review and approval of indi- of others, and each lone worker, shall
vidual on-track safety programs by be provided with and shall maintain a
FRA.
copy of the program document.
(a) Each railroad shall notify, in
writing, the Associate Administrator § 214.311 Responsibility of employers.
for Safety, Federal Railroad Adminis- (a) Each employer is responsible for
tration, RRS–15, 1200 New Jersey Ave- the understanding and compliance by
nue, SE., Washington, DC 20590, not its employees with its rules and the re-
less than one month before its on-track quirements of this part.
safety program becomes effective. The (b) Each employer shall guarantee
notification shall include the effective each employee the absolute right to
date of the program, the address of the challenge in good faith whether the on-
office at which the program documents track safety procedures to be applied
are available for review and at the job location comply with the
photocopying by representatives of the rules of the operating railroad, and to
Federal Railroad Administrator, and remain clear of the track until the
the name, title, address and telephone challenge is resolved.
number of the primary person to be (c) Each employer shall have in place
contacted with regard to review of the a written procedure to achieve prompt
program. This notification procedure and equitable resolution of challenges
shall also apply to subsequent changes made in accordance with §§ 214.311(b)
to a railroad’s on-track safety pro- and 214.313(d).
gram.
(b) After receipt of the notification § 214.313 Responsibility of individual
from the railroad, the Federal Railroad roadway workers.
Administration will conduct a formal (a) Each roadway worker is respon-
review of the on-track safety program. sible for following the on-track safety
The Federal Railroad Administration rules of the railroad upon which the
will notify the primary railroad con- roadway worker is located.
tact person of the results of the review, (b) A roadway worker shall not foul a
in writing, whether the on-track safety track except when necessary for the
program or changes to the program performance of duty.
have been approved by the Adminis- (c) Each roadway worker is respon-
trator, and if not approved, the specific sible to ascertain that on-track safety
points in which the program or changes is being provided before fouling a
are deficient. track.
(c) A railroad’s on-track safety pro- (d) Each roadway worker may refuse
gram will take effect by the estab- any directive to violate an on-track
lished compliance dates in § 214.305, safety rule, and shall inform the em-
without regard to the date of review or ployer in accordance with § 214.311
approval by the Federal Railroad Ad- whenever the roadway worker makes a
ministration. Changes to a railroad’s good faith determination that on-track
program will take effect on dates es- safety provisions to be applied at the
tablished by each railroad without re- job location do not comply with the
gard to the date of review and approval rules of the operating railroad.
166
§ 214.315 Supervision and communica- channels are disabled, the job briefing
tion. shall be conducted as soon as possible
(a) When an employer assigns duties after the beginning of the work period
to a roadway worker that call for that when communications are restored.
employee to foul a track, the employer
§ 214.317 On-track safety procedures,
shall provide the employee with a job generally.
briefing that includes information on
the means by which on-track safety is Each employer subject to the provi-
to be provided, and instruction on the sions of this part shall provide on-
on-track safety procedures to be fol- track safety for roadway workers by
lowed. adopting a program that contains spe-
(b) A job briefing for on-track safety cific rules for protecting roadway
shall be deemed complete only after workers that comply with the provi-
the roadway worker has acknowledged sions of §§ 214.319 through 214.337 of this
understanding of the on-track safety part.
procedures and instructions presented.
(c) Every roadway work group whose § 214.319 Working limits, generally.
duties require fouling a track shall Working limits established on con-
have one roadway worker designated trolled track shall conform to the pro-
by the employer to provide on-track visions of § 214.321 Exclusive track oc-
safety for all members of the group. cupancy, or § 214.323 Foul time, or § 214.
The designated person shall be quali- 325 Train coordination. Working limits
fied under the rules of the railroad that established on non-controlled track
conducts train operations on those shall conform to the provision of
tracks to provide the protection nec- § 214.327 Inaccessible track. Working
essary for on-track safety of each indi- limits established under any procedure
vidual in the group. The responsible shall, in addition, conform to the fol-
person may be designated generally, or lowing provisions:
specifically for a particular work situa- (a) Only a roadway worker who is
tion. qualified in accordance with § 214.353 of
(d) Before any member of a roadway this part shall establish or have con-
work group fouls a track, the des- trol over working limits for the pur-
ignated person providing on-track safe- pose of establishing on-track safety.
ty for the group under paragraph (c) of (b) Only one roadway worker shall
this section shall inform each roadway have control over working limits on
worker of the on- track safety proce- any one segment of track.
dures to be used and followed during (c) All affected roadway workers
the performance of the work at that shall be notified before working limits
time and location. Each roadway work- are released for the operation of trains.
er shall again be so informed at any Working limits shall not be released
time the on-track safety procedures until all affected roadway workers
change during the work period. Such have either left the track or have been
information shall be given to all road- afforded on-track safety through train
way workers affected before the change approach warning in accordance with
is effective, except in cases of emer- § 214.329 of this subpart.
gency. Any roadway workers who, be-
cause of an emergency, cannot be noti- § 214.321 Exclusive track occupancy.
fied in advance shall be immediately Working limits established on con-
warned to leave the fouling space and trolled track through the use of exclu-
shall not return to the fouling space sive track occupancy procedures shall
until on-track safety is re-established. comply with the following require-
(e) Each lone worker shall commu- ments:
nicate at the beginning of each duty (a) The track within working limits
period with a supervisor or another shall be placed under the control of one
designated employee to receive a job roadway worker by either:
briefing and to advise of his or her (1) Authority issued to the roadway
planned itinerary and the procedures worker in charge by the train dis-
that he or she intends to use for on- patcher or control operator who con-
track safety. When communication trols train movements on that track,
167
§ 214.323 49 CFR Ch. II (10–1–11 Edition)
(2) Flagmen stationed at each en- ity or the provisions of a direct train
trance to the track within working control system; or
limits and instructed by the roadway (5) A clearly identifiable physical lo-
worker in charge to permit the move- cation prescribed by the operating
ment of trains and equipment into the rules of the railroad that trains may
working limits only as permitted by not pass without proper authority.
the roadway worker in charge, or (d) Movements of trains and roadway
(3) The roadway worker in charge maintenance machines within working
causing fixed signals at each entrance limits established through exclusive
to the working limits to display an as- track occupancy shall be made only
pect indicating ‘‘Stop.’’ under the direction of the roadway
(b) An authority for exclusive track worker having control over the work-
occupancy given to the roadway working limits. Such movements shall be
er in charge of the working limits shall restricted speed unless a higher speed
be transmitted on a written or printed has been specifically authorized by the
document directly, by relay through a roadway worker in charge of the work-
designated employee, in a data trans- ing limits.
mission, or by oral communication, to
the roadway worker by the train dis- § 214.323 Foul time.
patcher or control operator in charge Working limits established on con-
of the track. trolled track through the use of foul
(1) Where authority for exclusive time procedures shall comply with the
track occupancy is transmitted orally, following requirements:
the authority shall be written as re-
(a) Foul time may be given orally or
ceived by the roadway worker in
in writing by the train dispatcher or
charge and repeated to the issuing em-
control operator only after that em-
ployee for verification.
ployee has withheld the authority of
(2) The roadway worker in charge of
all trains to move into or within the
the working limits shall maintain pos-
working limits during the foul time pe-
session of the written or printed au-
riod.
thority for exclusive track occupancy
(b) Each roadway worker to whom
while the authority for the working
foul time is transmitted orally shall re-
limits is in effect.
peat the track number, track limits
(3) The train dispatcher or control
and time limits of the foul time to the
operator in charge of the track shall
issuing employee for verification be-
make a written or electronic record of
fore the foul time becomes effective.
all authorities issued to establish ex-
clusive track occupancy. (c) The train dispatcher or control
(c) The extent of working limits es- operator shall not permit the move-
tablished through exclusive track oc- ment of trains or other on-track equip-
cupancy shall be defined by one of the ment onto the working limits pro-
following physical features clearly tected by foul time until the roadway
identifiable to a locomotive engineer worker who obtained the foul time has
or other person operating a train or reported clear of the track.
railroad equipment:
§ 214.325 Train coordination.
(1) A flagman with instructions and
capability to hold all trains and equip- Working limits established by a road-
ment clear of the working limits; way worker through the use of train
(2) A fixed signal that displays an as- coordination shall comply with the fol-
pect indicating ‘‘Stop’’; lowing requirements:
(3) A station shown in the time-table, (a) Working limits established by
and identified by name with a sign, be- train coordination shall be within the
yond which train movement is prohib- segments of track or tracks upon
ited by train movement authority or which only one train holds exclusive
the provisions of a direct train control authority to move.
system. (b) The roadway worker who estab-
(4) A clearly identifiable milepost lishes working limits by train coordi-
sign beyond which train movement is nation shall communicate with a mem-
prohibited by train movement author- ber of the crew of the train holding the
168
exclusive authority to move, and shall ing device from the control of the
determine that: switch until receiving permission to do
(1) The train is visible to the roadway so from the roadway worker who estab-
worker who is establishing the working lished the working limits.
limits, (b) Trains and roadway maintenance
(2) The train is stopped, machines within working limits estab-
(3) Further movements of the train lished by means of inaccessible track
will be made only as permitted by the shall move only under the direction of
roadway worker in charge of the work- the roadway worker in charge of the
ing limits while the working limits re- working limits, and shall move at re-
main in effect, and stricted speed.
(4) The crew of the train will not give (c) No operable locomotives or other
up its exclusive authority to move items of on-track equipment, except
until the working limits have been re- those present or moving under the di-
leased to the train crew by the road- rection of the roadway worker in
way worker in charge of the working charge of the working limits, shall be
limits. located within working limits estab-
lished by means of inaccessible track.
§ 214.327 Inaccessible track.
(a) Working limits on non-controlled § 214.329 Train approach warning pro-
track shall be established by rendering vided by watchmen/lookouts.
the track within working limits phys- Roadway workers in a roadway work
ically inaccessible to trains at each group who foul any track outside of
possible point of entry by one of the working limits shall be given warning
following features: of approaching trains by one or more
(1) A flagman with instructions and watchmen/lookouts in accordance with
capability to hold all trains and equip- the following provisions:
ment clear of the working limits; (a) Train approach warning shall be
(2) A switch or derail aligned to pre- given in sufficient time to enable each
vent access to the working limits and roadway worker to move to and occupy
secured with an effective securing de- a previously arranged place of safety
vice by the roadway worker in charge not less than 15 seconds before a train
of the working limits; moving at the maximum speed author-
(3) A discontinuity in the rail that ized on that track can pass the loca-
precludes passage of trains or engines tion of the roadway worker.
into the working limits; (b) Watchmen/lookouts assigned to
(4) Working limits on controlled provide train approach warning shall
track that connects directly with the devote full attention to detecting the
inaccessible track, established by the approach of trains and communicating
roadway worker in charge of the work- a warning thereof, and shall not be as-
ing limits on the inaccessible track; or signed any other duties while func-
(5) A remotely controlled switch tioning as watchmen/lookouts.
aligned to prevent access to the work- (c) The means used by a watchman/
ing limits and secured by the control lookout to communicate a train ap-
operator of such remotely controlled proach warning shall be distinctive and
switch by application of a locking or shall clearly signify to all recipients of
blocking device to the control of that the warning that a train or other on-
switch, when: track equipment is approaching.
(i) The control operator has secured (d) Every roadway worker who de-
the remotely controlled switch by ap- pends upon train approach warning for
plying a locking or blocking device to on-track safety shall maintain a posi-
the control of the switch, and tion that will enable him or her to re-
(ii) The control operator has notified ceive a train approach warning commu-
the roadway worker who has estab- nicated by a watchman/lookout at any
lished the working limits that the re- time while on-track safety is provided
quested protection has been provided, by train approach warning.
and (e) Watchmen/lookouts shall commu-
(iii) The control operator is not per- nicate train approach warnings by a
mitted to remove the locking or block- means that does not require a warned
169
§ 214.331 49 CFR Ch. II (10–1–11 Edition)
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,
the warned employee regardless of during the time for which the list is ef-
noise or distraction of work. fective.
(f) Every roadway worker who is as- (3) Trains not shown on the definite
signed the duties of a watchman/look- train location list shall not be operated
out shall first be trained, qualified and on the track for which the list is pro-
designated in writing by the employer vided, during the time for which the
to do so in accordance with the provi- list is effective, until each roadway
sions of § 214.349. worker to whom the list has been
(g) Every watchman/lookout shall be issued has been notified of the train
provided by the employer with the movement, has acknowledged the noti-
equipment necessary for compliance fication to the train dispatcher, and
with the on-track safety duties which has canceled the list. A list thus can-
the watchman/lookout will perform. celed shall then be invalid for on-track
safety.
§ 214.331 Definite train location. (4) Definite train location shall not
A roadway worker may establish on- be used to establish on-track safety
track safety by using definite train lo- within the limits of a manual inter-
cation only where permitted by and in locking, or on track over which train
accordance with the following provi- movements are governed by a Traffic
sions: Control System or by a Manual Block
System.
(a) A Class I railroad or a commuter
(5) Roadway workers using definite
railroad may only use definite train lo-
train location for on-track safety shall
cation to establish on-track safety at
not foul a track within ten minutes be-
points where such procedures were in
fore the earliest time that a train is
use on January 15, 1997.
due to depart the last station at which
(b) Each Class I or commuter railroad
time is shown in approach to the road-
shall include in its on-track safety pro-
way worker’s location nor until that
gram for approval by FRA in accord-
train has passed the location of the
ance with § 214.307 of this part a sched-
roadway worker.
ule for phase-out of the use of definite
(6) A railroad shall not permit a train
train location to establish on-track
to depart a location designated in a
safety.
definite train location list before the
(c) A railroad other than a Class I or time shown therein.
commuter railroad may use definite (7) Each roadway worker who uses
train location to establish on-track definite train location to establish on-
safety on subdivisions only where: track safety must be qualified on the
(1) Such procedures were in use on relevant physical characteristics of the
January 15, 1997, or territory for which the train location
(2) The number of trains operated on information is provided.
the subdivision does not exceed:
(i) Three during any nine-hour period § 214.333 Informational line-ups of
in which roadway workers are on duty, trains.
and (a) A railroad is permitted to include
(ii) Four during any twelve-hour pe- informational line-ups of trains in its
riod in which roadway workers are on on-track safety program for use only
duty. on subdivisions of that railroad upon
(d) Definite train location shall only which such procedure was in effect on
be used to establish on-track safety ac- March 14, 1996.
cording to the following provisions: (b) Each procedure for the use of in-
(1) Definite train location informa- formational line-ups of trains found in
tion shall be issued only by the one an on-track safety program shall in-
train dispatcher who is designated to clude all provisions necessary to pro-
authorize train movements over the tect roadway workers using the proce-
track for which the information is pro- dure against being struck by trains or
vided. other on-track equipment.
170
(c) Each on-track safety program (3) On track outside the limits of a
that provides for the use of informa- manual interlocking, a controlled
tional line-ups shall include a schedule point, or a remotely controlled hump
for discontinuance of the procedure by yard facility;
a definite date. (4) Where the lone worker is able to
visually detect the approach of a train
§ 214.335 On-track safety procedures moving at the maximum speed author-
for roadway work groups. ized on that track, and move to a pre-
(a) No employer subject to the provi- viously determined place of safety, not
sions of this part shall require or per- less than 15 seconds before the train
mit a roadway worker who is a member would arrive at the location of the lone
of a roadway work group to foul a worker;
track unless on-track safety is pro- (5) Where no power-operated tools or
vided by either working limits, train roadway maintenance machines are in
approach warning, or definite train lo- use within the hearing of the lone
cation in accordance with the applica- worker; and
ble provisions of §§ 214.319, 214.321, (6) Where the ability of the lone
213.323, 214.325, 214.327, 214.329 and worker to hear and see approaching
214.331 of this part. trains and other on-track equipment is
(b) No roadway worker who is a mem- not impaired by background noise,
ber of a roadway work group shall foul lights, precipitation, fog, passing
a track without having been informed trains, or any other physical condi-
by the roadway worker responsible for tions.
(d) The place of safety to be occupied
the on-track safety of the roadway
by a lone worker upon the approach of
work group that on-track safety is pro-
a train may not be on a track, unless
vided.
working limits are established on that
(c) Roadway work groups engaged in
track.
large-scale maintenance or construc-
(e) A lone worker using individual
tion shall be provided with train ap-
train detection for on-track safety
proach warning in accordance with
while fouling a track may not occupy a
§ 214.327 for movements on adjacent
position or engage in any activity that
tracks that are not included within
would interfere with that worker’s
working limits.
ability to maintain a vigilant lookout
§ 214.337 On-track safety procedures for, and detect the approach of, a train
for lone workers. moving in either direction as pre-
scribed in this section.
(a) A lone worker who fouls a track (f) A lone worker who uses individual
while performing routine inspection or train detection to establish on-track
minor correction may use individual safety shall first complete a written
train detection to establish on-track Statement of On-track Safety. The
safety only where permitted by this Statement shall designate the limits of
section and the on-track safety pro- the track for which it is prepared and
gram of the railroad. the date and time for which it is valid.
(b) A lone worker retains an absolute The statement shall show the max-
right to use on-track safety procedures imum authorized speed of trains within
other than individual train detection if the limits for which it is prepared, and
he or she deems it necessary, and to oc- the sight distance that provides the re-
cupy a place of safety until such other quired warning of approaching trains.
form of on-track safety can be estab- The lone worker using individual train
lished. detection to establish on-track safety
(c) Individual train detection may be shall produce the Statement of On-
used to establish on-track safety only: track Safety when requested by a rep-
(1) By a lone worker who has been resentative of the Federal Railroad Ad-
trained, qualified, and designated to do ministrator.
so by the employer in accordance with
§ 214.347 of this subpart; § 214.339 Audible warning from trains.
(2) While performing routine inspec- Each railroad shall require that the
tion and minor correction work; locomotive whistle be sounded, and the
171
§ 214.341 49 CFR Ch. II (10–1–11 Edition)
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
shall not substitute for on-track safety program of the railroad shall include
procedures prescribed in this part. the procedural instructions necessary
to provide adequate clearance between
§ 214.341 Roadway maintenance ma- the machine and passing trains.
chines.
(a) Each employer shall include in its § 214.343 Training and qualification,
on-track safety program specific provi- general.
sions for the safety of roadway workers (a) No employer shall assign an em-
who operate or work near roadway ployee to perform the duties of a road-
maintenance machines. Those provi- way worker, and no employee shall ac-
sions shall address: cept such assignment, unless that em-
(1) Training and qualification of op- ployee has received training in the on-
erators of roadway maintenance ma- track safety procedures associated
chines. with the assignment to be performed,
(2) Establishment and issuance of and that employee has demonstrated
safety procedures both for general ap- the ability to fulfill the responsibilities
plication and for specific types of ma- for on-track safety that are required of
chines. an individual roadway worker per-
(3) Communication between machine forming that assignment.
operators and roadway workers as-
(b) Each employer shall provide to all
signed to work near or on roadway
roadway workers in its employ initial
maintenance machines.
or recurrent training once every cal-
(4) Spacing between machines to pre-
endar year on the on-track safety rules
vent collisions.
and procedures that they are required
(5) Space between machines and road-
to follow.
way workers to prevent personal in-
jury. (c) Railroad employees other than
(6) Maximum working and travel roadway workers, who are associated
speeds for machines dependent upon with on-track safety procedures, and
weather, visibility, and stopping capa- whose primary duties are concerned
bilities. with the movement and protection of
(b) Instructions for the safe operation trains, shall be trained to perform
of each roadway machine shall be pro- their functions related to on-track
vided and maintained with each ma- safety through the training and quali-
chine large enough to carry the in- fication procedures prescribed by the
struction document. operating railroad for the primary po-
(1) No roadway worker shall operate sition of the employee, including main-
a roadway maintenance machine with- tenance of records and frequency of
out having been trained in accordance training.
with § 214.355. (d) Each employer of roadway work-
(2) No roadway worker shall operate ers shall maintain written or elec-
a roadway maintenance machine with- tronic records of each roadway worker
out having complete knowledge of the qualification in effect. Each record
safety instructions applicable to that shall include the name of the em-
machine. ployee, the type of qualification made,
(3) No employer shall assign roadway and the most recent date of qualifica-
workers to work near roadway mation. These records shall be kept avail-
chines unless the roadway worker has able for inspection and photocopying
been informed of the safety procedures by the Federal Railroad Administrator
applicable to persons working near the during regular business hours.
roadway machines and has acknowl-
edged full understanding. § 214.345 Training for all roadway
(c) Components of roadway mainte- workers.
nance machines shall be kept clear of The training of all roadway workers
trains passing on adjacent tracks. shall include, as a minimum, the fol-
Where operating conditions permit lowing:
172
(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.
(b) The functions and responsibilities (3) Determination of the distance
of various persons involved with on- along the track at which trains must
track safety procedures. be visible in order to provide the pre-
(c) Proper compliance with on-track scribed warning time.
safety instructions given by persons (4) Rules and procedures of the rail-
performing or responsible for on-track road to be used for train approach
safety functions. warning.
(d) Signals given by watchmen/look- (b) Initial and periodic qualification
outs, and the proper procedures upon of a watchman/lookout shall be evi-
receiving a train approach warning denced by demonstrated proficiency.
from a lookout.
(e) The hazards associated with work- § 214.351 Training and qualification of
flagmen.
ing on or near railroad tracks, includ-
ing review of on-track safety rules and (a) The training and qualification for
procedures. roadway workers assigned the duties of
flagmen shall include, as a minimum,
§ 214.347 Training and qualification the content and application of the op-
for lone workers. erating rules of the railroad pertaining
Each lone worker shall be trained to giving proper stop signals to trains
and qualified by the employer to estab- and holding trains clear of working
lish on-track safety in accordance with limits.
the requirements of this section, and (b) Initial and periodic qualification
must be authorized to do so by the rail- of a flagman shall be evidenced by
road that conducts train operations on demonstrated proficiency.
those tracks. § 214.353 Training and qualification of
(a) The training and qualification for roadway workers who provide on-
lone workers shall include, as a min- track safety for roadway work
imum, consideration of the following groups.
factors: (a) The training and qualification of
(1) Detection of approaching trains roadway workers who provide for the
and prompt movement to a place of on-track safety of groups of roadway
safety upon their approach. workers through establishment of
(2) Determination of the distance working limits or the assignment and
along the track at which trains must supervision of watchmen/lookouts or
be visible in order to provide the pre- flagmen shall include, as a minimum:
scribed warning time. (1) All the on-track safety training
(3) Rules and procedures prescribed and qualification required of the road-
by the railroad for individual train de- way workers to be supervised and pro-
tection, establishment of working lim- tected.
its, and definite train location. (2) The content and application of the
(4) On-track safety procedures to be operating rules of the railroad per-
used in the territory on which the em- taining to the establishment of work-
ployee is to be qualified and permitted ing limits.
to work alone. (3) The content and application of the
(b) Initial and periodic qualification rules of the railroad pertaining to the
of a lone worker shall be evidenced by establishment or train approach warn-
demonstrated proficiency. ing.
(4) The relevant physical characteris-
§ 214.349 Training and qualification of tics of the territory of the railroad
watchmen/lookouts. upon which the roadway worker is
(a) The training and qualification for qualified.
roadway workers assigned the duties of (b) Initial and periodic qualification
watchmen/lookouts shall include, as a of a roadway worker to provide on
minimum, consideration of the fol- track safety for groups shall be evi-
lowing factors: denced by a recorded examination.
173
§ 214.355 49 CFR Ch. II (10–1–11 Edition)
§ 214.355 Training and qualification in § 214.503 Good-faith challenges; proce-

on-track safety for operators of dures for notification and resolu-
roadway maintenance machines. tion.
(a) The training and qualification of (a) An employee operating an on-
roadway workers who operate roadway track roadway maintenance machine
maintenance machines shall include, or hi-rail vehicle shall inform the em-
as a minimum: ployer whenever the employee makes a
(1) Procedures to prevent a person good-faith determination that the ma-
from being struck by the machine chine or vehicle does not comply with
when the machine is in motion or oper- FRA regulations or has a condition
ation. that inhibits its safe operation.
(2) Procedures to prevent any part of (b) Any employee charged with oper-
the machine from being struck by a ating an on-track roadway mainte-
train or other equipment on another nance machine or hi-rail vehicle cov-
track. ered by this subpart may refuse to op-
(3) Procedures to provide for stopping erate the machine or vehicle if the em-
the machine short of other machines or ployee makes a good-faith determina-
obstructions on the track. tion that it does not comply with the
(4) Methods to determine safe oper- requirements of this subpart or has a
ating procedures for each machine that condition that inhibits its safe oper-
the operator is expected to operate. ation. The employer shall not require
the employee to operate the machine
(b) Initial and periodic qualification
or vehicle until the challenge resulting
of a roadway worker to operate road-
from the good-faith determination is
way maintenance machines shall be
resolved.
evidenced by demonstrated proficiency.
(c) Each employer shall have in place
and follow written procedures to assure
Subpart D—On-Track Roadway prompt and equitable resolution of
Maintenance Machines and challenges resulting from good-faith
Hi-Rail Vehicles determinations made in accordance
with this section. The procedures shall
SOURCE: 68 FR 44407, July 28, 2003, unless include specific steps to be taken by
otherwise noted. the employer to investigate each good-
faith challenge, as well as procedures
§ 214.501 Purpose and scope. to follow once the employer finds a
(a) The purpose of this subpart is to challenged machine or vehicle does not
prevent accidents and casualties comply with this subpart or is other-
caused by the lawful operation of on- wise unsafe to operate. The procedures
shall also include the title and location
track roadway maintenance machines
of the employer’s designated official.
and hi-rail vehicles.
(b) This subpart prescribes minimum § 214.505 Required environmental con-
safety standards for on-track roadway trol and protection systems for new
maintenance machines and hi-rail ve- on-track roadway maintenance ma-
hicles. An employer may prescribe ad- chines with enclosed cabs.
ditional or more stringent standards (a) The following new on-track road-
that are consistent with this subpart. way maintenance machines shall be
(c) Any working condition that in- equipped with enclosed cabs with oper-
volves the protection of employees en- ative heating systems, operative air
gaged in roadway maintenance duties conditioning systems, and operative
covered by this subpart but is not with- positive pressurized ventilation sys-
in the subject matter addressed by this tems:
subpart, including employee exposure (1) Ballast regulators;
to noise, shall be governed by the regu- (2) Tampers;
lations of the U.S. Department of (3) Mechanical brooms;
Labor, Occupational Safety and Health (4) Rotary scarifiers;
Administration. (5) Undercutters; and
174
(6) Functional equivalents of any of tion or functionally equivalent thereto,

the machines identified in paragraphs shall be equipped with operative heat-
(a)(1) through (a)(5) of this section. ing and ventilation systems.
(b) New on-track roadway mainte- (h) When new on-track roadway
nance machines, and existing on-track maintenance machines require oper-
roadway maintenance machines spe- ation from non-enclosed stations out-
cifically designated by the employer, of side of the main cab, the non-enclosed
the types identified in paragraphs (a)(1) stations shall be equipped, where fea-
through (a)(5) of this section, or func- sible from an engineering standpoint,
tionally equivalent thereto, shall be with a permanent or temporary roof,
capable of protecting employees in the canopy, or umbrella designed to pro-
cabs of the machines from exposure to vide cover from normal rainfall and
air contaminants, in accordance with midday sun.
29 CFR 1910.1000.
(c) An employer shall maintain a list § 214.507 Required safety equipment
of new and designated existing on- for new on-track roadway mainte-
track roadway maintenance machines nance machines.
of the types identified in paragraphs (a) Each new on-track roadway main-
(a)(1) through (a)(5) of this section, or tenance machine shall be equipped
functionally equivalent thereto. The with:
list shall be kept current and made (1) A seat for each operator, except as
available to the Federal Railroad Ad- provided in paragraph (b) of this sec-
ministration and other Federal and tion;
State agencies upon request.
(2) A safe and secure position with
(d) An existing roadway maintenance
handholds, handrails, or a secure seat
machine of the type identified in para-
for each roadway worker transported
graphs (a)(1) through (a)(5) of this sec-
on the machine. Each position shall be
tion, or functionally equivalent there-
protected from moving parts of the ma-
to, becomes ‘‘designated’’ when the em-
chine;
ployer adds the machine to the list re-
quired in paragraph (c) of this section. (3) A positive method of securement
The designation is irrevocable, and the for turntables, on machines equipped
designated existing roadway mainte- with a turntable, through engagement
nance machine remains subject to of pins and hooks that block the de-
paragraph (b) of this section until it is scent of turntable devices below the
retired or sold. rail head when not in use;
(e) If the ventilation system on a new (4) A windshield with safety glass, or
on-track roadway maintenance ma- other material with similar properties,
chine or a designated existing on-track if the machine is designed with a wind-
roadway maintenance machine of the shield. Each new on-track roadway
type identified in paragraphs (a)(1) maintenance machine designed with a
through (a)(5) of this section, or func- windshield shall also have power wind-
tionally equivalent thereto, becomes shield wipers or suitable alternatives
incapable of protecting an employee in that provide the machine operator an
the cab of the machine from exposure equivalent level of vision if windshield
to air contaminants in accordance with wipers are incompatible with the wind-
29 CFR 1910.1000, personal respiratory shield material;
protective equipment shall be provided (5) A machine braking system capa-
for each such employee until the mable of effectively controlling the move-
chine is repaired in accordance with ment of the machine under normal op-
§ 214.531. erating conditions;
(f) Personal respiratory protective (6) A first-aid kit that is readily ac-
equipment provided under paragraph cessible and complies with 29 CFR
(e) of this section shall comply with 29 1926.50(d)(2); and
CFR 1910.134. (7) An operative and properly charged
(g) New on-track roadway mainte- fire extinguisher of 5 BC rating or high-
nance machines with enclosed cabs, er which is securely mounted and read-
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.
175
§ 214.509 49 CFR Ch. II (10–1–11 Edition)
(b) Each new on-track roadway main- § 214.511 Required audible warning
tenance machine designed to be oper- devices for new on-track roadway
ated and transported by the operator in maintenance machines.
a standing position shall be equipped Each new on-track roadway mainte-
with handholds and handrails to pro- nance machine shall be equipped with:
vide the operator with a safe and se- (a) A horn or other audible warning
cure position. device that produces a sound loud
(c) Each new on-track roadway main- enough to be heard by roadway work-
tenance machine that weighs more ers and other machine operators within
than 32,500 pounds light weight and is the immediate work area. The trig-
operated in excess of 20 mph shall be gering mechanism for the device shall
equipped with a speed indicator that is be clearly identifiable and within easy
accurate within ±5 mph of the actual reach of the machine operator; and
(b) An automatic change-of-direction
speed at speeds of 10 mph and above.
alarm which provides an audible signal
(d) Each new on-track roadway main-
that is at least three seconds long and
tenance machine shall have its as-built is distinguishable from the surrounding
light weight displayed in a conspicuous noise. Change of direction alarms may
location on the machine. be interrupted by the machine operator
[68 FR 44407, July 28, 2003, as amended at 69 when operating the machine in the
FR 8839, Feb. 26, 2004] work mode if the function of the ma-
chine would result in a constant, or al-
§ 214.509 Required visual illumination most constant, sounding of the device.
and reflective devices for new on- In any action brought by FRA to en-
track roadway maintenance ma- force the change-of-direction alarm re-
chines. quirement, the employer shall have the
Each new on-track roadway mainte- burden of proving that use of the
nance machine shall be equipped with change-of-direction alarm in a par-
the following visual illumination and ticular work function would cause a
reflective devices: constant, or almost constant, sounding
of the device.
(a) An illumination device, such as a
headlight, capable of illuminating ob- § 214.513 Retrofitting of existing on-
structions on the track ahead in the di- track roadway maintenance ma-
rection of travel for a distance of 300 chines; general.
feet under normal weather and atmos- (a) Each existing on-track roadway
pheric conditions; maintenance machine shall have a safe
(b) Work lights, if the machine is op- and secure position with handholds,
erated during the period between one- handrails, or a secure seat or bench po-
half hour after sunset and one-half sition for each roadway worker trans-
hour before sunrise or in dark areas ported on the machine. Each position
such as tunnels, unless equivalent shall be protected from moving parts of
lighting is otherwise provided; the machine.
(c) An operative 360-degree intermit- (b) By March 28, 2005, each existing
tent warning light or beacon mounted on-track roadway maintenance ma-
on the roof of the machine. New road- chine shall be equipped with a perma-
way maintenance machines that are nent or portable horn or other audible
not equipped with fixed roofs and have warning device that produces a sound
loud enough to be heard by roadway
a light weight less than 17,500 pounds
workers and other machine operators
are exempt from this requirement;
within the immediate work area. The
(d) A brake light activated by the ap- triggering mechanism for the device
plication of the machine braking sys- shall be clearly identifiable and within
tem, and designed to be visible for a easy reach of the machine operator.
distance of 300 feet under normal (c) By March 28, 2005, each existing
weather and atmospheric conditions; on-track roadway maintenance ma-
and chine shall be equipped with a perma-
(e) Rearward viewing devices, such as nent illumination device or a portable
rearview mirrors. light that is securely placed and not
176
hand-held. The illumination device or viewing device, if either device is fea-

portable light shall be capable of illu- sible, given the machine’s design, and
minating obstructions on the track if either device adds operational safety
ahead for a distance of 300 feet under value, given the machine’s function. In
normal weather and atmospheric con- any action brought by FRA to enforce
ditions when the machine is operated this requirement, the employer shall
during the period between one-half have the burden of proving that neither
hour after sunset and one-half hour be- device is feasible or adds operational
fore sunrise or in dark areas such as safety value, or both, given the ma-
tunnels. chine’s design or work function.
(b) An operative heater, when the
[68 FR 44407, July 28, 2003, as amended at 69
machine is operated at an ambient
FR 8839, Feb. 26, 2004]
temperature less than 50 degrees Fahr-
§ 214.515 Overhead covers for existing enheit and is equipped with, or has
on-track roadway maintenance ma- been equipped with, a heater installed
chines. by the manufacturer or the railroad.
(a) For those existing on-track road- (c) The light weight of the machine
way maintenance machines either cur- stenciled or otherwise clearly dis-
rently or previously equipped with played on the machine, if the light
weight is known.
overhead covers for the operator’s posi-
(d) Reflective material, or a reflec-
tion, defective covers shall be repaired,
tive device, or operable brake lights.
and missing covers shall be reinstalled,
(e) Safety glass when its glass is nor-
by March 28, 2005 and thereafter main-
mally replaced, except that replace-
tained in accordance with the provi-
ment glass that is specifically intended
sions of § 214.531.
for on-track roadway maintenance ma-
(b) For those existing on-track road-
chines and is in the employer’s inven-
way maintenance machines that are tory as of September 26, 2003 may be
not already equipped with overhead utilized until exhausted.
covers for the operator’s position, the (f) A turntable restraint device, on
employer shall evaluate the feasibility machines equipped with a turntable, to
of providing an overhead cover on such prevent undesired lowering, or a warn-
a machine if requested in writing by ing light indicating that the turntable
the operator assigned to operate the is not in the normal travel position.
machine or by the operator’s des-
ignated representative. The employer [68 FR 44407, July 28, 2003, as amended at 69
shall provide the operator a written re- FR 8839, Feb. 26, 2004]
sponse to each request within 60 days. § 214.518 Safe and secure positions for
When the employer finds the addition riders.
of an overhead cover is not feasible, the
response shall include an explanation On or after March 1, 2004, a roadway
of the reasoning used by the employer worker, other than the machine oper-
to reach that conclusion. ator, is prohibited from riding on any
(c) For purposes of this section, over- on-track roadway maintenance ma-
chine unless a safe and secure position
head covers shall provide the opera-
for each roadway worker on the ma-
tor’s position with cover from normal
chine is clearly identified by sten-
rainfall and midday sun.
ciling, marking, or other written no-
§ 214.517 Retrofitting of existing on- tice.
track roadway maintenance ma- [69 FR 8839, Feb. 26, 2004]
chines manufactured on or after
January 1, 1991. § 214.519 Floors, decks, stairs, and lad-
In addition to meeting the require- ders of on-track roadway mainte-
ments of § 214.513, after March 28, 2005 nance machines.
each existing on-track roadway main- Floors, decks, stairs, and ladders of
tenance machine manufactured on or on-track roadway maintenance ma-
after January 1, 1991, shall have the chines shall be of appropriate design
following: and maintained to provide secure ac-
(a) A change-of-direction alarm or cess and footing, and shall be free of
rearview mirror or other rearward oil, grease, or any obstruction which
177
§ 214.521 49 CFR Ch. II (10–1–11 Edition)
creates a slipping, falling, or fire haz- hicle at the start of the operator’s
ard. work shift.
(2) A non-complying condition that
§ 214.521 Flagging equipment for on- cannot be repaired immediately shall
track roadway maintenance ma- be tagged and dated in a manner pre-
chines and hi-rail vehicles.
scribed by the employer and reported
Each on-track roadway maintenance to the designated official.
machine and hi-rail vehicle shall have (3) Non-complying automatic change-
on board a flagging kit that complies of-direction alarms, backup alarms,
with the operating rules of the railroad and 360-degree intermittent warning
if: lights or beacons shall be repaired or
(a) The equipment is operated over replaced as soon as practicable within
trackage subject to a railroad oper- seven calendar days.
ating rule requiring flagging; and
(b)(1) The equipment is not part of a § 214.525 Towing with on-track road-
roadway work group; or way maintenance machines or hi-
(2) The equipment is the lead or trail- rail vehicles.
ing piece of equipment in a roadway (a) When used to tow pushcars or
work group operating under the same other maintenance-of-way equipment,
occupancy authority. each on-track roadway maintenance
[69 FR 8839, Feb. 26, 2004] machine or hi-rail vehicle shall be
equipped with a towing bar or other
§ 214.523 Hi-rail vehicles. coupling device that provides a safe
(a) The hi-rail gear of all hi-rail vehi- and secure attachment.
cles shall be inspected for safety at (b) An on-track roadway mainte-
least annually and with no more than nance machine or hi-rail vehicle shall
14 months between inspections. Tram, not be used to tow pushcars or other
wheel wear, and gage shall be measured maintenance-of-way equipment if the
and, if necessary, adjusted to allow the towing would cause the machine or hi-
vehicle to be safely operated. rail vehicle to exceed the capabilities
(b) Each employer shall keep records of its braking system. In determining
pertaining to compliance with para- the limit of the braking system, the
graph (a) of this section. Records may employer must consider the track
be kept on forms provided by the em- grade (slope), as well as the number
ployer or by electronic means. The em- and weight of pushcars or other equip-
ployer shall retain the record of each ment to be towed.
inspection until the next required in-
spection is performed. The records § 214.527 On-track roadway mainte-
shall be made available for inspection nance machines; inspection for
compliance and schedule for re-
and copying during normal business pairs.
hours by representatives of FRA and
States participating under part 212 of (a) The operator of an on-track road-
this chapter. The records may be kept way maintenance machine shall check
on the hi-rail vehicle or at a location the machine components for compli-
designated by the employer. ance with this subpart, prior to using
(c) A new hi-rail vehicle shall be the machine at the start of the opera-
equipped with: tor’s work shift.
(1) An automatic change-of-direction (b) Any non-complying condition
alarm or backup alarm that provides that cannot be repaired immediately
an audible signal at least three seconds shall be tagged and dated in a manner
long and distinguishable from the sur- prescribed by the employer and re-
rounding noise; and ported to the designated official.
(2) An operable 360-degree intermit- (c) The operation of an on-track
tent warning light or beacon mounted roadway maintenance machine with a
on the outside of the vehicle. non-complying condition shall be gov-
(d)(1) The operator of a hi-rail vehicle erned by the following requirements:
shall check the vehicle for compliance (1) An on-track roadway maintenance
with this subpart, prior to using the ve- machine with headlights or work lights
178
that are not in compliance may be op- brought into compliance as soon as
erated for a period not exceeding 7 cal- practicable within seven calendar days.
endar days and only during the period If repairs are not made within seven
between one-half hour before sunrise calendar days, the on-track roadway
and one-half hour after sunset; maintenance machine or hi-rail vehicle
(2) A portable horn may be sub- shall be placed out of on-track service.
stituted for a non-complying or miss-
ing horn for a period not exceeding § 214.533 Schedule of repairs subject
seven calendar days; to availability of parts.
(3) A fire extinguisher readily avail- (a) The employer shall order a part
able for use may temporarily replace a necessary to repair a non-complying
missing, defective or discharged fire condition on an on-track roadway
extinguisher on a new on-track road- maintenance machine or a hi-rail vehi-
way maintenance machine for a period cle by the end of the next business day
not exceeding 7 calendar days, pending following the report of the defect.
the permanent replacement or repair of (b) When the employer cannot repair
the missing, defective or used fire ex- a non-complying condition as required
tinguisher; by § 214.531 because of the temporary
(4) Non-complying automatic change-
unavailability of a necessary part, the
of-direction alarms, backup alarms,
employer shall repair the on-track
and 360-degree intermittent warning
roadway maintenance machine or hi-
lights or beacons shall be repaired or
rail vehicle within seven calendar days
replaced as soon as practicable within 7
after receiving the necessary part. The
calendar days; and
employer may continue to use the on-
(5) A structurally defective or miss-
track roadway maintenance machine
ing operator’s seat shall be replaced or
or hi-rail vehicle with a non-complying
repaired within 24 hours or by the start
of the machine’s next tour of duty, condition until receiving the necessary
whichever is later. The machine may part(s) for repair, subject to the re-
be operated for the remainder of the quirements of § 214.503. However, if a
operator’s tour of duty if the defective non-complying condition is not re-
or missing operator’s seat does not pre- paired within 30 days following the re-
vent its safe operation. port of the defect, the employer shall
remove the on-track roadway mainte-
§ 214.529 In-service failure of primary nance machine or hi-rail vehicle from
braking system. on-track service until it is brought
(a) In the event of a total in-service into compliance with this subpart.
failure of its primary braking system, (c) If the employer fails to order a
an on-track roadway maintenance ma- part necessary to repair the reported
chine may be operated for the remain- non-complying condition, or if it fails
der of its tour of duty with the use of to install an available part within the
a secondary braking system or by cou- required seven calendar days, the on-
pling to another machine, if such oper- track roadway maintenance machine
ations may be done safely. or hi-rail vehicle shall be removed from
(b) If the total in-service failure of an on-track service until brought into
on-track roadway maintenance ma- compliance with this subpart.
chine’s primary braking system occurs (d) Each employer shall maintain
where other equipment is not available records pertaining to compliance with
for coupling, the machine may, if it is this section. Records may be kept on
safe to do so, travel to a clearance or forms provided by the employer or by
repair point where it shall be placed electronic means. The employer shall
out of service until repaired. retain each record for at least one
year, and the records shall be made
§ 214.531 Schedule of repairs; general. available for inspection and copying
Except as provided in §§ 214.527(c)(5), during normal business hours by rep-
214.529, and 214.533, an on-track road- resentatives of FRA and States partici-
way maintenance machine or hi-rail pating under part 212 of this chapter.
vehicle that does not meet all the re- The records may be kept on the on-
quirements of this subpart shall be track roadway maintenance machine
179
or hi-rail vehicle or at a location des-

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
(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
180
(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
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
181
(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
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
182
Federal Railroad Administration, DOT Pt. 215
(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
(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
[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; 73 FR 79701, Dec.
30, 2008]
PART 215—RAILROAD FREIGHT CAR 215.13 Pre-departure inspection.

215.15 Periodic inspection.
SAFETY STANDARDS
Subpart B—Freight Car Components
Subpart A—General
215.101 Scope.
Sec.
215.1 Scope of part. SUSPENSION SYSTEM
215.3 Application. 215.103 Defective wheel.
215.5 Definitions. 215.105 Defective axle.
215.7 Prohibited acts. 215.107 Defective plain bearing box: General.
215.9 Movement of defective cars for repair. 215.109 Defective plain bearing box: Journal
215.11 Designated inspectors. lubrication system.
183
§ 215.1 49 CFR Ch. II (10–1–11 Edition)
215.111 Defective plain bearing. (2) Having a Canadian or Mexican re-
215.113 Defective plain bearing wedge. porting mark and car number.
215.115 Defective roller bearing. (c) This part does not apply to a rail-
215.117 Defective roller bearing adapter. road freight car that is:
215.119 Defective freight car truck.
(1) Operated solely on track inside an
CAR BODIES industrial or other non-railroad instal-
lation; or
215.121 Defective car body.
(2) Used exclusively in dedicated
DRAFT SYSTEM service as defined in § 215.5(d) of this
part; or
215.123 Defective couplers.
215.125 Defective uncoupling device.
(3) Maintenance-of-way equipment
215.127 Defective draft arrangement. (including self-propelled maintenance-
215.129 Defective cushioning device. of-way equipment) if that equipment is
not used in revenue service and is sten-
Subpart C—Restricted Equipment ciled in accordance with § 215.305 of this
part.
215.201 Scope. (4) Operated in a passenger train and
215.203 Restricted cars.
that is inspected, tested, maintained,
Subpart D—Stenciling and operated pursuant to the require-
ments contained in part 238 of this
215.301 General. chapter.
215.303 Stenciling of restricted cars.
215.305 Stenciling of maintenance-of-way [44 FR 77340, Dec. 31, 1979, as amended at 65
equipment. FR 41305, July 3, 2000]
APPENDIX A TO PART 215—RAILROAD FREIGHT § 215.5 Definitions.
CAR COMPONENTS
APPENDIX B TO PART 215—SCHEDULE OF CIVIL As used in this part:
PENALTIES (a) Break means a fracture resulting
APPENDIX C TO PART 215—FRA FREIGHT CAR in complete separation into parts;
STANDARDS DEFECT CODE (b) Cracked means fractured without
APPENDIX D TO PART 215—PRE-DEPARTURE IN- complete separation into parts, except
SPECTION PROCEDURE that castings with shrinkage cracks or
AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C. hot tears that do not significantly di-
2461, note; and 49 CFR 1.49. minish the strength of the member are
SOURCE: 44 FR 77340, Dec. 31, 1979, unless not considered to be ‘‘cracked’’;
otherwise noted. (c) Railroad freight car means a car
designed to carry freight, or railroad
personnel, by rail and includes a:
Subpart A—General (1) Box car;
§ 215.1 Scope of part. (2) Refrigerator car;
(3) Ventilator car;
This part prescribes minimum Fed- (4) Stock car;
eral safety standards for railroad (5) Gondola car;
freight cars. (6) Hopper car;
(7) Flat car;
(8) Special car;
(a) Except as provided in paragraphs (9) Caboose car;
(b) and (c) of this section, this part ap- (10) Tank car; and
plies to each railroad freight car in (11) Yard car.
service on: (d) Dedicated service means the exclu-
(1) Standard gage track of a railroad; sive assignment of cars to the trans-
or portation of freight between specified
(2) Any other standard gage track points under the following conditions:
while the car is being operated by, or is (1) The cars are operated—
otherwise under the control of, a rail- (i) Primarily on track that is inside
road. an industrial or other non-railroad in-
(b) Sections 215.15 and 215.303 of this stallation; and
part do not apply to any car: (ii) Only occasionally over track of a
(1) Owned by a Canadian or Mexican railroad;
Railroad; and (2) The cars are not operated—
184
(i) At speeds of more than 15 miles traditional railroads. Such term does
per hour; and not include rapid transit operations
(ii) Over track of a railroad— within an urban area that are not con-
(A) For more than 30 miles in one di- nected to the general railroad system
rection; or of transportation.
(B) On a round trip of more than 60 (g) State inspector means an inspector
miles; who is participating in investigative
(3) The cars are not freely inter- and surveillance activities under sec-
changed among railroads; tion 206 of the Federal Railroad Safety
(4) The words ‘‘Dedicated Service’’ Act of 1970 (45 U.S.C. 435).
are stenciled, or otherwise displayed,
in clearly legible letters on each side of
FR 26710, Apr. 21, 1980; 54 FR 33228, Aug. 14,
the car body; 1989]
(5) The cars have been examined and
found safe to operate in dedicated serv- § 215.7 Prohibited acts.
ice; and
(6) The railroad must— Any person (an entity of any type
(i) Notify the FRA in writing that covered under 1 U.S.C. 1, including but
the cars are to be operated in dedicated not limited to the following: a railroad;
service; a manager, supervisor, official, or
(ii) Identify in that notice— other employee or agent of a railroad;
(A) The railroads affected; any owner, manufacturer, lessor, or
(B) The number and type of cars in- lessee of railroad equipment, track, or
volved; facilities; any independent contractor
(C) The commodities being carried; providing goods or services to a rail-
and road; and any employee of such owner,
(D) The territorial and speed limits manufacturer, lessor, lessee, or inde-
within which the cars will be operated; pendent contractor) who violates any
and requirement of this part or causes the
(iii) File the notice required by this violation of any such requirement is
paragraph not less than 30 days before subject to a civil penalty of at least
the cars operate in dedicated service; $650 and not more than $25,000 per vio-
(e) In service when used in connection lation, except that: Penalties may be
with a railroad freight car, means each assessed against individuals only for
railroad freight car subject to this part willful violations, and, where a grossly
unless the car: negligent violation or a pattern of re-
(1) Has a ‘‘bad order’’ or ‘‘home shop peated violations has created an immi-
for repairs’’ tag or card containing the nent hazard of death or injury to per-
prescribed information attached to sons, or has caused death or injury, a
each side of the car and is being han- penalty not to exceed $100,000 per viola-
dled in accordance with § 215.9 of this tion may be assessed. Each day a viola-
part; tion continues shall constitute a sepa-
(2) Is in a repair shop or on a repair rate offense. See appendix B to this
track; part for a statement of agency civil
(3) Is on a storage track and is penalty policy.
empty; or [53 FR 28599, July 28, 1988, as amended at 53
(4) Has been delivered in interchange FR 52925, Dec. 29, 1988; 63 FR 11620, Mar. 10,
but has not been accepted by the re- 1998; 69 FR 30593, May 28, 2004; 72 FR 51196,
ceiving carrier. Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008]
(f) Railroad means all forms of non-
highway ground transportation that § 215.9 Movement of defective cars for
repair.
run on rails or electromagnetic guide-
ways, including (1) commuter or other (a) A railroad freight car which has
short-haul rail passenger service in a any component described as defective
metropolitan or suburban area, and (2) in this part may be moved to another
high speed ground transportation sys- location for repair only after the rail-
tems that connect metropolitan areas, road has complied with the following:
without regard to whether they use (1) A person designated under § 215.11
new technologies not associated with shall determine:
185
§ 215.11 49 CFR Ch. II (10–1–11 Edition)
(i) That it is safe to move the car; be placed for loading. If the car is load-
and ed, it may not be placed for unloading
(ii) The maximum speed and other re- unless unloading is consistent with de-
strictions necessary for safely con- terminations made and restrictions im-
ducting the movement; posed under paragraph (a)(1) of this
(2)(i) The person in charge of the section and—
train in which the car is to be moved (1) The car is consigned for a destina-
shall be notified in writing and inform tion on the line of haul between the
all other crew members of the presence point where the car was found defective
of the defective car and the maximum and the point where repairs are made;
speed and other restrictions deter- or
mined under paragraph (a)(1)(ii) of this (2) Unloading is necessary for the
section. safe repair of the car.
(ii) A copy of the tag or card de- (d) Nothing in this section authorizes
scribed in paragraph (a)(3) of this sec- the movement of a freight car subject
tion may be used to provide the notifi- to a Special Notice for Repairs unless
cation required by paragraph (a)(2)(i) of the movement is made in accordance
this section. with the restrictions contained in the
(3) A tag or card bearing the words Special Notice.
‘‘bad order’’ or ‘‘home shop for repairs’’ [44 FR 77340, Dec. 31, 1979; 45 FR 26710, Apr.
and containing the following informa- 21, 1980]
tion, shall be securely attached to each
side of the car— § 215.11 Designated inspectors.
(i) The reporting mark and car num- (a) Each railroad that operates rail-
ber; road freight cars to which this part ap-
(ii) The name of the inspecting rail- plies shall designate persons qualified
road; to inspect railroad freight cars for
(iii) The inspection location and compliance with this part and to make
date; the determinations required by § 215.9
(iv) The nature of each defect; of this part.
(v) Movement restrictions; (b) Each person designated under this
(vi) The destination for shopping or section shall have demonstrated to the
repair; and railroad a knowledge and ability to in-
(vii) The signature of a person des- spect railroad freight cars for compli-
ignated under § 215.11. ance with the requirements of this part
(b)(1) The tag or card required by and to make the determinations re-
paragraph (a)(3) of this section may quired by § 215.9 of this part.
only be removed from the car by a per- (c) With respect to designations
son designated under § 215.11 of this under this section, each railroad shall
part. maintain written records of:
(2) A record or copy of each tag or (1) Each designation in effect; and
card attached to or removed from a car (2) The basis for each designation.
shall be retained for 90 days and, upon
request, shall be made available within [45 FR 26710, Apr. 21, 1980]
15 calendar days for inspection by FRA
or State inspectors. § 215.13 Pre-departure inspection.
(3) Each tag or card removed from a (a) At each location where a freight
car shall contain a notification stating car is placed in a train, the freight car
the date, location, reason for its re- shall be inspected before the train de-
moval, and the signature of the person parts. This inspection may be made be-
who removed it from the car. These fore or after the car is placed in the
recordkeeping requirements have been train.
approved by the Office of Management (b) At a location where an inspector
and Budget in accordance with the designated under § 215.11 is on duty for
Federal Reports Act of 1942. the purpose of inspecting freight cars,
(c) Movement of a freight car under the inspection required by paragraph
paragraph (a) of this section may be (a) of this section shall be made by
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.
186
(c) At a location where a person des- SUSPENSION SYSTEM

ignated under § 215.11 is not on duty for
the purpose of inspecting freight cars, § 215.103 Defective wheel.
the inspection required by paragraph A railroad may not place or continue
(a) shall, as a minimum, be made for in service a car, if—
those conditions set forth in appendix (a) A wheel flange on the car is worn
D to this part. to a thickness of 7⁄8 of an inch, or less,
(d) Performance of the inspection at a point 3⁄8 of an inch above the tread
prescribed by this section does not re- of the wheel;
(b) The height of a wheel flange on
lieve a railroad of its liability under
the car, from the tread to the top of
§ 215.7 for failure to comply with any
the flange, is 11⁄2 inches, or more;
other provision of this part. (c) The thickness of a rim of a wheel
[45 FR 26710, Apr. 21, 1980] on the car is 11⁄16 of an inch, or less;
(d) A wheel rim, flange, plate, or hub
§ 215.15 Periodic inspection. area on the car has a crack or break;
(e) A wheel on the car has a chip or
(a) After June 30, 1980, a railroad may
gouge in the flange that is 11⁄2 inches in
not place or continue in service a
length and 1⁄2 inch in width, or more;
freight car that has not received an ini- (f) A wheel on the car has—
tial periodic inspection in accordance (1) A slid flat or shelled spot that is
with 49 CFR 215.25, as in effect on Octo- more than 21⁄2 inches in length; or
ber 6, 1976 (41 FR 44044), unless— (2) Two adjoining flat or shelled spots
(1) The car is a high utilization car each of which is more than two inches
built or reconditioned after December in length;
31, 1977; or (g) A wheel on the car shows evidence
(2) The car is a non-high utilization of being loose such as oil seepage on
car built or reconditioned after Decem- the back hub or back plate;
ber 31, 1971. (h) A wheel on the car shows signs of
(b) A freight car that has received an having been overheated as evidenced
initial periodic inspection under para- by a reddish brown discoloration, to a
graph (a) of this section shall be sten- substantially equal extent on both the
ciled to so indicate in accordance with front and the back face of the rim, that
49 CFR 215.11 and appendix C of this extends on either face more than four
inches into the plate area measured
part, as in effect on October 6, 1976 (41
from the inner edge of the front or
FR 44044). This stenciling need not be
back face of the rim; or,
retained on the car after June 30, 1981. (i) A wheel on the car has been weld-
(c) As used in this section, ‘‘high uti- ed unless the car is being moved for re-
lization car’’ means a car— pair in accordance with § 215.9 of this
(1) Specifically equipped to carry part.
trucks, automobiles, containers, trail-
ers, or removable trailer bodies for the FR 13382, Apr. 4, 1985]
transportation of freight; or
(2) Assigned to a train that operates § 215.105 Defective axle.
in a continuous round trip cycle be- A railroad may not place or continue
tween the same two points. in service a car, if—
(a) An axle on the car has a crack or
Subpart B—Freight Car is broken;
Components (b) An axle on the car has a gouge in
the surface that is—
§ 215.101 Scope. (1) Between the wheel seats; and
(2) More than one-eighth inch in
This subpart contains safety require- depth;
ments prohibiting a railroad from plac- (c) An axle on the car, used in con-
ing or continuing in service a freight junction with a plain bearing, has an
car that has certain defective compo- end collar that is broken or cracked;
nents. (d) A journal on the car shows evi-
dence of overheating, as evidenced by a
187
§ 215.107 49 CFR Ch. II (10–1–11 Edition)
pronounced blue black discoloration; (a) That is missing, cracked, or bro-

or ken;
(e) The surface of the plain bearing (b) On which the bearing liner—
journal on the axle, or the fillet on the (1) Is loose; or
axle, has— (2) Has a broken out piece; or
(1) A ridge; (c) That shows signs of having been
(2) A depression; overheated, as evidenced by—
(3) A circumferential score; (1) Melted babbitt;
(4) Corrugation; (2) Smoke from hot oil; or
(5) A scratch; (3) Journal surface damage.
(6) A continuous streak;
(7) Pitting; § 215.113 Defective plain bearing
(8) Rust; or wedge.
(9) Etching. A railroad may not place or continue
§ 215.107 Defective plain bearing box: in service a car, if a plain bearing
General. wedge on that car is—
(a) Missing;
A railroad may not place or continue
(b) Cracked;
in service a car, if the car has—
(c) Broken; or
(a) A plain bearing box that does not
(d) Not located in its design position.
contain visible free oil;
(b) A plain bearing box lid that is § 215.115 Defective roller bearing.
missing, broken, or open except to re-
ceive servicing; or (a) A railroad may not place or con-
(c) A plain bearing box containing tinue in service a car, if the car has—
foreign matter, such as dirt, sand, or (1) A roller bearing that shows signs
coal dust, that can reasonably be ex- of having been overheated as evidenced
pected to— by—
(1) Damage the bearing; or (i) Discoloration; or
(2) Have a detrimental effect on the (ii) Other telltale signs of over-
lubrication of the journal and the bear- heating such as damage to the seal or
ings. distortion of any bearing component;
(2) A roller bearing with a—
§ 215.109 Defective plain bearing box: (i) Loose or missing cap screw; or
Journal lubrication system. (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 a plain (3) A roller bearing with a seal that is
bearing box with a lubricating pad loose or damaged, or permits leakage
that— of lubricant in clearly formed droplets.
(a) Has a tear extending half the (b)(1) A railroad may not continue in
length or width of the pad, or more; service a car that has a roller bearing
(b) Shows evidence of having been whose truck was involved in a derail-
scorched, burned, or glazed; ment unless the bearing has been in-
(c) Contains decaying or deteriorated spected and tested by:
fabric that impairs proper lubrication (i) Visual examination to determine
of the pad; whether it shows any sign of damage;
(d) Has— and
(1) An exposed center core (except by (ii) Spinning freely its wheel set or
design); or manually rotating the bearing to de-
(2) Metal parts contacting the jour- termine whether the bearing makes
nal; or any unusual noise.
(e) Is— (2) The roller bearing shall be dis-
(1) Missing; or assembled from the axle and inspected
(2) Not in contact with the journal. internally if—
(i) It shows any external sign of dam-
§ 215.111 Defective plain bearing. age;
A railroad may not place or continue (ii) It makes any unusual noise when
in service a car, if the car has a plain its wheel set is spun freely or the bear-
bearing— ing is manually rotated;
188
(iii) Its truck was involved in a de- the relief portion of the adapter, as
railment at a speed of more than 10 shown in the figure below (see figure 1).
miles per hour; or
(iv) Its truck was dragged on the § 215.119 Defective freight car truck.
ground for more than 200 feet. A railroad may not place or continue
(3) Each defective roller bearing shall in service a car, if the car has—
be repaired or replaced before the car is (a) A side frame or bolster that—
placed back in service. (1) Is broken; or
(2) Has a crack of 1⁄4 of an inch or
[44 FR 77340, Dec. 31, 1979, as amended at 45 more in the transverse direction on a
FR 26711, Apr. 21, 1980]
tension member;
§ 215.117 Defective roller bearing (b) A truck equipped with a snubbing
adapter. device that is ineffective, as evidenced
by—
A railroad may not place or continue (1) A snubbing friction element that
in service a car, if the car has a roller is worn beyond a wear indicator;
bearing adapter that is— (2) A snubber wear plate that is loose,
(a) Cracked or broken; missing (except by design), or worn
(b) Not in its design position; or through;
(c) Worn on the crown of the adapter (3) A broken or missing snubber acti-
to the extent that the frame bears on vating spring; or
(4) Snubber unit that is broken, or in (c) A side bearing in any of the fol-
the case of hydraulic units, is broken lowing conditions:
or leaking clearly formed droplets of (1) Part of the side bearing assembly
oil or other fluid. is missing or broken;
189
EC01AP91.002</GPH>
§ 215.121 49 CFR Ch. II (10–1–11 Edition)
(2) The bearings at one end of the car, (d) After December 1, 1983, the car is
on both sides, are in contact with the a box car and its side doors are not
body bolster (except by design); equipped with operative hangers, or the
(3) The bearings at one end of the car equivalent, to prevent the doors from
have a total clearance from the body becoming disengaged.
bolster of more than 3⁄4 of an inch; or (e) The car has a center plate:
(4) At diagonally opposite sides of the (1) That is not properly secured;
car, the bearings have a total clearance (2) Any portion of which is missing;
from the body bolsters of more than 3⁄4 or
of an inch; (3) That is broken; or
(d) Truck springs— (4) That has two or more cracks
(1) That do not maintain travel or through its cross section (thickness) at
load; the edge of the plate that extend to the
(2) That are compressed solid; or portion of the plate that is obstructed
(3) More than one outer spring of from view while the truck is in place;
which is broken, or missing, in any or
spring cluster; (f) The car has a broken sidesill,
(e) Interference between the truck crossbearer, or body bolster.
bolster and the center plate that pre-
vents proper truck rotations; or [44 FR 77340, Dec. 31, 1979, as amended at 47
(f) Brake beam shelf support worn so FR 53737, Dec. 29, 1982]
excessively that it does not support the
DRAFT SYSTEM
brake beam.
§ 215.123 Defective couplers.
CAR BODIES
A railroad may not place or continue
§ 215.121 Defective car body. in service a car, if—
A railroad may not place or continue (a) The car is equipped with a coupler
in service a car, if: shank that is bent out of alignment to
(a) Any portion of the car body, the extent that the coupler will not
truck, or their appurtenances (except couple automatically with the adjacent
wheels) has less than a 21⁄2 inch clear- car;
ance from the top of rail; (b) The car has a coupler that has a
(b) The car center sill is: crack in the highly stressed junction
(1) Broken; area of the shank and head as shown in
(2) Cracked more than 6 inches; or the figure below (see figure 2).
(3) Permanently bent or buckled (c) The car has a coupler knuckle
more than 21⁄2 inches in any six foot that is broken or cracked on the inside
length; pulling face of the knuckle.
(c) The car has a coupler carrier that (d) The car has a knuckle pin or
is: knuckle thrower that is:
(1) Broken; (1) Missing; or
(2) Missing; (2) Inoperative; or
(3) Non-resilient and the coupler has (e) The car has a coupler retainer pin
a type F head. lock that is—
190
(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—
191
EC01AP91.003</GPH>
§ 215.129 49 CFR Ch. II (10–1–11 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 FR 25172, May 27, 2009]
§ 215.201 Scope.
This subpart contains requirements
Subpart D—Stenciling
restricting the use of certain railroad § 215.301 General.
freight cars.
The railroad or private car owner re-
§ 215.203 Restricted cars. porting mark, the car number, and
built date shall be stenciled, or other-
(a) This section restricts the oper- wise displayed, in clearly legible let-
ation of any railroad freight car that ters and numbers not less than seven
is— inches high, except those of the built
(1) More than 50 years old, measured date which shall not be less than one
from the date of original construction; inch high:
(2) Equipped with any design or type (a) On each side of each railroad
component listed in appendix A to this freight car body; and
part; or (b) In the case of a tank car, in any
(3) Equipped with a Duryea location that is visible to a person
underframe constructed before April 1, walking at track level beside the car.
1950, except for a caboose which is oper-
ated as the last car in a train. § 215.303 Stenciling of restricted cars.
(b) A railroad may not place or con- (a) Each restricted railroad freight
tinue in service a railroad freight car car that is described in § 215.205(a) of
described in paragraph (a) of this sec- this part shall be stenciled, or
tion, except under conditions approved marked—
by the Federal Railroad Administrator. (1) In clearly legible letters; and
(c) A railroad may petition the Ad- (2) In accordance with paragraphs (b)
ministrator to continue in service a car and (c) of this section.
described in paragraph (a) of this sec- (b) The letter ‘‘R’’ shall be—
tion. Each petition shall be (1) Placed immediately below or to
(1) Be submitted not less than 90 days the right of the car number;
before the car is to be operated; (2) The same color as the reporting
(2) Be submitted; and mark; and
(3) State or describe the following: (3) The same size as the reporting
(i) The name and principal business mark.
address of the petitioning railroad. (c) The following terms, to the extent
(ii) The name and address of the enti- needed to completely indicate the basis
ty that controls the operation and for the restricted operation of the car,
maintenance of the car involved. shall be placed on the car following the
(iii) The number, type, capacity, re- symbol ‘‘R’’ in letters not less than one
porting marks, and car numbers of the inch high:
cars, their condition, status, and age (1) Age.
measured from the date of original (2) Coupler.
construction. (3) Draft.
192
(4) Bearings. Dresser Lenoir car

(5) Truck. A.S.F. (Syming- Birdsboro works
ton)
(6) Underframe.
(7) Wheels. 1468
21183–N .................. BO 5263 1471 CS–611.
(8) Yoke. BO 7076
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. Buckeye Dominion
castings
(1) At least 2 inches high; and
7273 ......................... 33793–1B 3–1776 TF–5100
(2) Placed on each side of the car. 7323 ......................... .................. F–420
[44 FR 77340, Dec. 31, 1979, as amended at 45 21362 (cast prior to
June 1941).
FR 26711, Apr. 21, 1980]
APPENDIX A TO PART 215—RAILROAD Canadian

Pittsburgh steel Scullin Bettendorf steel
FREIGHT CAR COMPONENTS foundry steel foundry
List of components whose use is restricted 31673 ....................... 42–CS– UT 456 26565
by § 215.203 of this part. 180
4–1862.
A. Air brakes:
3–1674 ..................... 4665
The ‘‘K’’ type. 4–2045 ..................... 4770
B. Axles: 12897 ....................... 4942
1. Former AAR alternate standard tubular 12921 ....................... 5220
type. 21263 ....................... 5364
5364–C
2. Axle with letters ‘‘RJ’’ stamped on the
5364–E
end of the journal. 5811–A
C. Couplers: 5869–B
1. AAR type ‘‘D’’, top or bottom operated. 6577–A
2. AAR type ‘‘E’’ with 5″ by 7″ shank.
D. Draft arrangement: 2. Side frame cast before 1927.
1. Miner FR–16 and FR–19–F draft gears. 3. Side frame without an identification
2. Farlow draft attachment. mark or pattern number.
4. Side frame with an ‘‘I’’, ‘‘T’’, or ‘‘L’’ sec-
E. Plain journal bearings:
tion compression or tension member.
Cartridge type.
J. Wheels:
F. Roller bearings: 1. Cast iron wheel.
1. Nippon Sieko Kabushiki Kaish (NSK) 2. Cast steel wheel marked ‘‘AAR X–2.’’
size 61⁄2″ by 12″ (marked ‘‘AAR 11’’). 3. Southern cast steel wheel manufactured
2. Hyatt cylindrical bearing, all sizes before May 7, 1958.
(marked ‘‘AAR 2’’). 4. Griffin, three-riser cast steel wheel, ball
3. SKF ‘‘Piggybacker’’ spherical roller, size rim design, 70-ton capacity.
6″ by 11″ (marked ‘‘AAR 7’’). 5. Griffin, three-riser cast steel wheel, two-
G. Trucks: wear, 70- and 50-ton capacity, 33 inch,
1. Arch bar type. (marked X–5 or CS–2).
2. Truck with cast steel pedestal side 6. Wrought steel wheel manufactured be-
frame, short wheel base, and no bolster. fore 1927, as indicated by marking on wheel.
H. Truck bolsters: 7. Cast steel wheel marked AAR X–4.
1. A bolster with one of the following pat- 8. Davis cast steel wheel.
tern numbers listed according to manufac- 9. One-wear, 70-ton Southern (ABEX) U1
turer: cast steel wheels dated May 7, 1958 through
December 31, 1969.
Dresser A. Wheels dated May 7, 1958, to January 1,
Lenoir car
A.S.F. (Syming- Birdsboro 1964, are marked with the symbol ‘‘70T’’ cast
works
ton)
on the back of the wheel plate; they are not
21183–B .................. BO 5234 1458 CS–184. marked ‘‘U–1.’’
193
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
194
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
195
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 $16,000 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 $100,000 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;
72 FR 51196, Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008]
APPENDIX C TO PART 215—FRA FREIGHT 215.129 Defective Cushioning Device.

CAR STANDARDS DEFECT CODE
Restricted Equipment
The following defect code has been estab- 215.203 Restricted Cars.
lished for use by FRA and State inspectors
to report defects observed during inspection Stenciling
of freight cars. The purpose of the code is to
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-
ment of defective cars for repairs.
INDEX
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.
215.015 Failure to Complete Initial Periodic (B) Railroad fails to maintain written
Inspection as Required. record of:
(1) Each designation in effect;
FREIGHT CAR COMPONENTS (2) The basis for this designation.
215.013 Failure to perform pre-departure in-
Suspension System spection.
215.103 Defective Wheel. 215.015 Periodic Inspection.
215.105 Defective Axle. (A) Railroad fails to perform the periodic
215.107 Defective Plain Bearing Box: Gen- inspection as required by June 30, 1980
eral. on:
215.109 Defective Plain Bearing Box: Jour- (1) High utilization car built prior to De-
nal Lubrication System. cember 31, 1977;
215.111 Defective Plain Bearing. (2) Non-high utilization car built prior to
215.113 Defective Plain Bearing Wedge. December 31, 1971;
215.115 Defective Roller Bearing. (B) A freight car improperly stenciled for
215.117 Defective Roller Bearing Adapter. periodic inspection.
215.119 Defective Freight Car Truck. 215.103 Defective Wheel.
(A)(1) Flanges 7⁄8″ or less at 3⁄8″ above the
Car Bodies
tread;
215.121 Defective Car Body. (2) Flanges 13⁄16″ or less at 3⁄8″ above the
tread;
Draft System (3) Flanges 3⁄4″ or less at 3⁄8″ above the
215.123 Defective Couplers. tread;
215.125 Defective Uncoupling Device. (B)(1) Flange is 11⁄2″ or more from the tread
215.127 Defective Draft Arrangement. to top of flange;
196
(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:
(2) Broken out piece. (1) Any portion missing;
(C) Overheated as evidenced by: (2) Broken or cracked as defined in this
(1) Melted babbit; part.
(2) Smoke from hot oil; (F) Broken side sills, crossbars or body bol-
(3) Journal surface damaged. ster.
215.113 Defective plain bearing wedge. 215.123 Defective couplers.
197
Pt. 215, App. D 49 CFR Ch. II (10–1–11 Edition)
(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;
(3) Coupler lock is (i) missing, (ii) inoper- [45 FR 26711, Apr. 21, 1980, as amended at 73
ative, (iii) bent, (iv) cracked or (v) bro- FR 79701, Dec. 30, 2008]
ken.
215.125 Defective uncoupling device. PART 216—SPECIAL NOTICE AND
(A) Fouling on curve. EMERGENCY ORDER PROCE-
(B) Unintentional uncoupling.
215.127 Defective draft arrangement. DURES: RAILROAD TRACK, LO-
(A) Draft gear inoperative. COMOTIVE AND EQUIPMENT
(B) Broken yoke.
(C) End of car cushioning unit: Subpart A—General
(1) Leaking;
(2) Inoperative. Sec.
(D) Vertical coupler pin retainer plate: 216.1 Application.
(1) Missing; 216.3 Definitions.
(2) Has missing fastener. 216.5 Delegation and general provisions.
(E) Draft key or key retainer: 216.7 Penalties.
(1) Inoperative;
(2) Missing. Subpart B—Special Notice for Repairs
(F) Follower plate missing or broken.
215.129 Defective cushioning device unless 216.11 Special notice for repairs—railroad
effectively immobilized. freight car.
(A) Broken. 216.13 Special notice for repairs—loco-
(B) Inoperative. motive.
(C) Missing parts. 216.14 Special notice for repairs—passenger
215.203 Operating a restricted car, except equipment.
under conditions approved by FRA. 216.15 Special notice for repairs—track
class.
Stenciling 216.17 Appeals.
215.301 Failure to stencil car number and Subpart C—Emergency Order—Track
built date on freight car as required.
215.303 Failure to stencil restricted car as 216.21 Notice of track conditions.
required. 216.23 Consideration of recommendation.
215.305 Failure to stencil maintenance-of- 216.25 Issuance and review of emergency
way equipment as required. order.
216.27 Reservation of authority and discre-
APPENDIX D TO PART 215—PRE- tion.
DEPARTURE INSPECTION PROCEDURE AUTHORITY: 49 U.S.C. 20102–20104, 20107,
At each location where a freight car is 20111, 20133, 20701–20702, 21301–21302, 21304; 28
placed in a train and a person designated U.S.C. 2461, note; and 49 CFR 1.49.
under § 215.11 is not on duty for the purpose SOURCE: 41 FR 18657, May 6, 1976, unless
of inspecting freight cars, the freight car otherwise noted.
shall, as a minimum, be inspected for the im-
minently hazardous conditions listed below
that are likely to cause an accident or cas- Subpart A—General
ualty before the train arrives at its destina-
tion. These conditions are readily discover- § 216.1 Application.
able by a train crew member in the course of (a) This part applies, according to its
a customary inspection. terms, to each railroad that uses or op-
1. Car body:
erates—
(a) Leaning or listing to side.
(b) Sagging downward. (1) A railroad freight car subject to
(c) Positioned improperly on truck. part 215 of this chapter;
(d) Object dragging below. (2) A locomotive subject to 49 U.S.C.
(e) Object extending from side. chapter 207 (49 U.S.C. 20701–03); or
198
(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 $650 and not more than $25,000 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
[41 FR 18657, May 6, 1976, as amended at 64
willful violations, and, where a grossly
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-
As used in this part— sons, or has caused death or injury, a
(a) FRA means the Federal Railroad penalty not to exceed $100,000 per viola-
Administration. tion may be assessed. Each day a viola-
(b) State means a State participating tion continues shall constitute a sepa-
in investigative and surveillance ac- rate offense. See 49 CFR part 209, ap-
tivities under 49 U.S.C. 20105. pendix A.
(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; 72 FR 51196, Sept. 6, 2007; 73 FR 79701,
Dec. 30, 2008]
FR 25659, May 12, 1999]
§ 216.5 Delegation and general provi- Subpart B—Special Notice for

sions. Repairs
(a) The Administrator has delegated
to the appropriate FRA and State per- EDITORIAL NOTE: Nomenclature changes to
sonnel the authority to implement this subpart B of part 216 appear at 64 FR 25659,
part. May 12, 1999.
(b) Communications to the Adminis-
trator relating to the operation of this § 216.11 Special notice for repairs—
part should be submitted to the Docket railroad freight car.
Clerk, Office of Chief Counsel, Federal (a) When an FRA Motive Power and
Railroad Administration, Washington, Equipment Inspector or a State Equip-
DC 20590. ment Inspector determines that a rail-
(c) The notices prescribed in §§ 216.11, road freight car is not in conformity
216.13, 216.14, 216.15, and 216.21 of this with the requirements of the FRA
part are issued on standard FRA forms Freight Car Safety Standards set forth
indicating the particular subject mat- in part 215 of this chapter and that it is
ter. An inspector issues a notice by de- unsafe for further service, he notifies
livering it to an appropriate officer or the railroad in writing that the car is
agent immediately responsible for the not in serviceable condition. The Spe-
affected locomotive, car, or track. cial Notice sets out and describes the
[41 FR 18657, May 6, 1976, as amended at 41 defects that cause the car to be in un-
FR 43153, Sept. 30, 1976; 64 FR 25659, May 12, serviceable condition. After receipt of
1999; 74 FR 25172, May 27, 2009] the Special Notice, the railroad shall
remove the car from service until it is
§ 216.7 Penalties. restored to serviceable condition. The
Any person (an entity of any type car may not be deemed to be in service-
covered under 1 U.S.C. 1, including but able condition until it complies with
not limited to the following: a railroad; all applicable requirements of part 215
a manager, supervisor, official, or of this chapter.
other employee or agent of a railroad; (b) The railroad shall notify the FRA
any owner, manufacturer, lessor, or Regional Administrator in writing
lessee of railroad equipment, track, or when the equipment is returned to
facilities; any independent contractor service, specifying the repairs com-
providing goods or services to a rail- pleted.
road; and any employee of such owner, (c) A railroad freight car subject to
manufacturer, lessor, lessee, or inde- the notice prescribed in paragraph (a)
pendent contractor) who violates any of this section may be moved from the
requirement of this part or causes the place where it was found to be unsafe
199
§ 216.13 49 CFR Ch. II (10–1–11 Edition)
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
conformity with one or more of the re- maximum permissible speeds, until
quirements of the FRA Passenger such time as the track conforms to ap-
Equipment Safety Standards set forth plicable standards for a higher class.
in part 238 of this chapter and that it is (b) The railroad shall notify the FRA
unsafe for further service, he or she Regional Administrator in writing
will issue a written Special Notice to when the track is restored to a condi-
the railroad that the equipment is not tion permitting operations at speeds
200
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-
gional Administrator for the region in The Inspector provides a copy to the
which the notice was given. The appeal FRA Regional Track Engineer and the
shall be made by letter or telegram. FRA Regional Administrator.
The FRA Regional Administrator as- (b) In the event the railroad imme-
signs an inspector, other than the in- diately commences repairs on the af-
spector from whose decision the appeal fected track and so advises the FRA
is being taken, to reinspect the rail- Regional Track Engineer, the Regional
road freight car, locomotive, railroad Track Engineer assigns an Inspector to
passenger equipment, or track. The re- reinspect the track immediately on the
inspection will be made immediately. completion of repairs. If upon reinspec-
If upon reinspection, the railroad tion the Inspector determines that nec-
freight car, locomotive, or passenger essary repairs have been completed, he
equipment is found to be in serviceable withdraws the Notice of Track Condi-
condition, or the track is found to com- tions.
ply with the requirements for the class
at which it was previously operated by § 216.23 Consideration of recommenda-
the railroad, the FRA Regional Admin- tion.
istrator or his or her agent will imme- Upon receipt of a Notice of Track
diately notify the railroad, whereupon Conditions issued under § 216.21, the
the restrictions of the Special Notice FRA Regional Administrator prepares
cease to be effective. If on reinspection a recommendation to the Adminis-
the decision of the original inspector is trator concerning the issuance of an
sustained, the FRA Regional Adminis- Emergency order removing the affected
trator notifies the railroad that the ap- track from service. In preparing this
peal has been denied. recommendation, the FRA Regional
(b) A railroad whose appeal to the Administrator considers all written or
FRA Regional Administrator has been other material bearing on the condi-
denied may, within thirty (30) days tion of the track received from the
from the denial, appeal to the Adminis- railroad within three (3) calendar days
trator. After affording an opportunity of the issuance of the Notice of Track
for informal oral hearing, the Adminis- Conditions and also considers the re-
trator may affirm, set aside, or modify, port of the FRA Regional Track Engi-
in whole or in part, the action of the neer.
FRA Regional Administrator.
[67 FR 19989, Apr. 23, 2002]
(c) The requirements of a Special No-
tice issued under this subpart shall re- § 216.25 Issuance and review of emer-
main in effect and be observed by a gency order.
railroad pending appeal to the FRA Re-
gional Administrator or to the Admin- (a) Upon recommendation of the FRA
istrator. Regional Administrator, the Adminis-
trator may issue an Emergency order
[67 FR 19989, Apr. 23, 2002] removing from service track identified
in the notice issued under § 216.21.
Subpart C—Emergency Order— (b) As specified in section 203, Public
Track Law No. 91–458, 84 Stat. 972 (45 U.S.C.
432), opportunity for review of the
§ 216.21 Notice of track conditions. Emergency order is provided in accord-
(a) When an FRA Track Inspector or ance with section 554 of title 5 of the
State Track Inspector finds track con- U.S.C. Petitions for such review must
ditions which may require the issuance be submitted in writing to the Office of
201
§ 216.27 49 CFR Ch. II (10–1–11 Edition)
Chief Counsel, Federal Railroad Ad- SOURCE: 39 FR 41176, Nov. 25, 1974, unless
ministration, Washington, DC 20590. otherwise noted.
Upon receipt of a petition, FRA will
immediately contact the petitioner Subpart A—General
and make the necessary arrangements
for a conference to be held at the ear- § 217.1 Purpose.
liest date acceptable to the petitioner. Through the requirements of this
At this conference, the petitioner will part, the Federal Railroad Administra-
be afforded an opportunity to submit tion learns the condition of operating
facts, arguments and proposals for rules and practices with respect to
modification or withdrawal of the trains and other rolling equipment in
Emergency order. If the controversy is the railroad industry, and each rail-
not resolved at this conference and a road is required to instruct its employ-
hearing is desired, the petitioner must ees in operating practices.
submit a written request for a hearing
within fifteen (15) days after the con- § 217.2 Preemptive effect.
ference. The hearing will commence Normal State negligence standards
within fourteen (14) calendar days of apply where there is no Federal action
receipt of the request and will be con- covering the subject matter. Under 49
ducted in accordance with sections 556 U.S.C. 20106 (section 20106), issuance of
and 575, title 5, U.S.C. the regulations in this part preempts
(c) Unless stayed or modified by the any State law, regulation, or order cov-
Administrator, the requirements of ering the same subject matter, except
each Emergency order issued under an additional or more stringent law,
this subpart shall remain in effect and regulation, or order that is necessary
be observed pending decision on a peti- to eliminate or reduce an essentially
tion for review. local railroad safety or railroad secu-
rity hazard; that is not incompatible
§ 216.27 Reservation of authority and with a law, regulation, or order of the
discretion. United States Government; and that
The FRA may issue Emergency or- does not unreasonably burden inter-
ders concerning track without regard state commerce. Section 20106 permits
to the procedures prescribed in this State tort actions arising from events
subpart whenever the Administrator or activities occurring on or after Jan-
determines that immediate action is uary 18, 2002, for the following: viola-
required to assure the public safety. tion of the Federal standard of care es-
tablished by regulation or order issued
by the Secretary of Transportation
PART 217—RAILROAD OPERATING (with respect to railroad safety, such
RULES as these regulations) or the Secretary
of Homeland Security (with respect to
Subpart A—General railroad security); a party’s violation
Sec. of, or failure to comply with, its own
217.1 Purpose. plan, rule, or standard that it created
217.2 Preemptive effect. pursuant to a regulation or order
217.3 Application. issued by either of the two Secretaries;
217.4 Definitions. and a party’s violation of a State
217.5 Penalty. standard that is necessary to eliminate
217.7 Operating rules; filing and record- or reduce an essentially local safety or
keeping. security hazard, is not incompatible
217.9 Program of operational tests and in- with a law, regulation, or order of the
spections; recordkeeping.
217.11 Program of instruction on operating
United States Government, and does
rules; recordkeeping; electronic record- not unreasonably burden interstate
keeping. commerce. Nothing in section 20106
217.13 Information collection. creates a Federal cause of action on be-
APPENDIX A TO PART 217—SCHEDULE OF CIVIL half of an injured party or confers Fed-
PENALTIES eral question jurisdiction for such
State law causes of action.
AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C.
2461, note; and 49 CFR 1.49. [73 FR 8495, Feb. 13, 2008]
202
§ 217.3 Application. § 217.5 Penalty.

(a) Except as provided in paragraph Any person (an entity of any type
(b) of this section, this part applies to covered under 1 U.S.C. 1, including but
railroads that operate trains or other not limited to the following: a railroad;
rolling equipment on standard gage a manager, supervisor, official, or
track which is part of the general rail- other employee or agent of a railroad;
road system of transportation. any owner, manufacturer, lessor, or
(b) This part does not apply to— lessee of railroad equipment, track, or
(1) A railroad that operates only on facilities; any independent contractor
track inside an installation which is providing goods or services to a rail-
not part of the general railroad system road; and any employee of such owner,
of transportation; or manufacturer, lessor, lessee, or inde-
(2) Rapid transit operations in an pendent contractor) who violates any
urban area that are not connected with requirement of this part or causes the
the general railroad system of trans- violation of any such requirement is
portation. subject to a civil penalty of at least
$650 and not more than $25,000 per vio-
FR 33229, Aug. 14, 1989]
lation, except that: Penalties may be
assessed against individuals only for
§ 217.4 Definitions. willful violations, and, where a grossly
negligent violation or a pattern of re-
As used in this part— peated violations has created an immi-
Associate Administrator for Safety nent hazard of death or injury to per-
means the Associate Administrator for sons, or has caused death or injury, a
Safety of the Federal Railroad Admin- penalty not to exceed $100,000 per viola-
istration or that person’s delegate as tion may be assessed. Each day a viola-
designated in writing. tion continues shall constitute a sepa-
Class I, Class II, and Class III have the rate offense. See appendix A to this
meaning assigned by regulations of the part for a statement of agency civil
Interstate Commerce Commission (49 penalty policy.
CFR part 1201; General Instructions 1–
1), as those regulations may be revised [53 FR 28599, July 28, 1988, as amended at 53
and applied by order of the Commission FR 52927, Dec. 29, 1988; 63 FR 11620, Mar. 10,
1998; 69 FR 30593, May 28, 2004; 72 FR 51196,
(including modifications in class Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008]
thresholds based revenue deflator ad-
justments). § 217.7 Operating rules; filing and rec-
Division headquarters means the loca- ordkeeping.
tion designated by the railroad where a
(a) On or before December 21, 1994,
high-level operating manager (e.g., a
each Class I railroad, Class II railroad,
superintendent, division manager, or
the National Railroad Passenger Cor-
equivalent), who has jurisdiction over a
poration, and each railroad providing
portion of the railroad, has an office.
commuter service in a metropolitan or
FRA means the Federal Railroad Ad-
suburban area that is in operation on
ministration.
November 21, 1994, shall file with the
Qualified means that a person has Federal Railroad Administrator, Wash-
successfully completed all instruction, ington, DC 20590, one copy of its code of
training, and examination programs re- operating rules, timetables, and time-
quired by the railroad and this part table special instructions which were
and that the person, therefore, has ac- in effect on November 21, 1994. Each
tual knowledge or may reasonably be Class I railroad, each Class II railroad,
expected to have knowledge of the sub- and each railroad providing commuter
ject on which the person is expected to service in a metropolitan or suburban
be competent. area that commences operations after
System headquarters means the loca- November 21, 1994, shall file with the
tion designated by the railroad as the Administrator one copy of its code of
general office for the railroad system. operating rules, timetables, and time-
[59 FR 43070, Aug. 22, 1994, as amended at 73 table special instructions before it
FR 8496, Feb. 13, 2008] commences operations.
203
§ 217.9 49 CFR Ch. II (10–1–11 Edition)
(b) After November 21, 1994, each the testing and inspections the officer
Class I railroad, each Class II railroad, will conduct;
the National Railroad Passenger Cor- (iii) Receive appropriate field train-
poration, and each railroad providing ing, as necessary to achieve pro-
commuter service in a metropolitan or ficiency, on each operational test or in-
suburban area shall file each new spection that the officer is authorized
amendment to its code of operating to conduct; and
rules, each new timetable, and each (iv) Conduct operational tests and in-
new timetable special instruction with spections in accordance with the rail-
the Federal Railroad Administrator road’s program of operational tests and
within 30 days after it is issued. inspections.
(c) On or after November 21, 1994, (2) Written records documenting
each Class III railroad and any other qualification of each railroad testing
railroad subject to this part but not officer shall be retained at the rail-
subject to paragraphs (a) and (b) of this road’s system headquarters and at the
section shall keep one copy of its cur- division headquarters for each division
rent code of operating rules, time- where the officer is assigned and shall
tables, and timetable special instruc- be made available to representatives of
tions and one copy of each subsequent the FRA for inspection and copying
amendment to its code of operating during normal business hours.
rules, each new timetable, and each (c) Written program of operational tests
new timetable special instruction, at and inspections. Every railroad shall
its system headquarters, and shall have a written program of operational
make such records available to rep- tests and inspections in effect. New
resentatives of the Federal Railroad railroads shall have such a program
Administration for inspection and within 30 days of commencing rail op-
copying during normal business hours. erations. The program shall—
(1) Provide for operational testing
[59 FR 43070, Aug. 22, 1994]
and inspection under the various oper-
ating conditions on the railroad. As of
§ 217.9 Program of operational tests
and inspections; recordkeeping. January 1, 2009, the program shall ad-
dress with particular emphasis those
(a) Requirement to conduct operational operating rules that cause or are likely
tests and inspections. Each railroad to to cause the most accidents or inci-
which this part applies shall periodi- dents, such as those accidents or inci-
cally conduct operational tests and in- dents identified in the quarterly re-
spections to determine the extent of views, six month reviews, and the an-
compliance with its code of operating nual summaries as required under
rules, timetables, and timetable special paragraphs (e) and (f) of this section, as
instructions, specifically including applicable;
tests and inspections sufficient to (2) Require a minimum number of
verify compliance with the require- tests and inspections per year covering
ments of subpart F of part 218 of this the requirements of part 218, subpart F
chapter, in accordance with a written of this chapter;
program as required by paragraph (c) of (3) Describe each type of operational
this section. test and inspection required, including
(b) Railroad and railroad testing officer the means and procedures used to carry
responsibilities. The requirements of it out;
this paragraph (b) are applicable begin- (4) State the purpose of each type of
ning January 1, 2009. operational test and inspection;
(1) Each railroad officer who con- (5) State, according to operating divi-
ducts operational tests and inspections sions where applicable, the frequency
(railroad testing officer) shall: with which each type of operational
(i) Be qualified on the railroad’s oper- test and inspection is to be conducted;
ating rules in accordance with § 217.11 (6) As of January 1, 2009, identify the
of this part; officer(s) by name, job title, and, divi-
(ii) Be qualified on the operational sion or system, who shall be respon-
testing and inspection program re- sible for ensuring that the program of
quirements and procedures relevant to operational tests and inspections is
204
properly implemented. The responsibil- this part applies shall conduct periodic
ities of such officer(s) shall include, reviews and analyses as provided in
but not be limited to, ensuring that the this paragraph and shall retain, at each
railroad’s testing officers are directing division headquarters, where applica-
their efforts in an appropriate manner ble, and at its system headquarters,
to reduce accidents/incidents and that one copy of the following written re-
all required reviews and summaries are views, provided however that this re-
completed. A railroad with divisions quirement does not apply to either a
shall identify at least one officer at the railroad with less than 400,000 total em-
system headquarters who is responsible ployee work hours annually or a pas-
for overseeing the entire program and senger railroad subject to paragraph
the implementation by each division. (e)(2) of this section.
(7) Include a schedule for making the (i) Quarterly review. The designated
program fully operative within 210 days officer of each division headquarters,
after it begins. or system headquarters, if no division
(d) Records. (1) Each railroad to which headquarters exists, shall conduct a
this part applies shall keep a record of written quarterly review of the acci-
the date, time, place, and result of each dent/incident data, the results of prior
operational test and inspection that operational tests and inspections, and
was performed in accordance with its other pertinent safety data for that di-
program. Each record shall specify the vision or system to identify the rel-
officer administering the test and in- evant operating rules related to those
spection and each employee tested. accidents/incidents that occurred dur-
These records shall be retained at the ing the quarter. The review shall also
system headquarters and at each divi- include the name of each railroad test-
sion headquarters where the tests and ing officer, the number of tests and in-
inspections are conducted for one cal- spections conducted by each officer,
endar year after the end of the cal- and whether the officer conducted the
endar year to which they relate. These minimum number of each type of test
records shall be made available to rep- or inspection required by the railroad’s
resentatives of the FRA for inspection program. Based upon the results of
and copying during normal business that review, the designated officer
hours. shall make any necessary adjustments
(2) Each railroad shall retain one to the tests and inspections required of
copy of its current program for peri- railroad officers for the subsequent pe-
odic performance of the operational riod(s). Quarterly reviews and adjust-
tests and inspections required by para- ments shall be completed no later than
graph (a) of this section and one copy 30 days after the quarter has ended.
of each subsequent amendment to such (ii) Six month review. The designated
program. These records shall be re- officer of each system headquarters of-
tained at the system headquarters and fice responsible for development and
at each division headquarters where administration of the program of oper-
the tests and inspections are conducted ational tests and inspections shall con-
for three calendar years after the end duct a review of the program of oper-
of the calendar year to which they re- ational tests and inspections on a six
late. These records shall be made avail- month basis to ensure that it is being
able to representatives of the FRA for utilized as intended, that the quarterly
inspection and copying during normal reviews provided for in this paragraph
business hours. have been properly completed, that ap-
(e) Reviews of tests and inspections and propriate adjustments have been made
adjustments to the program of operational to the distribution of tests and inspec-
tests. This paragraph (e) shall apply to tions required, and that the railroad
each Class I railroad and the National testing officers are appropriately di-
Railroad Passenger Corporation begin- recting their efforts. Six month re-
ning April 1, 2009 and to all other rail- views shall be completed no later than
roads subject to this paragraph begin- 60 days after the review period has
ning July 1, 2009. ended.
(1) Reviews by railroads other than pas- (2) Reviews by passenger railroads. Not
senger railroads. Each railroad to which less than once every six months, the
205
§ 217.9 49 CFR Ch. II (10–1–11 Edition)
designated officer(s) of the National tion and copying during normal busi-
Railroad Passenger Corporation and of ness hours.
each railroad providing commuter (f) Annual summary of operational tests
service in a metropolitan or suburban and inspections. Before March 1 of each
area shall conduct periodic reviews and calendar year, each railroad to which
analyses as provided in this paragraph this part applies, except for a railroad
and shall retain, at each division head- with less than 400,000 total employee
quarters, where applicable, and at its work hours annually, shall retain, at
system headquarters, one copy of the each of its division headquarters and at
reviews. Each such review shall be the system headquarters of the rail-
completed within 30 days of the close of road, one copy of a written summary of
the period. The designated officer(s) the following with respect to its pre-
shall conduct a written review of: vious calendar year activities: The
(i) The operational testing and in- number, type, and result of each oper-
spection data for each division, if any, ational test and inspection, stated ac-
or the system to determine compliance cording to operating divisions where
by the railroad testing officers with its applicable, that was conducted as re-
program of operational tests and in- quired by paragraphs (a) and (c) of this
spections required by paragraph (c) of section. These records shall be retained
this section. At a minimum, this re- for three calendar years after the end
view shall include the name of each of the calendar year to which they re-
railroad testing officer, the number of late and shall be made available to rep-
tests and inspections conducted by resentatives of the FRA for inspection
each officer, and whether the officer and copying during normal business
conducted the minimum number of hours.
each type of test or inspection required (g) Electronic recordkeeping. Each rail-
by the railroad’s program; road to which this part applies is au-
thorized to retain by electronic record-
(ii) Accident/incident data, the re-
keeping the information prescribed in
sults of prior operational tests and in-
this section, provided that all of the
spections, and other pertinent safety
following conditions are met:
data for each division, if any, or the
(1) The railroad adequately limits
system to identify the relevant oper-
and controls accessibility to such in-
ating rules related to those accidents/ formation retained in its electronic
incidents that occurred during the pe- database system and identifies those
riod. Based upon the results of that re- individuals who have such access;
view, the designated officer(s) shall (2) The railroad has a terminal at the
make any necessary adjustments to system headquarters and at each divi-
the tests and inspections required of sion headquarters;
railroad officers for the subsequent pe- (3) Each such terminal has a com-
riod(s); and puter (i.e., monitor, central processing
(iii) Implementation of the program unit, and keyboard) and either a fac-
of operational tests and inspections simile machine or a printer connected
from a system perspective, to ensure to the computer to retrieve and
that it is being utilized as intended, produce information in a usable format
that the other reviews provided for in for immediate review by FRA rep-
this paragraph have been properly com- resentatives;
pleted, that appropriate adjustments (4) The railroad has a designated rep-
have been made to the distribution of resentative who is authorized to au-
tests and inspections required, and thenticate retrieved information from
that the railroad testing officers are the electronic system as true and accu-
appropriately directing their efforts. rate copies of the electronically kept
(3) Records retention. The records of records; and
periodic reviews required in paragraphs (5) The railroad provides representa-
(e)(1) and (e)(2) of this section shall be tives of the FRA with immediate ac-
retained for a period of one year after cess to these records for inspection and
the end of the calendar year to which copying during normal business hours
they relate and shall be made available and provides printouts of such records
to representatives of FRA for inspec- upon request.
206
(h) Upon review of the program of retain one copy of all these records; the
operational tests and inspections re- division headquarters for each division
quired by this section, the Associate where the employees are instructed
Administrator for Safety may, for shall retain one copy of all portions of
cause stated, disapprove the program. these records that the division applies
Notification of such disapproval shall and enforces. These records shall be
be made in writing and specify the made available to representatives of
basis for the disapproval decision. If the Federal Railroad Administration
the Associate Administrator for Safety for inspection and copying during nor-
disapproves the program, mal business hours. This program
(1) The railroad has 35 days from the shall—
date of the written notification of such (1) Describe the means and proce-
disapproval to: dures used for instruction of the var-
(i) Amend its program and submit it ious classes of affected employees;
to the Associate Administrator for (2) State the frequency of instruction
Safety for approval; or and the basis for determining that fre-
(ii) Provide a written response in sup- quency;
port of the program to the Associate (3) Include a schedule for completing
Administrator for Safety, who informs the initial instruction of employees
the railroad of FRA’s final decision in who are already employed when the
writing; and program begins;
(2) A failure to submit the program (4) Begin within 30 days after Novem-
with the necessary revisions to the As- ber 21, 1994, or the date of commencing
sociate Administrator for Safety in ac- operations, whichever is later; and
cordance with this paragraph will be (5) Provide for initial instruction of
considered a failure to implement a each employee hired after the program
program under this part. begins.
[73 FR 8496, Feb. 13, 2008, as amended at 73 (c) Each railroad to which this part
FR 33902, June 16, 2008] applies is authorized to retain by elec-
tronic recordkeeping its program for
§ 217.11 Program of instruction on op- periodic instruction of its employees
erating rules; recordkeeping; elec- on operating rules provided that the re-
tronic recordkeeping.
quirements stated in § 217.9(g)(1)
(a) To ensure that each railroad em- through (5) of this part are satisfied.
ployee whose activities are governed by
the railroad’s operating rules under- [39 FR 41176, Nov. 25, 1974, as amended at 59
FR 43071, Aug. 22, 1994; 73 FR 8497, Feb. 13,
stands those rules, each railroad to 2008]
which this part applies shall periodi-
cally instruct each such employee on § 217.13 Information collection.
the meaning and application of the
railroad’s operating rules in accord- (a) The information collection re-
ance with a written program retained quirements in this part have been re-
at its system headquarters and at the viewed by the Office of Management
division headquarters for each division and Budget pursuant to the Paperwork
where the employee is instructed. Reduction Act of 1980, Public Law 96–
(b) On or after November 21, 1994, or 511, and have been assigned OMB con-
30 days before commencing operations, trol number 2130–0035.
whichever is later, each railroad to (b) The information collection re-
which this part applies shall retain one quirements are found in the following
copy of its current program for the sections:
periodic instruction of its employees as (1) Section 217.7.
required by paragraph (a) of this sec- (2) Section 217.9.
tion and one copy of each subsequent (3) Section 217.11.
amendment to that program. The sys- [50 FR 7919, Feb. 27, 1985. Redesignated and
tem headquarters of the railroad shall amended at 59 FR 43071, Aug. 22, 1994]
207

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) Failure to implement a program ........................................................................................ $9,500– $13,000–
12,500 16,000
(b) Railroad and railroad testing officer responsibilities:.
(1) Failure to provide instruction, examination, or field training, or failure to con-
duct tests in accordance with program ................................................................. 9,500 13,000
(2) Records ............................................................................................................... 7,500 11,000
(c) Record of program; program incomplete .......................................................................... 7,500– 11,000–
12,500 16,000
(d) Records of individual tests and inspections ...................................................................... 7,500
(e) Failure to retain copy of or conduct:.
(1)(i) Quarterly review ............................................................................................... 9,500 13,000
(1)(ii) and (2) Six month review ................................................................................ 9,500 13,000
(3) Records ............................................................................................................... 7,500 11,000
(f) Annual summary ................................................................................................................ 7,500 11,000
(h) Failure to timely or appropriately amend program after disapproval ................................ 9,500– 13,000–
12,500 16,000
217.11 Program of instruction on operating rules:
(a) ............................................................................................................................................ $5,000 $7,500
(b) ............................................................................................................................................ $2,500 $5,000
[59 FR 43071, Aug. 22, 1994, as amended at 63 FR 11620, Mar. 10, 1998; 69 FR 30593, May 28, 2004;
73 FR 8497, Feb. 13, 2008; 73 FR 79701, Dec. 30, 2008]
PART 218—RAILROAD OPERATING 218.39 Hump operations.

218.41 Noncompliance with hump operations
PRACTICES rule.
Subpart A—General Subpart D—Prohibition Against Tampering

With Safety Devices
Sec.
218.1 Purpose. 218.51 Purpose.
218.3 Application. 218.53 Scope and definitions.
218.4 Preemptive effect. 218.55 Tampering prohibited.
218.5 Definitions. 218.57 Responsibilities of individuals.
218.7 Waivers. 218.59 Responsibilities of railroads.
218.9 Civil penalty. 218.61 Authority to deactivate safety de-
218.11 Filing, testing, and instruction. vices.
Subpart B—Blue Signal Protection of Subpart E—Protection of Occupied Camp

Workers Cars
218.21 Scope. 218.71 Purpose and scope.
218.22 Utility employee. 218.73 Warning signal display.
218.23 Blue signal display. 218.75 Methods of protection for camp cars.
218.24 One-person crew. 218.77 Remotely controlled switches.
218.25 Workers on a main track. 218.79 Alternative methods of protection.
218.27 Workers on track other than main 218.80 Movement of occupied camp cars.
track.
218.29 Alternate methods of protection. Subpart F—Handling Equipment, Switches,
218.30 Remotely controlled switches. and Fixed Derails
Subpart C—Protection of Trains and 218.91 Purpose and scope.
Locomotives 218.93 Definitions.
218.95 Instruction, training, and examina-
218.31 Scope. tion.
218.35 Yard limits. 218.97 Good faith challenge procedures.
218.37 Flag protection. 218.99 Shoving or pushing movements.
208
218.101 Leaving rolling and on-track main- U.S.C. 20106 (section 20106), issuance of
tenance-of-way equipment in the clear. the regulations in this part preempts
218.103 Hand-operated switches, including any State law, regulation, or order cov-
crossover switches.
ering the same subject matter, except
218.105 Additional operational requirements
for hand-operated main track switches. an additional or more stringent law,
218.107 Additional operational requirements regulation, or order that is necessary
for hand-operated crossover switches. to eliminate or reduce an essentially
218.109 Hand-operated fixed derails. local railroad safety or railroad secu-
APPENDIX A TO PART 218—SCHEDULE OF CIVIL rity hazard; that is not incompatible
PENALTIES with a law, regulation, or order of the
APPENDIX B TO PART 218—STATEMENT OF United States Government; and that
AGENCY ENFORCEMENT POLICY ON BLUE does not unreasonably burden inter-
SIGNAL PROTECTION FOR UTILITY EMPLOY- state commerce. Section 20106 permits
EES
State tort actions arising from events
APPENDIX C TO PART 218—STATEMENT OF
AGENCY ENFORCEMENT POLICY ON TAM-
or activities occurring on or after Jan-
PERING uary 18, 2002, for the following: Viola-
APPENDIX D TO PART 218—REQUIREMENTS AND tion of the Federal standard of care es-
CONSIDERATIONS FOR IMPLEMENTING TECH- tablished by regulation or order issued
NOLOGY AIDED POINT PROTECTION the Secretary of Transportation (with
AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C. respect to railroad safety, such as
2461, note; and 49 CFR 1.49. these regulations) or the Secretary of
Homeland Security (with respect to
SOURCE: 44 FR 2175, Jan. 10, 1979, unless
railroad security); a party’s violation
otherwise noted.
of, or failure to comply with, its own
plan, rule, or standard that it created
Subpart A—General pursuant to a regulation or order
issued by either of the two Secretaries;
§ 218.1 Purpose.
and a party’s violation of a State
This part prescribes minimum re- standard that is necessary to eliminate
quirements for railroad operating rules or reduce an essentially local safety or
and practices. Each railroad may pre- security hazard, is not incompatible
scribe additional or more stringent re- with a law, regulation, or order of the
quirements in its operating rules, time- United States Government, and does
tables, timetable special instructions, not unreasonably burden interstate
and other special instructions. commerce. Nothing in section 20106
creates a Federal cause of action on be-
§ 218.3 Application. half of an injured party or confers Fed-
(a) Except as provided in paragraph eral question jurisdiction for such
(b) of this section, this part applies to State law causes of action.
railroads that operate rolling equip- [73 FR 8498, Feb. 13, 2008]
ment on standard gage track which is
part of the general railroad system of § 218.5 Definitions.
transportation.
Absolute block means a block in which
(b) This part does not apply to—
no train is permitted to enter while it
(1) A railroad that operates only on
is occupied by another train.
track inside an installation which is Blue signal means a clearly distin-
not part of the general railroad system guishable blue flag or blue light by day
of transportation, or and a blue light at night. When at-
(2) Rapid transit operations in an tached to the operating controls of a
urban area that are not connected with locomotive, it need not be lighted if
the general railroad system of trans- the inside of the cab area of the loco-
portation. motive is sufficiently lighted so as to
[44 FR 2175, Jan. 10, 1979, as amended at 53 make the blue signal clearly distin-
FR 28599, July 28, 1988] guishable.
Camp car means any on-track vehicle,
§ 218.4 Preemptive effect. including outfit, camp, or bunk cars or
Normal State negligence standards modular homes mounted on flat cars
apply where there is no Federal action used to house rail employees. It does
covering the subject matter. Under 49 not include wreck trains.
209
§ 218.5 49 CFR Ch. II (10–1–11 Edition)
Car shop repair track area means one is under the exclusive control of me-
or more tracks within an area in which chanical department personnel.
the testing, servicing, repair, inspec- Main track means a track, other than
tion, or rebuilding of railroad rolling an auxiliary track, extending through
equipment is under the exclusive con- yards or between stations, upon which
trol of mechanical department per- trains are operated by timetable or
sonnel. train order or both, or the use of which
Controlling locomotive means a loco- is governed by a signal system.
motive arranged as having the only Rolling equipment includes loco-
controls over all electrical, mechanical motives, railroad cars, and one or more
and pneumatic functions for one or locomotives coupled to one or more
more locomotives, including controls cars.
transmitted by radio signals if so Switch providing access means a
equipped. It does not include two or switch which if traversed by rolling
more locomotives coupled in multiple equipment could permit that rolling
which can be moved from more than equipment to couple to the equipment
one set of locomotive controls. being protected.
Designated crew member means an in- Train or yard crew means one or more
dividual designated under the rail- railroad employees assigned a control-
road’s operating rules as the point of ling locomotive, under the charge and
contact between a train or yard crew control of one crew member; called to
and a utility employee working with perform service covered by Section 2 of
that crew. the Hours of Service Act; involved with
Effective locking device when used in the train or yard movement of railroad
relation to a manually operated switch rolling equipment they are to work
or a derail means one which is: with as an operating crew; reporting
(1) Vandal resistant; and working together as a unit that re-
(2) Tamper resistant; and mains in close contact if more than one
(3) Capable of being locked and un- employee; and subject to the railroad
locked only by the class, craft or group operating rules and program of oper-
of employees for whom the protection ational tests and inspections required
is being provided. in §§ 217.9 and 217.11 of this chapter.
Flagman’s signals means a red flag by Utility employee means a railroad em-
day and a white light at night, and ployee assigned to and functioning as a
fusees as prescribed in the railroad’s temporary member of a train or yard
operating rules. crew whose primary function is to as-
Group of workers means two or more sist the train or yard crew in the as-
workers of the same or different crafts sembly, disassembly or classification
assigned to work together as a unit of rail cars, or operation of trains (sub-
under a common authority and who are ject to the conditions set forth in
in communication with each other § 218.22 of this chapter).
while the work is being done. Worker means any railroad employee
Interlocking limits means the tracks assigned to inspect, test, repair, or
between the opposing home signals of service railroad rolling equipment, or
an interlocking. their components, including brake sys-
Locomotive means, except for pur- tems. Members of train and yard crews
poses of subpart F of this part, a self- are excluded except when assigned such
propelled unit of equipment designed work on railroad rolling equipment
for moving other railroad rolling that is not part of the train or yard
equipment in revenue service including movement they have been called to op-
a self-propelled unit designed to carry erate (or been assigned to as ‘‘utility
freight or passenger traffic, or both, employees’’). Utility employees as-
and may consist of one or more units signed to and functioning as temporary
operated 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.
210
NOTE: Servicing does not include supplying penalty not to exceed $100,000 per viola-
cabooses, locomotives, or passenger cars tion may be assessed. Each day a viola-
with items such as ice, drinking water, tools, tion continues shall constitute a sepa-
sanitary supplies, stationery, or flagging
equipment.
rate offense. See appendix A to this
part for a statement of agency civil
Testing does not include (i) visual ob- penalty policy.
servations made by an employee posi-
tioned on or alongside a caboose, loco- [53 FR 28599, July 28, 1988, as amended at 53
FR 52928, Dec. 29, 1988; 63 FR 11621, Mar. 10,
motive, or passenger car; or (ii) marker
1998; 69 FR 30593, May 28, 2004; 72 FR 51196,
inspections made in accordance with Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008]
the provisions of § 221.16(b) of this chap-
ter. § 218.11 Filing, testing, and instruc-
[58 FR 43292, Aug. 16, 1993, as amended at 60 tion.
FR 11049, Mar. 1, 1995; 73 FR 8498, Feb. 13, The operating rules prescribed in this
2008] part, and any additional or more strin-
gent requirements issued by a railroad
§ 218.7 Waivers.
in relation to the operating rules pre-
(a) A railroad may petition the Fed- scribed in this part, shall be subject to
eral Railroad Administration for a the provisions of part 217 of this chap-
waiver of compliance with any require- ter, Railroad Operating Rules: Filing,
ment prescribed in this part. Testing, and Instruction.
this section must be filed in the man-
Subpart B—Blue Signal Protection
quired by part 211 of this chapter. of Workers
(c) If the Administrator finds that
§ 218.21 Scope.
waiver of compliance is in the public
interest and is consistent with railroad This subpart prescribes minimum re-
safety, he may grant the waiver sub- quirements for the protection of rail-
ject to any conditions he deems nec- road employees engaged in the inspec-
essary. Notice of each waiver granted, tion, testing, repair, and servicing of
including a statement of the reasons, rolling equipment whose activities re-
therefore, is published in the FEDERAL quire them to work on, under, or be-
REGISTER. tween such equipment and subjects
them to the danger of personal injury
§ 218.9 Civil penalty. posed by any movement of such equip-
Any person (an entity of any type ment.
covered under 1 U.S.C. 1, including but
not limited to the following: a railroad; § 218.22 Utility employee.
a manager, supervisor, official, or (a) A utility employee shall be sub-
other employee or agent of a railroad; ject to the Hours of Service Act, and
any owner, manufacturer, lessor, or the requirements for training and test-
lessee of railroad equipment, track, or ing, control of alcohol and drug use,
facilities; any independent contractor and hours of service record keeping
providing goods or services to a rail- provided for in parts 217, 219, and 228 of
road; and any employee of such owner, this chapter.
manufacturer, lessor, lessee, or inde- (b) A utility employee shall perform
pendent contractor) who violates any service as a member of only one train
requirement of this part or causes the or yard crew at any given time. Service
violation of any such requirement is with more than one crew may be se-
subject to a civil penalty of at least quential, but not concurrent.
$650 and not more than $25,000 per vio- (c) A utility employee may be as-
lation, except that: Penalties may be signed to and serve as a member of a
assessed against individuals only for train or yard crew without the protec-
willful violations, and, where a grossly tion otherwise required by subpart D of
negligent violation or a pattern of re- part 218 of this chapter only under the
peated violations has created an immi- following conditions:
nent hazard of death or injury to per- (1) The train or yard crew is assigned
sons, or has caused death or injury, a a controlling locomotive that is under
211
§ 218.23 49 CFR Ch. II (10–1–11 Edition)
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.
212
§ 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
213
§ 218.29 49 CFR Ch. II (10–1–11 Edition)
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:
214
(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
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
215
§ 218.37 49 CFR Ch. II (10–1–11 Edition)
or classes of trains which shall have su- crew member must drop off single
periority on the main track within lighted fusees at intervals that do not
yard limits. exceed the burning time of the fusee.
(iv) When required by the railroad’s
[42 FR 5065, Jan. 27, 1977]
operating rules, a forward crew mem-
§ 218.37 Flag protection. ber with flagman’s signals must pro-
tect the front of the crew member’s
(a) After August 1, 1977, each railroad
train against opposing movements by
must have in effect an operating rule
immediately going forward at least the
which complies with the requirements
distance prescribed by timetable or
set forth below:
other instructions for the territory,
(1) Except as provided in paragraph
displaying one lighted fusee, and re-
(a)(2) of this section, flag protection
shall be provided— maining at that location until 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 must go out in order to provide ade-
track, flag protection against following quate protection for his train.
trains on the same track must be pro- (c) Whenever the use of fusees is pro-
vided as follows: A crew member with hibited by a Federal, State or local fire
flagman’s signals must immediately go regulation, each railroad operating
back at least the distance prescribed within that jurisdiction shall provide
by timetable or other instructions for alternate operating procedures to as-
the territory and display one lighted sure full protection of trains in lieu of
fusee. The crew member may then re- flag protection required by this sec-
turn one-half of the distance to the tion.
crew member’s train where the crew [42 FR 5065, Jan. 27, 1977, as amended at 42
member must remain until the crew FR 38362, July 28, 1977; 73 FR 8498, Feb. 13,
member has stopped the approaching 2008]
train or is recalled. When recalled, the
crew member must leave one lighted § 218.39 Hump operations.
fusee and while returning to the crew After June 30, 1984, each railroad that
member’s train, the crew member must operates a remote control hump yard
also place single lighted fusees at in- facility must have in effect an oper-
tervals that do not exceed the burning ating rule that adopts the following
time of the fusee. When the train de- provisions in substance:
parts, a crew member must leave one (a) When a train or engine service
lighted fusee and until the train re- employee is required to couple an air
sumes speed not less than one-half the hose or to adjust a coupling device and
maximum authorized speed (including that activity will require that the em-
slow order limits) in that territory, the ployee place himself between pieces of
216
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.
217
§ 218.59 49 CFR Ch. II (10–1–11 Edition)
§ 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
218
the camp cars are located shall be pro- (1) A warning signal must be dis-
tected in accordance with § 218.77. played at or near each switch providing
access to or from the track;
§ 218.77 Remotely controlled switches. (2) Each switch providing entrance to
(a) After the operator of the remotely or departure from the area must be
controlled switch is notified that a lined against movement to the track
camp car is to be placed on a particular and locked with an effective locking
track, he shall line such switch against device; and
movement to that track and apply an (3) If the speed within this area is re-
effective locking device applied to the stricted to not more than five miles per
lever, button, or other device control- hour, a derail, capable of restricting
ling the switch before informing the access to that portion of track on
person in charge of the camp car occu- which the camp cars are located, will
pants that protection has been pro- fulfill the requirements of a manually
vided. operated switch in compliance with
(b) The operator may not remove the paragraph (a)(2) of this section when
locking device until informed by the positioned at least 50 feet from the end
person in charge of the camp car occu- of the camp cars to be protected by the
pants that protection is no longer re- warning signal, when locked in a de-
quired. railing position with an effective lock-
(c) The operator shall maintain for 15 ing device, and when a warning signal
days a written record of each notifica- is displayed at the derail.
tion that contains the following infor- (b) Except as provided in paragraph
mation: (a) of this section, when occupied camp
(1) The name and craft of the em- cars are on track other than main
ployee in charge who provided the noti- track:
fication; (1) A derail, capable of restricting ac-
(2) The number or other designation cess to that portion of the track on
of the track involved; which such equipment is located, will
fulfill the requirements of a manually
(3) The date and time the operator
operated switch when positioned no
notified the employee in charge that
less than 150 feet from the end of such
protection had been provided in accord-
equipment; and
ance with paragraph (a) of this section;
and (2) Each derail must be locked in a
derailing position with an effective
(4) The date and time the operator
locking device and a warning signal
was informed that the work had been
must be displayed at each derail.
completed, and the name and craft of
the employee in charge who provided § 218.80 Movement of occupied camp
this information. cars.
(d) When occupied camp cars are
Occupied cars may not be humped or
parked on main track, a derail, capable
flat switched unless coupled to a loco-
of restricting access to that portion of
motive.
the track on which such equipment is
located, shall be positioned no less
than 150 feet from the end of such Subpart F—Handling Equipment,
equipment and locked in a derailing Switches, and Fixed Derails
position with an effective locking de-
vice, and a warning signal must be dis- SOURCE: 73 FR 8498, Feb. 13, 2008, unless
played at the derail. otherwise noted.
§ 218.79 Alternative methods of protec- § 218.91 Purpose and scope.

tion. (a) The purpose of this subpart is to
Instead of providing protection for prevent accidents and casualties that
occupied camp cars in accordance with can result from the mishandling of
§ 218.75 or § 218.77, the following meth- equipment, switches, and fixed derails.
ods of protection may be used: (b) This subpart prescribes minimum
(a) When occupied camp cars are on operating rule requirements for the
track other than main track: handling of equipment, switches, and
219
§ 218.93 49 CFR Ch. II (10–1–11 Edition)
fixed derails. Each railroad may pre- switch points are lined for the intended
scribe additional or more stringent re- route and fit properly.
quirements in its operating rules, time- Highway-rail grade crossing means, for
tables, timetable special instructions, purposes of this subpart only, an at-
and other instructions. grade crossing where a public highway,
road, street, or private roadway, in-
§ 218.93 Definitions. cluding associated sidewalks and path-
As used in this subpart— ways, crosses one or more railroad
Associate Administrator for Safety tracks at grade, and is identified by a
means the Associate Administrator for U.S. DOT National Highway-Rail Grade
Safety of the Federal Railroad Admin- Crossing Inventory Number, or is
istration or that person’s delegate as marked by crossbucks, stop signs, or
designated in writing. other appropriate signage indicating
Clearance point means the location the presence of an at-grade crossing.
near a turnout beyond which it is un- Industry track means a switching
safe for passage on an adjacent track, or series of tracks, serving the
track(s). Where a person is permitted needs of a commercial industry other
by a railroad’s operating rules to ride than a railroad.
the side of a car, a clearance point Lite locomotive consist means two or
shall accommodate a person riding the more locomotive units coupled without
side of a car. cars attached, regardless of whether
Correspondence of crossover switches the locomotive units are connected so
means both crossover switches are that they may be operated from a sin-
lined for the crossover or both are lined gle control stand.
for the straight tracks. Locomotive means, for purposes of
Crossover means, for purposes of this this subpart only, a piece of on-track
subpart only, a track connection be- equipment (other than specialized
tween two adjacent, but not nec- roadway maintenance equipment or a
essarily parallel, tracks, consisting of dual purpose vehicle operating in ac-
two switches, which is intended to be cordance with § 240.104(a)(2) of this
used primarily for the purpose of cross- chapter):
ing over from one track to another. (1) With one or more propelling mo-
Departure track means a track located tors designed for moving other equip-
in a classification yard where rolling ment;
equipment is placed and made ready (2) With one or more propelling mo-
for an outgoing train movement. tors designed to carry freight or pas-
Employee means an individual who is senger traffic or both; or
engaged or compensated by a railroad (3) Without propelling motors but
or by a contractor to a railroad to per- with one or more control stands.
form any of the duties defined in this Pedestrian crossing means a separate
subpart. designated sidewalk or pathway where
Foul or fouling a track means rolling pedestrians, but not vehicles, cross
equipment or on-track maintenance-of- railroad tracks. Sidewalk crossings
way equipment is located such that the contiguous with, or separate but adja-
end of the equipment is between the cent to, highway-rail grade crossings,
clearance point and the switch points are presumed to be part of the high-
leading to the track on which the way-rail grade crossings and are not
equipment is standing. considered pedestrian crossings.
FRA means the Federal Railroad Ad- Qualified means that a person has
ministration. successfully completed all instruction,
Hand-operated switch means any type training, and examination programs re-
of switch when operated by manual quired by the railroad and this subpart
manipulation. For purposes of this sub- and that the person, therefore, has ac-
part, a hand-operated switch does not tual knowledge or may reasonably be
include switches operated by push but- expected to have knowledge of the sub-
ton or radio control when such switch ject on which the person is expected to
is protected by distant switch indica- be competent.
tors, switch point indicators, or other Remote control operator means a loco-
visual or audio verification that the motive engineer, as defined in § 240.7 of
220
this chapter, certified by a railroad to fines of a railroad yard, and yard ac-
operate remote control locomotives cess crossings are protected as follows:
pursuant to § 240.107 of this chapter. (i) Crossing gates are in the fully
Remote control zone means one or lowered position, and are not known to
more tracks within defined limits des- be malfunctioning; or
ignated in the timetable special in- (ii) A designated and qualified em-
structions, or other railroad publica- ployee is stationed at the crossing and
tion, within which remote control loco- has the ability to communicate with
motives, under certain circumstances trains; or
specified in this part, may be operated (iii) At crossings equipped only with
without an employee assigned to pro- flashing lights or passive warning de-
tect the pull-out end of the remote con- vices, when it is clearly seen that no
trol movement, i.e., the end on which traffic is approaching or stopped at the
the locomotive is located. crossing and the leading end of the
Roadway maintenance activity means movement over the crossing does not
any work limited to the duties pre- exceed 15 miles per hour;
scribed for a roadway worker by defini- (3) Intervening switches and fixed de-
tion in this section, including move- rails are properly lined for the intended
ment of on-track maintenance-of-way movement; and
equipment other than locomotives. (4) The portion of the track to be
Roadway worker means any employee used for the intended movement has
of a railroad, or of a contractor to a sufficient room to contain the rolling
railroad, whose duties include inspec- equipment being shoved or pushed.
tion, construction, maintenance or re- Yard access crossing means a private
pair of railroad track, bridges, road- highway-rail grade crossing that is lo-
way, signal and communication sys- cated within the physical confines of a
tems, electric traction systems, road- railroad yard and is either:
way facilities or roadway maintenance (1) Open to unrestricted public ac-
machinery on or near track or with the cess; or
potential of fouling a track, and (2) Open to persons other than rail-
flagmen and watchmen/lookouts as de- road employees going about their nor-
fined in § 214.7 of this chapter. mal duties, e.g., business guests or
Roadway worker in charge means a family members.
roadway worker who is qualified in ac-
cordance with § 214.353 of this chapter [73 FR 8498, Feb. 13, 2008, as amended at 73
for the purpose of establishing on-track FR 33902, June 16, 2008]
safety for roadway work groups.
Siding means an auxiliary track, ad- § 218.95 Instruction, training, and ex-
amination.
jacent and connected to a main track,
used for meeting or passing trains. (a) Program. Beginning January 1,
Signaled siding means a siding within 2009, each railroad shall maintain a
traffic control system (TCS) territory written program of instruction, train-
or within interlocking limits where a ing, and examination of employees for
signal indication authorizes the sid- compliance with operating rules imple-
ing’s use. menting the requirements of this sub-
Switchtender means a qualified em- part to the extent these requirements
ployee assigned to handle switches at a are pertinent to the employee’s duties.
specific location. If all requirements of this subpart are
Track is clear means: satisfied, a railroad may consolidate
(1) The portion of the track to be any portion of the instruction, training
used for the intended movement is un- or examination required by this sub-
occupied by rolling equipment, on- part with the program of instruction
track maintenance-of-way equipment, required under § 217.11 of this chapter.
and conflicting on-track movements; An employee who successfully com-
(2) Intervening public highway-rail pletes all instruction, training, and ex-
grade crossings, private highway-rail amination required by this written pro-
grade crossings outside the physical gram shall be considered qualified.
confines of a railroad yard, pedestrian (1) The written program of instruc-
crossings outside of the physical con- tion, training, and examination shall
221
§ 218.97 49 CFR Ch. II (10–1–11 Edition)
address the requirements of this sub- ance with §§ 217.9(g) and 217.11(c) of this
part, as well as consequences of non- chapter.
compliance. (c) Upon review of the program of in-
(2) The written program of instruc- struction, training, and examination
tion, training, and examination shall required by this section, the Associate
include procedures addressing how the Administrator for Safety may, for
railroad qualifies employees in any cause stated, disapprove the program.
technology necessary to accomplish Notification of such disapproval shall
work subject to the requirements of be made in writing and specify the
this subpart. Such procedures shall in- basis for the disapproval decision. If
clude, but are not limited to, those the Associate Administrator for Safety
which explain: disapproves the program,
(i) The purpose for using the tech- (1) The railroad has 35 days from the
nology; date of the written notification of such
disapproval to:
(ii) How an employee will be expected (i) Amend its program and submit it
to use the technology; to the Associate Administrator for
(iii) How to detect malfunctioning Safety for approval; or
equipment or deviations from proper (ii) Provide a written response in sup-
procedures; port of the program to the Associate
(iv) How to respond when equipment Administrator for Safety, who informs
malfunctions or deviations from proper the railroad of FRA’s final decision in
procedures are detected; and writing; and
(v) How to prevent unintentional in- (2) A failure to submit the program
terference with the proper functioning with the necessary revisions to the As-
of the technology. sociate Administrator for Safety in ac-
(3) Implementation schedule for employ- cordance with this paragraph will be
ees, generally. Each employee per- considered a failure to implement a
forming duties subject to the require- program under this part.
ments in this subpart shall be initially
[73 FR 8498, Feb. 13, 2008, as amended at 73
qualified prior to July 1, 2009. FR 33902, June 16, 2008]
(4) Beginning July 1, 2009, no em-
ployee shall perform work requiring § 218.97 Good faith challenge proce-
compliance with the operating rules dures.
implementing the requirements of this (a) Employee responsibility. An em-
subpart unless qualified on these rules ployee shall inform the railroad or em-
within the previous three years. ployer whenever the employee makes a
(5) The records of successful comple- good faith determination that the em-
tion of instruction, examination and ployee has been directed to either take
training required by this section shall actions that would violate FRA regula-
document qualification of employees tions regarding the handling of equip-
under this subpart. ment, switches, and fixed derails as re-
(b) Written records documenting suc- quired by this subpart, or to take ac-
cessful completion of instruction, tions that would violate the railroad’s
training, and examination of each em- operating rules implementing the re-
ployee required by this subpart shall be quirements of this subpart.
retained at its system headquarters (b) General procedures. Each railroad
and at the division headquarters for or employer is responsible for the
each division where the employee is as- training of and compliance by its em-
signed for three calendar years after ployees with the requirements of this
the end of the calendar year to which subpart.
they relate and made available to rep- (1) Each railroad or employer shall
resentatives of the FRA for inspection adopt and implement written proce-
and copying during normal business dures which guarantee each employee
hours. Each railroad to which this part the right to challenge in good faith
applies is authorized to retain a pro- whether the procedures that will be
gram, or any records maintained to used to accomplish a specific task com-
prove compliance with such a program, ply with the requirements of this sub-
by electronic recordkeeping in accord- part or any operating rule relied upon
222
to fulfill the requirements of this sub- (5) Provide that a challenge may be
part. Each railroad or employer’s writ- resolved by:
ten procedures shall provide for prompt (i) A railroad or employer officer’s
and equitable resolution of challenges acceptance of the employee’s request;
made in accordance with this subpart. (ii) An employee’s acceptance of the
(2) The written procedures required directive;
by this section shall indicate that the (iii) An employee’s agreement to a
good faith challenge described in para- compromise solution acceptable to the
graph (b)(1) of this section is not in- person issuing the directive; or
tended to abridge any rights or rem- (iv) As further determined under
edies available to the employee under a paragraph (d) of this section.
collective bargaining agreement, or
(d) In the event that the challenge
any Federal law including, but not lim-
cannot be resolved because the person
ited to, 29 U.S.C. 651 et seq., 6 U.S.C.
issuing the directive determines that
1142, or 49 U.S.C. 20109.
the employee’s challenge has not been
(3) Each affected employee shall be
made in good faith or there is no rea-
instructed on the written procedures
sonable alternative to the direct order,
required by this paragraph as part of
the written procedures shall:
the training prescribed by § 217.11 of
this chapter. (1) Provide for immediate review by
(4) A copy of the current written pro- at least one officer of the railroad or
cedures shall be provided to each af- employer, except for each railroad with
fected employee and made available for less than 400,000 total employee work
inspection and copying by representa- hours annually. This immediate review
tives of the FRA during normal busi- shall:
ness hours. (i) Not be conducted by the person
(c) The written procedures shall— issuing the challenged directive, or
(1) Grant each employee the right to that person’s subordinate; and
challenge any directive which, based on (ii) Provide that a challenge may be
the employee’s good faith determina- resolved by using the same options
tion, would cause the employee to vio- available for resolving the challenge as
late any requirement of this subpart or the initial officer as well as the option
any operating rule relied upon to fulfill described in paragraph (d)(2) of this
the requirements of this subpart; section, except that the reviewing offi-
(2) Provide that the railroad or em- cer’s decision shall not be subject to
ployer shall not require the chal- further immediate review, unless pro-
lenging employee to comply with the vided for in the railroad’s or employ-
directive until the challenge resulting er’s written procedures;
from the good faith determination is (2) Provide that if the officer making
resolved; the railroad’s or employer’s final deci-
(3) Provide that the railroad or em- sion concludes that the challenged di-
ployer may require the challenging em- rective would not cause the employee
ployee to perform tasks unrelated to to violate any requirement of this sub-
the challenge until the challenge is re- part or the railroad’s or employer’s op-
solved; erating rule relied upon to fulfill the
(4) Provide that the railroad or em- requirements of this subpart and di-
ployer may direct an employee, other rects the employee to perform the
than the challenging employee, to per- challenged directive, the officer shall
form the challenged task prior to the further explain to the employee that
challenge being resolved as long as this Federal law may protect the employee
other employee is informed of the chal- from retaliation if the employee re-
lenge and does not also make a good fuses to do the work and if the employ-
faith determination that the chal- ee’s refusal is a lawful, good faith act;
lenged task would violate FRA regula- (3) Provide that the employee be af-
tions regarding the handling of equip- forded an opportunity to document
ment, switches, and fixed derails as re- electronically or in writing any protest
quired in this subpart, or a railroad’s to the railroad or employer’s final deci-
operating rules implementing the re- sion before the tour of duty is com-
quirements of this subpart; plete. The employee shall be afforded
223
§ 218.99 49 CFR Ch. II (10–1–11 Edition)
the opportunity to retain a copy of the (2) The following requirements for
protest; shoving or pushing movements do not
(4) Provide that the employee, upon apply to rolling equipment inten-
written request, has a right to further tionally shoved or pushed to permit the
review by a designated railroad or em- rolling equipment to roll without
ployer officer, within 30 days after the power attached, i.e., free rolling equip-
expiration of the month during which ment, during switching activities
the challenge occurred, for the purpose known as kicking, humping, or drop-
of verifying the proper application of ping cars.
the regulation, law, procedure or rule (b) General movement requirements—(1)
in question. The verification decision Job briefing. Rolling equipment shall
shall be made in writing to the em- not be shoved or pushed until the loco-
ployee. motive engineer participating in the
(e) Recordkeeping and record retention. move has been briefed by the employee
(1) A copy of the written procedures re- who will direct the move. The job brief-
quired by this section shall be retained ing shall include the means of commu-
at the employer or railroad’s system nication to be used between the loco-
headquarters and at each division motive engineer and the employee di-
headquarters, and made available to recting the move and how point protec-
representatives of the FRA for inspection will be provided.
tion and copying during normal busi- (2) No unrelated tasks. During the
ness hours. shoving or pushing movement, the em-
(2) A copy of any written good faith ployee directing the movement shall
challenge verification decision, made not engage in any task unrelated to
in accordance with paragraph (d)(4) of the oversight of the shoving or pushing
this section, shall be retained at the movement.
employer or railroad’s system head-
(3) Point protection. When rolling
quarters and at the division head-
equipment or a lite locomotive consist
quarters to which the employee was
is shoved or pushed, point protection
working when the challenge was initi-
ated, and made available to representa- shall be provided by a crewmember or
tives of the FRA for inspection and other qualified employee by:
copying during normal business hours (i) Visually determining that the
for at least one calendar year after ex- track is clear. The determination that
piration of the year during which the the track is clear may be made with
decision was issued. the aid of monitored cameras or other
(3) Each employer or railroad to technological means, provided that it
which this subpart applies is author- and the procedures for use provide an
ized to retain by electronic record- equivalent level of protection to that
keeping the information prescribed in of a direct visual determination by a
this subpart in accordance with the crewmember or other qualified em-
electronic recordkeeping standards set ployee properly positioned to make the
forth in § 217.9(g)(1) through (5) of this observation as prescribed in this sec-
chapter. tion and appendix D to this part; and
(ii) Giving signals or instructions
§ 218.99 Shoving or pushing move- necessary to control the movement.
ments. (c) Additional requirements for remote
(a)(1) Each railroad shall adopt and control movements. All remote control
comply with an operating rule which movements are considered shoving or
complies with the requirements of this pushing movements, except when the
section. When any person including, remote control operator controlling
but not limited to, each railroad, rail- the movement is riding the leading end
road officer, supervisor, and employee of the leading locomotive in a position
violates any requirement of an oper- to visually determine conditions in the
ating rule which complies with the re- direction of movement. In addition to
quirements of this section, that person the other requirements of this section,
shall be considered to have violated the (1) When initiating a remote control
requirements of this section. shoving or pushing movement:
224
(i) The remote control operator shall from the leading end in the direction of
visually determine the direction the movement;
equipment moves; or (3) During the performance of road-
(ii) A member of the crew shall vis- way maintenance activity under the di-
ually determine the direction the rect control of a roadway worker per-
equipment moves and confirm the di- forming work in accordance with rail-
rection with the remote control oper- road operating rules specific to road-
ator. If no confirmation is received, the way workers; or
movement shall be immediately (4) When the leading end of a shoving
stopped; and movement is on a main track or sig-
(2) If technology is relied upon, naled siding, under the following condi-
whether primarily or as a safeguard, to tions:
provide pull-out protection by pre- (i) The train dispatcher gives author-
venting the movement from exceeding ity or permission to make the move-
the limits of a remote control zone, the ment and verifies that:
technology shall be demonstrated (A) Another movement or work au-
(i) To be failsafe; or thority is not in effect within the same
(ii) To provide suitable redundancy or overlapping limits unless conflicting
to prevent unsafe failure. movements are protected; and
(d) Remote control zone, exception to (B) A main track is not removed from
track is clear requirements. After an ini- service by a work authority within the
tial track is clear determination has same or overlapping limits;
been made in an activated remote con- (ii) Movement is limited to the
trol zone, it is not necessary to make a train’s authority;
new determination prior to each subse- (iii) Movement shall not be made
quent shoving or pushing movement into or within yard limits, restricted
provided that: limits, drawbridges, or work authority
(1) The controlling locomotive of the limits;
remote control movement is on the (iv) Movement shall not enter or foul
leading end in the direction of move- a highway-rail grade crossing or pedes-
ment, i.e., the movement occurs on the trian crossing except when:
pull-out end; (A) Crossing gates are in the fully
(2) The remote control zone is not lowered position; or
jointly occupied; and (B) A designated and qualified em-
(3) The initial determination was ployee is stationed at the crossing and
made by a crewmember of either: has the ability to communicate with
(i) The remote control crew; trains; or
(ii) A relieved remote control crew (C) At crossings equipped only with
who has transferred the remote control flashing lights or passive warning de-
zone directly to the relieving crew; or vices, when it is clearly seen that no
(iii) The last jointly occupying crew traffic is approaching or stopped at the
who directly communicates, i.e., not crossing and the leading end of the
through a third party, to a remote con- movement over the crossing does not
trol crewmember that the remote con- exceed 15 miles per hour; and
trol zone is no longer jointly occupied (v) Movement shall not be made into
and meets the requirements for track or within interlocking limits or con-
is clear. trolled point limits unless the fol-
(e) Operational exceptions. A railroad lowing conditions are met:
does not need to comply with para- (A) The signal governing movement
graphs (b) through (d) of this section in is more favorable than restricting as-
the following circumstances: pect;
(1) Push-pull operations when oper- (B) Each signal governing movement
ated from the leading end in the direc- into and through interlocking limits or
tion of movement, i.e., push mode; controlled point limits shall be con-
(2) Shoving or pushing operations tinuously observed by a member of
with manned helper locomotives or dis- that crew who is in a position to deter-
tributed power locomotives assisting a mine that the train’s movement has
train when the train is being operated occupied the circuit controlling that
225
§ 218.101 49 CFR Ch. II (10–1–11 Edition)
signal as evidenced by that signal as- left where it will foul a connecting
suming its most restrictive aspect; and track unless:
(C) The movement does not exceed (1) The equipment is standing on a
the train’s length. main track and a siding track switch
(5) Shoving or pushing movements that the equipment is fouling is lined
made in the direction of the circuited for the main track on which the equip-
end of a designated departure track ment is standing; or
equipped with a shove light system, if (2) The equipment is standing on a
all of the following conditions are met: siding and a main track switch that
(i) The shove light system is dem- the equipment is fouling is lined for
onstrated to be failsafe; the siding on which the equipment is
(ii) The shove light system is ar- standing; or
ranged to display a less favorable as- (3) The equipment is standing on a
pect when the circuited section of the yard switching lead track, and the yard
track is occupied; track switch that the equipment is
(iii) Written procedures are adopted fouling is lined for the yard switching
and complied with that provide for a lead track on which the equipment is
reliable means of determining track standing; or
occupancy prior to commencing a shov- (4) The equipment is on an industry
ing or pushing movement; track beyond the clearance point of the
(iv) The track is designated in writ- switch leading to the industry.
ing; (c) Each railroad shall implement
(v) The track is under the exclusive procedures that enable employees to
and continuous control of a yardmaster identify clearance points and a means
or other qualified employee; to identify locations where clearance
(vi) The train crewmember or other points will not permit a person to safe-
qualified employee directing the shov- ly ride on the side of a car.
ing or pushing movement complies
with the general movement require- § 218.103 Hand-operated switches, in-
ments contained in paragraphs (b)(1) cluding crossover switches.
and (b)(2) of this section; (a)(1) Each railroad shall adopt and
(vii) All remote control shoving or comply with an operating rule which
pushing movements comply with the complies with the requirements of this
requirements contained in paragraph section. When any person including,
(c)(1) of this section; and but not limited to, each railroad, rail-
(viii) The shove light system is con- road officer, supervisor, and employee
tinuously illuminated when the violates any requirement of an oper-
circuited section of the track is unoc- ating rule which complies with the re-
cupied. quirements of this section, that person
shall be considered to have violated the
FR 33902, June 16, 2008]
requirements of this section.
(2) Each railroad shall specify min-
§ 218.101 Leaving rolling and on-track imum requirements necessary for an
maintenance-of-way equipment in adequate job briefing.
the clear. (b) General. Employees operating or
(a) Each railroad shall adopt and verifying the position of a hand-oper-
comply with an operating rule which ated switch shall:
complies with the requirements of this (1) Conduct job briefings, before work
section. When any person including, is begun, each time a work plan is
but not limited to, each railroad, rail- changed, and at completion of the
road officer, supervisor, and employee work;
violates any requirement of an oper- (2) Be qualified on the railroad’s op-
ating rule which complies with the re- erating rules relating to the operation
quirements of this section, that person of the switch;
shall be considered to have violated the (3) Be individually responsible for the
requirements of this section. position of the switch in use;
(b) Rolling and on-track mainte- (4) Visually determine that switches
nance-of-way equipment shall not be are properly lined for the intended
226
route and that no equipment is fouling switch shall be lined and locked in that
the switches; position when not in use except when:
(5) Visually determine that the (1) The train dispatcher directs oth-
points fit properly and the target, if so erwise with respect to the position of a
equipped, corresponds with the switch’s hand-operated main track switch and
position; the necessary protection is provided; or
(6) After operating a switch and be- (2) The hand-operated switch is left
fore making movements in either di- in the charge of a crewmember of an-
rection over the switch, ensure that other train, a switchtender, or a road-
the switch is secured from uninten- way worker in charge.
tional movement of the switch points; (c) Additional job briefing requirements
(7) Ensure that a switch is not oper- for hand-operated main track switches.
ated while rolling and on-track main- (1) Before a train or a train crew leaves
tenance-of-way equipment is fouling the location where any hand-operated
the switch, or standing or moving over main track switch was operated, all
the switch; and crewmembers shall have verbal com-
(8) After operating a switch, ensure munication to confirm the position of
that when not in use, each switch is the switch.
locked, hooked, or latched, if so (2) In the case of exclusive track oc-
equipped. cupancy authority established under
(c) Rolling and on-track mainte- § 214.321, foul time under § 214.323, or
nance-of-way equipment shall not foul train coordination under § 214.325, when
a track until all hand-operated switch- a roadway worker qualified to operate
es connected with the movement are hand-operated main track switches is
properly lined, or in the case of hand- granted permission by the roadway
operated switches designed and per- worker in charge to occupy or other-
mitted to be trailed through, until the wise use the limits of the exclusive
intended route is seen to be clear or track occupancy, such employee re-
the train has been granted movement ceiving permission to occupy the work-
authority. When a conflicting move- ing limits shall report the position of
ment is approaching a hand-operated any such switches operated upon expi-
switch, the track shall not be fouled or ration of the authority limits to the
the switch operated. roadway worker in charge or to a des-
(d) When rolling and on-track main- ignated intermediary employee who
tenance-of-way equipment has entered shall convey the switch position to the
a track, the hand-operated switch to roadway worker in charge.
that track shall not be lined away from (d) Releasing authority limits. In non-
the track until the equipment has signaled territory, before an employee
passed the clearance point of the track. releases the limits of a main track au-
thority and a hand-operated switch is
§ 218.105 Additional operational re- used to clear the main track, and, prior
quirements for hand-operated main to departing the switch’s location, the
track switches. following conditions are required:
(a) Each railroad shall adopt and (1) The employee releasing the lim-
comply with an operating rule which its, after conducting a job briefing in
complies with the requirements of this accordance with this subpart, shall re-
section. When any person including, port to the train dispatcher that the
but not limited to, each railroad, rail- hand-operated main track switch has
road officer, supervisor, and employee been restored to its normal position
violates any requirement of an oper- and locked, unless the train dispatcher
ating rule which complies with the re- directs that the hand-operated main
quirements of this section, that person track switch be left lined and locked in
shall be considered to have violated the the reverse position and the necessary
requirements of this section. protection is provided;
(b) Designating switch position. The (2) If the report of the switch position
normal position of a hand-operated is correct, the train dispatcher shall re-
main track switch shall be designated peat the reported switch position infor-
by the railroad in writing and the mation to the employee releasing the
227
§ 218.107 49 CFR Ch. II (10–1–11 Edition)
limits and ask whether that is correct; section. When any person including,
and but not limited to, each railroad, rail-
(3) The employee releasing the limits road officer, supervisor, and employee
shall then confirm to the train dis- violates any requirement of an oper-
patcher that this information is cor- ating rule which complies with the re-
rect. quirements of this section, that person
shall be considered to have violated the
§ 218.107 Additional operational re- requirements of this section.
quirements for hand-operated (2) Each railroad shall specify min-
crossover switches. imum requirements necessary for an
(a) Each railroad shall adopt and adequate job briefing.
comply with an operating rule which (b) General. (1) The normal position of
complies with the requirements of this fixed derails is in the derailing position
section. When any person including, except as provided in part 218, subpart
but not limited to, each railroad, rail- B of this chapter, or the railroad’s op-
road officer, supervisor, and employee erating rules or special instructions.
violates any requirement of an oper- (2) Fixed derails shall be kept in the
ating rule which complies with the re- derailing position whether or not any
quirements of this section, that person rolling and on-track maintenance-of-
shall be considered to have violated the way equipment is on the tracks they
requirements of this section. protect, except as provided in para-
(b) Hand-operated crossover switches, graph (b)(1) of this section or when
generally. Both hand-operated switches changed to permit movement.
of a crossover shall be properly lined (3) Movement must not be made over
before rolling and on-track mainte- a fixed derail in the derailing position.
nance-of-way equipment begins a cross- (c) Employees operating or verifying
over movement. A crossover movement the position of a fixed derail shall:
shall be completed before either hand- (1) Conduct job briefings, before work
operated crossover switch is restored is begun, each time a work plan is
to normal position. changed, and at completion of the
(c) Correspondence of hand-operated work;
crossover switches. Hand-operated cross- (2) Be qualified on the railroad’s op-
over switches shall be left in cor- erating rules relating to the operation
responding position except when: of the derail;
(1) Used to provide blue signal protec- (3) Be individually responsible for the
tion under § 218.27 of this part; or position of the derail in use;
(2) Used for inaccessible track protec- (4) Determine that the target, if so
tion under § 214.327 of this chapter; or equipped, corresponds with the derail’s
(3) Performing maintenance, testing position;
or inspection of crossover switches in (5) Determine that the derail is se-
traffic control system (TCS) territory; cured by:
or (i) Placing the throw lever in the
(4) One crew is using both tracks con- latch stand, if so equipped;
nected by the crossover during contin- (ii) Placing the lock or hook in the
uous switching operations. hasp, if so equipped; and
(iii) Testing such latches, locks or
§ 218.109 Hand-operated fixed derails. hooks; and
(a)(1) Each railroad shall adopt and (6) Ensure that when not in use, de-
comply with an operating rule which rails are locked, hooked, or latched in
complies with the requirements of this the normal position if so equipped.

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
228
Willful viola-
(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
Subpart F—Handling Equipment, Switches and Derails:
218.95 Instruction, Training, and Examination:.
(a) Program .............................................................................................................. 9,500– 13,000–
12,500 16,000
(b) Records ............................................................................................................... 7,500 11,000
(c) Failure to timely or appropriately amend program after disapproval ................. 9,500– 13,000–
12,500 16,000
218.97 Good Faith Challenge Procedures:
(a) Employee Responsibility Failure ......................................................................... .................... 5,000
(b) through (d) Failure to adopt or implement procedures ...................................... 7,500
218.99 Shoving or Pushing Movements:
(a) Failure to implement required operating rule ..................................................... 9,500
(b) Failure to conduct job briefing, use a qualified employee, or establish proper
protection .............................................................................................................. 7,500–9,500 11,000–
13,000
(c) Failure to observe equipment direction .............................................................. 9,500 13,000
(d) Failure to properly establish point protection within a remote control zone ...... 9,500 13,000
(e) Failure to abide by operational exception requirements .................................... 9,500 13,000
218.101 Leaving Equipment in the Clear:
(b) Equipment left improperly fouling ....................................................................... 9,500 13,000
(c) Failure to implement procedures for identifying clearance points ...................... 9,500 13,000
218.103 Hand-operated switches, including crossover switches:
(b) through (d) Railroad and employee failures ....................................................... 7,500
218.105 Additional operational requirements for hand-operated main track switches:
(b) and (c) Railroad and employee failures ............................................................. 7,500 11,000
(d) Failure to properly release authority limits ......................................................... 12,500
218.107 Additional operational requirements for hand-operated crossover switches:
218.109 Hand-operated fixed derails:
(a) Failure to implement required operating rule ..................................................... 9,500 13,000
229
Willful viola-
1 Except as provided for in § 218.57, a penalty may be assessed against an individual only for a willful violation. The Adminis-
trator reserves the right to assess a penalty of up to $100,000 for any violation where the circumstances warrant. See 49 CFR
part 209, appendix A.
[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; 72 FR 51196, Sept. 6, 2007; 73 FR 8503, Feb.
13, 2008; 73 FR 79701, Dec. 30, 2008]
APPENDIX B TO PART 218—STATEMENT Example 5: Prior to the arrival of a through

OF AGENCY ENFORCEMENT POLICY ON freight train, a utility employee installs an
BLUE SIGNAL PROTECTION FOR UTIL- end-of-train device on one end of a block of
railroad cars that are scheduled to be picked
ITY EMPLOYEES
up by the freight train.
The following examples of the application Example 6: A railroad employee attaches
of the train or yard crew exclusion from re- himself to a train or yard crew while the
quired blue signal protection for utility em- crew is in the ready room preparing to take
ployees are provided to clarify FRA’s en- charge of their train. Prior to the train crew
forcement policy. In the first four examples, leaving the ready room and taking charge of
the utility employee is properly attached to the equipment, the employee couples air
and functioning as member of a train or yard hoses and other connections between the lo-
crew and is excluded from blue signal protec- comotives.
tion, provided all the conditions specified in Example 7: A railroad employee is attached
§ 218.22 are met: to a train crew after the train crew has
taken charge of the train. It is necessary for
Example 1: A utility employee assists a the employee to perform a repair on a rail
train crew by adding or reducing railroad car, such as replacing a brake shoe, in addi-
cars to or from the train. The utility em- tion to those duties normally performed by
ployee may perform any duties which would train or yard crew members.
normally be conducted by members of the Example 8: A train or yard crew, supple-
train crew, i.e., setting or releasing mented by three utility employees, has an
handbrakes, coupling air hoses and other assigned locomotive and train. The regular
connections, prepare rail cars for coupling, crew, including the engineer, has left the
and perform air brake tests. train to eat lunch. The utility employees
Example 2: A utility employee is assigned have remained with the train and are cou-
to assist a yard crew for the purpose of pling air hoses between rail cars in the train.
classifying and assembling railroad cars. The
yard crew onboard their locomotive arrives [58 FR 43293, Aug. 16, 1993]
at the location in the yard where the work is
to be performed. At that time, the utility APPENDIX C TO PART 218—STATEMENT
employee may attach himself to the yard OF AGENCY ENFORCEMENT POLICY ON
crew and commence duties as a member of TAMPERING
that yard crew.
The Rail Safety Improvement Act of 1988
Example 3: A utility employee is assigned
(Pub. L. 100–342, enacted June 22, 1988)
to inspect, test, remove and replace if nec-
(‘‘RSIA’’) raised the maximum civil pen-
essary, a combination rear end marking de-
alties available under the railroad safety
vice/end of train device on a through freight
laws and made individuals liable for willful
train. The utility employee attaches himself
violations of those laws. Section 21 of the
to the train crew after the arrival of the RSIA requires that FRA adopt regulations
train and its crew at the location where this addressing three related but distinct aspects
work is to be conducted. He may then per- of problems that can occur when safety de-
form duties as a member of that crew. vices are tampered with or disabled. It re-
Example 4: A railroad manager who prop- quires that FRA make it unlawful for (i) any
erly attaches himself as a utility employee individual to willfully tamper with or dis-
to a train or yard crew, in accordance with able a device; (ii) any individual to know-
§ 218.22, may then function as a member of ingly operate or permit to be operated a
the train or yard crew under the exclusion train with a tampered or disabled device; and
provided for train and yard crews. (iii) any railroad to operate such a train.
NOTE: In the last four examples, any rail- Because the introduction of civil penalties
road employee, including regularly assigned against individuals brings FRA’s enforce-
crew members, would need blue signal pro- ment of the rail safety laws into a new era
tection to perform the described function. and because the changes being introduced by
230
this regulation are so significant, FRA be- rence addressed by this provision is the situ-
lieves that it is advisable to set forth the ation in which a train crew encounters a lo-
manner in which it will exercise its enforce- comotive with a safety device that has been
ment authority under this regulation. tampered with prior to the crew’s assuming
responsibility for the locomotive. FRA has
SAFETY DEVICES COVERED BY THIS RULE structured this provision and its attendant
FRA has employed a functional description enforcement policy to reflect the fact that
of what constitutes a safety device under instances in which one individual encounters
this rule. FRA’s wording effectively identi- a locomotive that someone else has tam-
fies existing equipment and is sufficiently pered with are relatively infrequent occur-
expansive to cover equipment that may ap- rences.
pear in the future, particularly devices asso- FRA’s regulatory prohibition for subse-
ciated with advanced train control systems quent operator conduct reflects the legal
currently undergoing research testing. standard for individual culpability set forth
FRA has been advised by portions of the in the RSIA. Under the relevant statutory
regulated community that its functional def- standard (‘‘knowingly operates or permits to
inition has some potential for confusing peo- be operated a train on which such devices
ple who read the rule without the benefit of have been tampered with or disabled by an-
the preamble discussions concerning the other person’’)—now incorporated into
meaning of this definition. Since this rule is § 218.57—individuals could be held to a simple
specifically intended to preclude misconduct negligence standard of conduct, i.e., a stand-
ard of reasonable care under the cir-
by individuals, FRA wants this rule to be
cumstances. FRA’s conclusion about the
easily comprehended by all who read it. To
proper interpretation of the word ‘‘know-
achieve that clarity, FRA has decide to
ingly’’ stems from both normal canons of
specify which types of equipment it con-
statutory construction and analysis of
siders to be within the scope of this rule and
decisional law concerning the use of similar
provide some examples of equipment that is
statutory constructs in the civil penalty
not covered. In addition, FRA is ready and
context. It is also consistent with other De-
willing to respond in writing to any inquiry
partmental interpretations of the word as
about any other devices that a party believes
used in similar contexts. (See 49 CFR 107.299,
are treated ambiguously under this rule. defining ‘‘knowingly’’ under the Hazardous
This regulation applies to a variety of de- Materials Transportation Act, 49 App. U.S.C.
vices including equipment known as ‘‘event 1801 et seq.)
recorders,’’ ‘‘alerters,’’ ‘‘deadman controls,’’ Under that statutory language, the respon-
‘‘automatic cab signals,’’ ‘‘cab signal whis- sible members of the crew could be culpable
tles,’’ ‘‘automatic train stop equipment,’’ if either (1) due to their failure to exercise
and ‘‘automatic train control equipment.’’ reasonable care, they failed to determine
FRA does not consider the following equip- that the safety device was not functioning,
ment to be covered by this rule: Radios; or (2) having ascertained that the device was
monitors for end-of-train devices; bells or not functioning, still elected to operate the
whistles that are not connected to alerters, train. Similarly, railroad supervisors who
deadman pedals, or signal system devices; permit or direct that a train with a disabled
fans for controlling interior temperature of device be operated after having learned that
locomotive cabs; and locomotive perform- the safety device is not functioning or after
ance monitoring devices, unless they record having failed to use reasonable care in the
data such as train speed and air brake oper- performance of their duties could also be
ations. Although FRA considers such devices subject to sanction.
beyond the scope of the regulation, this does However, as a matter of enforcement pol-
not imply that FRA condones the disabling icy, application of a negligence standard in
of such devices. FRA will not hesitate to in- this particular context presently appears un-
clude such devices at a later date should in- warranted. We have seen no evidence of an
stances of tampering with these devices be employee’s negligent failure to detect an-
discovered. FRA does not currently perceive other employee’s tampering having caused a
a need to directly proscribe tampering with safety problem. FRA can effectively attack
such devices because there is no history of the known dimensions of the tampering
these devices being subjected to tampering. problem by employing an enforcement policy
that limits its enforcement actions to situa-
SUBSEQUENT OPERATORS OF TRAINS WITH
tions where individuals clearly had actual
DISABLED DEVICES
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
231
objectively that the alleged violator must I. GENERAL REQUIREMENTS AND
have known the facts based on reasonable in- CONSIDERATIONS
ferences drawn from the circumstances. For A. Although railroading is now one of the
example, it is reasonable to infer that a per- nation’s older forms of mechanized transpor-
son knows about something plainly in sight tation, equipment, components and oper-
on the locomotive he is operating. Also, un- ations all have evolved through new and im-
like the case where willfulness must be proved technologies. Installing cameras in
shown (see FRA’s statement of policy at 49 yards so that a location could be remotely
CFR part 209, appendix A), knowledge of or monitored from somewhere else has become
reckless disregard for the law need not be a railroading reality as cameras have be-
shown to make out a violation of § 218.57. The come smaller, less expensive, and have in-
knowledge relevant here is knowledge of the creased resolution. It is possible to set up
facts constituting the violation, not knowl- these cameras and monitors so that they
edge of the law. provide at least an equivalent level of safety
Should FRA receive evidence indicating to that of an employee protecting the point.
that a stricter enforcement policy is nec- Part 218, subpart F permits such an oper-
essary to address the tampering problem, it ation to substitute for an employee’s direct
visual determination where the technology
will revise its enforcement policy to permit
provides an equivalent level of protection to
enforcement actions based only on a showing
that of a direct visual determination. See
of the subsequent operator’s negligent fail- § 218.99(b)(3)(i). Of course, to provide an
ure to detect the tampering, as the relevant equivalent level of protection, an employee
provision of the RSIA permits it to do now. needs to be properly qualified (see
Any such change in enforcement policy will § 218.95(a)(2)) and the technology must work
become effective only after publication of a as intended. Most malfunctions of the tech-
revised version of this appendix. nology should be detectable, and result in
[54 FR 5492, Feb. 3, 1989. Redesignated and abandoning the use of the technology for de-
termining point protection until the mal-
amended at 58 FR 43293, Aug. 16, 1993]
function can be corrected.
B. The substitution of such technology for
APPENDIX D TO PART 218—REQUIRE- a direct visual determination is dependent
MENTS AND CONSIDERATIONS FOR IM- on many factors. Each situation will have its
PLEMENTING TECHNOLOGY AIDED own particular factual circumstances that
POINT PROTECTION shall require consideration in determining
whether an equivalent level of safety can be
INTRODUCTION achieved. For instance, with regard to the
basic camera setup, a railroad shall consider
This appendix provides further explanation whether an operator must see in color (large-
and requirements for exercising the option ly a necessity if viewing signals), the width
to provide point protection with the aid of of the angle of view, the size and location of
technology as permitted in § 218.99(b)(3)(i). the monitor, whether the technology is for
The regulation permits the visual deter- day-time use only, and whether its use
mination necessary to provide point protec- should be limited to fair weather conditions.
tion, i.e., a determination that the track is However, under all circumstances, the mon-
clear, for a shoving or pushing movement to itor shall display sufficient information to
‘‘be made with the aid of monitored cameras enable the viewer to make a determination
or other technological means, provided that that the track ahead of the shoving or push-
it and the procedures for use provide an ing move is clear pursuant to the definition
equivalent level of protection to that of a di- of ‘‘track is clear’’ in § 218.93.
rect visual determination by a crewmember C. Each railroad that chooses to imple-
or other qualified employee properly posi- ment such camera/monitor setups shall im-
tioned to make the observation as prescribed plement attendant procedures and qualify
in this section and appendix D to this part.’’ each employee who will be utilizing the tech-
This appendix addresses the general require- nology. Railroads shall ensure that any mon-
itored camera has sufficient resolution and
ments and considerations for all technology
real time coverage to provide protection
aided point protection as well as specific ad-
equal to a direct visual determination. See
ditional requirements for those operations
§ 218.99(b)(3)(i). Concerning attendant proce-
involving remote control operations at pub- dures, one such procedure may be for an em-
lic highway-rail grade crossings, private ployee viewing a monitor to communicate
highway-rail grade crossings outside the updates to the locomotive engineer or con-
physical confines of a railroad yard, pedes- trolling crewmember at appropriate inter-
trian crossings outside the physical confines vals. FRA equates the employee monitoring
of a railroad yard, and yard Access Cross- the camera to the employee controlling the
ings. movement who must not engage in any task
unrelated to the oversight of the movement;
232
Federal Railroad Administration, DOT Pt. 218, App. D
thus, each railroad utilizing such cameras terminations, additional requirements are
shall implement attendant procedures lim- necessary to address concerns specific to the
iting any of the monitoring employee’s an- use of camera/monitor setups for remote con-
cillary duties that might distract from the trol locomotive operations to protect the
employee’s ability to visually determine point at highway-rail grade crossings, pedes-
that the track is clear and provide contin- trian crossings, and yard access crossings.
uous communication to the employee con- Railroad operating rules currently permit a
trolling the movement. movement to travel over a crossing without
D. There is also the consideration of the physical presence of a crewmember if a
whether the person viewing the monitor is crossing is equipped with gates, if it can be
the locomotive engineer, remote control op- determined that the gates are in the fully
erator, other crewmember or other qualified lowered position, and if the crossing is clear
person, such as a yardmaster. If the monitor of vehicles and pedestrians. Remote control
is not being viewed by the operator who is movements at highway-rail grade crossings,
controlling the movement, then, there shall pedestrian crossings, and yard access cross-
be a clear understanding and channel of com- ings that utilize camera/monitor setups pose
munication between the operator and the a greater direct risk to members of the gen-
employee who is viewing the monitor—as the eral public than yard movements utilizing
latter would be protecting the movement. camera/monitor setups to check whether a
Providing an equivalent level of protection track is clear. In addition, such setups can
to that of a direct visual determination re- rapidly develop problems with motor vehi-
quires a thorough job briefing in which there cles and pedestrians unaccustomed to rail-
is an understanding of who is observing the road operating rules and procedures. For
movement, what is the observer’s range of these reasons, additional safeguards are nec-
vision, at what locomotive speed can the ob- essary.
servation be made and how information will B. In consideration of the dangers posed by
be conveyed to the operator/engineer, if that the use of camera/monitor setups for remote
person is not the one viewing the monitor. control locomotive operations at highway-
E. There may be occasions when a railroad rail grade crossings, pedestrian crossings,
finds it advantageous to use a non-crew- and yard access crossings, the following pro-
member, e.g., a yardmaster, to provide point cedures shall be complied with in order to es-
protection, line switches, or check the status tablish an equivalent means of safety in ac-
of a derail for a remote control crew; how- cordance with § 218.99(b)(3)(i):
ever, several potential problems may result 1. Before camera-assisted remote control
when non-crewmembers are used to carry locomotive operations are permitted at high-
out some crewmember functions. Of fore- way-rail grade crossings, pedestrian cross-
most concern is the great potential for an ings, and yard access crossings, a Crossing
error in communication or a misunder- Diagnostic Team shall evaluate the crossing.
standing between the non-crewmember and The diagnostic team shall have representa-
the crewmembers regarding the activity or tives from the railroad, FRA, the State de-
status of equipment. A yardmaster who is partment of transportation (or another State
occupied with his or her other responsibil- agency having jurisdiction over the highway-
ities might not give the task the attention it rail grade crossing, pedestrian crossing, or
deserves, or could be distracted and give an yard access crossing), and local government
incorrect answer to a question by a crew- authorities. The diagnostic team shall evalu-
member (e.g., ‘‘is the move lined?’’). The re- ate the suitability of each crossing for re-
sult could be that the task does not get com- mote camera operations. Among the factors
pleted or there is an error in task execution. it shall consider are the following: the aver-
Further, the crewmembers might not have age annual daily traffic counts; the number
any alternative way of determining that of highway lanes; highway speed limits; the
there is a problem with the point protection presence of adjacent signalized highway
provided by the non-crewmember until it is intersections; the number of railroad tracks;
too late. Consequently, to the extent they the angle of the roadway intersection; the
will be called upon to perform these duties, volume of school bus, transit bus, emergency
each railroad shall include yardmasters and vehicle, commercial motor vehicle, and haz-
other non-crewmembers in any operating ardous materials traffic over the crossing;
rule promulgated in accordance with the minimum remote control locomotive op-
§ 218.99(b)(2). erator sight distances of roadway approaches
to the crossing; and other relevant factors
II. ADDITIONAL REQUIREMENTS FOR REMOTE
that could affect the safety of the crossing.
CONTROL LOCOMOTIVE OPERATIONS AT HIGH-
The diagnostic team shall also consider the
WAY-RAIL GRADE CROSSINGS, PEDESTRIAN
appropriate number of cameras and appro-
CROSSINGS, AND YARD ACCESS CROSSINGS
priate camera angles needed to provide for
A. In addition to the general requirements the remote operation of remote control loco-
and considerations for all technology aided motives over the crossing. The diagnostic
point protection in lieu of direct visual de- team shall agree to a written diagnostic
233
evaluation summary of the factors consid- notifying the remote control locomotive op-
ered and shall provide the railroad with erator immediately if the flashing lights and
agreed upon parameters by which the cam- gates are not working as intended.
era-assisted remote control operation may 7. The railroad shall notify the Associate
continue in operation if the factors required Administrator for Safety in writing when
for suitability change; thus, any change in this type of protection has been installed and
the factors considered by the diagnostic activated at a crossing.
team outside of the acceptable parameters
shall require the railroad to receive a revised III. CONCLUSION
evaluation approval from a diagnostic team The technology used to aid point protec-
before continuing any such operation. In ad- tion will undoubtedly develop and improve
dition, any of the Federal, State, or local over time. FRA encourages the use and de-
governmental authorities may trigger re- velopment of this technology as is evidenced
view of a prior evaluation approval at any by the option in this rule to utilize such
time there is a question of the suitability of technology. Meanwhile, as a regulating body,
the operation. It is possible that, of the re- FRA cannot determine whether a new tech-
quirements listed below, requirements num- nology to aid point protection provides an
bered 2, 4, 5, and 6 would be unnecessary at equivalent level of protection to that of a di-
highway-rail grade crossings or yard access rect visual determination unless we are
crossings equipped with approved supple- made aware of the new technology. Con-
mental safety devices (see 49 CFR part 222, sequently, aside from the camera/monitor
app. A) that prevent motorists from driving setups described in this appendix, each rail-
around lowered gates; under such cir- road that intends to implement a technology
cumstances, the diagnostic team shall make used to aid point protection shall notify the
such determinations. If a Crossing Diag-
Associate Administrator for Safety in writ-
nostic Team, as described in this paragraph,
ing of the technology to be used prior to im-
evaluated a crossing for the factors described
plementation.
herein, prior to April 14, 2008, another diag-
nostic team evaluation is not required to [73 FR 8504, Feb. 13, 2008]
comply with this rule; however, the require-
ments listed below shall still apply to any
such remotely controlled movements over
PART 219—CONTROL OF ALCOHOL
that crossing. AND DRUG USE
2. Camera-assisted remote control loco-
motive operations shall only be permitted at Subpart A—General
crossings equipped with flashing lights,
gates, and constant warning time train de- Sec.
tection systems where appropriate, based on 219.1 Purpose and scope.
train speeds. 219.3 Application.
3. A crewmember or other qualified em- 219.4 Recognition of a foreign railroad’s
ployee shall not view the monitor in place of workplace testing program.
the remote control operator, as is permitted 219.5 Definitions.
for other shoving or pushing movements. See 219.7 Waivers.
§ 218.99(b)(3). For purposes of remote control 219.9 Responsibility for compliance.
locomotive operations with camera/monitor 219.11 General conditions for chemical tests.
setups to protect the point at highway-rail 219.13 Preemptive effect.
grade crossings, pedestrian crossings, and 219.15 [Reserved]
yard access crossings, the remote control op- 219.17 Construction.
erator controlling the movement shall view 219.19 [Reserved]
219.21 Information collection.
the monitor during such operations.
219.23 Railroad policies.
4. The cameras shall be arranged to give
the remote control locomotive operator con-
trolling the movement a view of the rail ap-
Subpart B—Prohibitions
proaches to the crossing from each direction 219.101 Alcohol and drug use prohibited.
so that the operator can accurately judge 219.102 Prohibition on abuse of controlled
the end of the movement’s proximity to the substances.
crossing. 219.103 Prescribed and over-the-counter
5. The cameras shall be arranged to give drugs.
the remote control locomotive operator a 219.104 Responsive action.
clear view to determine the speed and driver 219.105 Railroad’s duty to prevent viola-
behavior (e.g., driving erratically) of any ap- tions.
proaching motor vehicles. 219.107 Consequences of unlawful refusal.
6. Either the camera resolution shall be
sufficient to determine whether the flashing Subpart C—Post-Accident Toxicological
lights and gates are working as intended or Testing
the crossing shall be equipped with a remote
health monitoring system that is capable of 219.201 Events for which testing is required.
234
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-
219.401 Requirement for policies.
road operations that result from im-
219.403 Voluntary referral policy. pairment of employees by alcohol or
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
219.501 Pre-employment drug testing. not restrict a railroad from adopting
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
of random drug testing rate.
(1) Railroads that operate rolling
219.603 Participation in drug testing. equipment on standard gage track
219.605 Positive drug test results; proce- which is part of the general railroad
dures. system of transportation; and
219.607 Railroad random alcohol testing pro- (2) Railroads that provide commuter
grams. or other short-haul rail passenger serv-
219.608 FRA Administrator’s determination
of random alcohol testing rate.
ice in a metropolitan or suburban area
219.609 Participation in alcohol testing. (as described by 49 U.S.C. 20102) in the
219.611 Test result indicating prohibited al- United States.
cohol concentration; procedures. (b) Exceptions available to both domes-
tic and foreign railroads. (1) This part
Subpart H—Drug and Alcohol Testing does not apply to a railroad that oper-
Procedures ates only on track inside an installa-
219.701 Standards for drug and alcohol test- tion which is not part of the general
ing. railroad system of transportation.
(2) Subparts D, E, F and G of this
Subpart I—Annual Report part do not apply to a railroad that—
219.800 Annual reports. (i) Has a total of 15 or fewer employ-
219.801–219.803 [Reserved] ees who are covered by the hours of
service laws at 49 U.S.C. 21103, 21104, or
Subpart J—Recordkeeping Requirements 21105, or who would be subject to the
219.901 Retention of alcohol testing records. hours of service laws at 49 U.S.C. 21103,
219.903 Retention of drug testing records. 21104, or 21105 if their services were per-
219.905 Access to facilities and records. formed in the United States; and
APPENDIX A TO PART 219—SCHEDULE OF CIVIL (ii) Does not operate on the tracks in
PENALTIES the United States of another railroad
235
§ 219.4 49 CFR Ch. II (10–1–11 Edition)
(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 (a) General. A foreign railroad may
only while in the United States but petition the FRA Associate Adminis-
also while outside the United States. trator for Safety for recognition of a
For purposes of this paragraph, the workplace testing program promul-
term ‘‘employees of the railroad’’ in- gated under the laws of its home coun-
cludes individuals who perform service try as a compatible alternative to the
for the railroad, including not only in- return-to-service requirements in sub-
dividuals who receive direct monetary part B of this part and the require-
compensation from the railroad for ments of subparts E, F, and G of this
performing a service for the railroad, part with respect to its employees
but also such individuals as employees whose primary reporting point is out-
of a contractor to the railroad who per- side the United States but who enter
form a service for the railroad. the United States to perform train or
(c) Exceptions available to foreign rail- dispatching service and with respect to
roads only. (1) Subparts E, F and G of its final applicants for, or its employ-
this part do not apply to train or dis- ees seeking to transfer for the first
patching service in the United States time to, duties involving such service.
performed by an employee of a foreign (1) To be so considered, the petition
railroad whose primary reporting point must document that the foreign rail-
is outside the United States, on that road’s workplace testing program con-
portion of a rail line in the United tains equivalents to subparts B, E, F,
States extending up to10 route miles and G of this part:
from the point that the line crosses (i) Pre-employment drug testing;
into the United States from Canada or (ii) A policy dealing with co-worker
Mexico. and self-reporting of alcohol and drug
(2) Unless otherwise provided by abuse problems;
paragraph (b) of this section, subparts (iii) Random drug and alcohol test-
A, B, C, D, H, I, and J of this part apply ing;
to signal service in the United States (iv) Return-to-duty testing; and
of a foreign railroad performed by an (v) Testing procedures and safeguards
employee of the foreign railroad if the reasonably comparable in effectiveness
employee’s primary place of reporting to all applicable provisions of the
is located outside the United States. United States Department of Transpor-
Subparts E, F, and G of this part do not tation Procedures for Workplace Drug
apply to signal service in the United and Alcohol Testing Programs (part 40
States of a foreign railroad performed of this title).
by an employee of the foreign railroad (2) In approving a program under this
if the employee’s primary place of re- section, the FRA Associate Adminis-
porting is located outside the United trator for Safety may impose condi-
States. tions deemed necessary.
(3) Unless otherwise excepted under (b) Alternative programs. (1) Upon
paragraph (c)(1) of this section, on and FRA’s recognition of a foreign rail-
after June 11, 2004, a foreign railroad road’s workplace testing program as
shall conduct a pre-employment drug compatible with the return-to-service
test on each of its final applicants for, requirements in subpart B and the re-
and each of its employees seeking to quirements of subparts E, F, and G of
transfer for the first time to, duties in- this part, the foreign railroad must
volving train or dispatching service in comply with either the enumerated
the United States while having his or provisions of part 219 or with the stand-
her primary reporting point outside of ards of the recognized program, and
the United States. The test shall be any imposed conditions, with respect
236
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) Federal eRulemaking Portal: http://
ees seeking to transfer for the first www.regulations.gov. Follow the in-
time to, duties involving such train or structions for submitting comments on
dispatching service in the United the Federal Docket Management Sys-
States, comply with either subpart E of tem electronic docket site.
this part or the standards of the recog- (ii) Fax. 1–202–493–2251.
nized program. (iii) Mail. U.S. Department of Trans-
(2) The foreign railroad must comply portation, Docket Operations (M–30),
with subparts A, B (other than the re- West Building Ground Floor, Room
turn-to-service provisions in W12–140, 1200 New Jersey Avenue, SE.,
§ 219.104(d)), C, reasonable suspicion Washington, DC 20590–0001.
testing in subpart D, and subparts I (iv) Hand delivery. Room W12–140 on
and J. Drug or alcohol testing required the ground floor of the West Building,
by these subparts must be conducted in 1200 New Jersey Avenue, SE., Wash-
compliance with all applicable provi- ington, DC, between 9 a.m. and 5 p.m.,
sions of the United States Department Monday through Friday, except Fed-
of Transportation Procedures for eral Holidays.
Workplace Drug and Alcohol Testing (3) The commenter shall certify that
Programs (part 40 of this title). a copy of the comment was served on
(c) Petitions for recognition of a foreign the petitioner. Note that all petitions
railroad’s workplace testing programs. received will be posted without change
Each petition for recognition of a for- to http://www.regulations.gov including
eign workplace testing program shall any personal information provided.
contain: (f) Disposition of petitions. (1) If FRA
(1) The name, title, address, and tele- finds that the petition complies with
phone number of the primary person to the requirements of this section and
be contacted with regard to review of that the foreign railroad’s workplace
the petition; testing program is compatible with the
(2) The requirements of the foreign minimum standards of this part, the
railroad workplace testing program to petition will be granted, normally
be considered for recognition; within 90 days of its receipt. If the peti-
(3) Appropriate data or records, or tion is neither granted nor denied with-
both, for FRA to consider in deter- in 90 days, the petition remains pend-
mining whether the foreign railroad ing for decision. FRA may attach spe-
workplace testing program is equiva- cial conditions to the approval of any
lent to the minimum standards con- petition. Following the approval of a
tained in this part and provides at petition, FRA may reopen consider-
least an equivalent level of safety. ation of the petition for cause.
(d) FEDERAL REGISTER notice. FRA (2) If FRA finds that the petition
will publish a notice in the FEDERAL does not comply with the requirements
REGISTER concerning each petition of this section or that the foreign rail-
under paragraph (c) of this section that road’s workplace testing program is
it receives. not compatible with the minimum
(e) Comment. Not later than 30 days standards of this part, the petition will
from the date of publication of the no- be denied, normally within 90 days of
tice in the FEDERAL REGISTER con- its receipt.
cerning a petition under paragraph (c) (3) When FRA grants or denies a peti-
of this section, any person may com- tion, or reopens consideration of the
ment on the petition. petition, written notice is sent to the
(1) A comment shall set forth specifi- petitioner and other interested parties.
cally the basis upon which it is made, (g) Program recognition. If its program
and contain a concise statement of the has been recognized, the foreign rail-
interest of the commenter in the pro- road shall maintain a letter on file in-
ceeding. dicating that it has elected to extend
237
§ 219.5 49 CFR Ch. II (10–1–11 Edition)
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 proposes of pre-employment testing only,
gram retains these elements and the the term ‘‘covered employee’’ includes
foreign railroad complies with the pro- a person applying to perform covered
gram requirements. service in the United States.
[69 FR 19286, Apr. 12, 2004, as amended at 74 Covered service means service in the
FR 25172, 25173, May 27, 2009] United States that is subject to the
hours of service laws at 49 U.S.C. 21103,
§ 219.5 Definitions. 21104, or 21105, but does not include any
As used in this part— period the employee is relieved of all
Accident or incident reportable under responsibilities and is free to come and
part 225 does not include a case that is go without restriction.
classified as ‘‘covered data’’ under Co-worker means another employee of
§ 225.5 of this chapter (i.e., employee in- the railroad, including a working su-
jury/illness cases reportable exclu- pervisor directly associated with a
sively because a physician or other li- yard or train crew, such as a conductor
censed health care professional either or yard foreman, but not including any
made a one-time topical application of other railroad supervisor, special
a prescription-strength medication to agent, or officer.
the employee’s injury or made a writ- Cross-border operation means a rail
ten recommendation that the em- operation that crosses into the United
ployee: Take one or more days away States from Canada or Mexico.
from work when the employee instead Domestic railroad means a railroad
reports to work (or would have re- that is incorporated in the United
ported had he or she been scheduled) States.
and takes no days away from work in DOT Agency means an agency (or
connection with the injury or illness; ‘‘operating administration’’) of the
work restricted duty for one or more United States Department of Transpor-
days when the employee instead works tation administering regulations re-
unrestricted (or would have worked un- quiring alcohol or controlled substance
restricted had he or she been sched- testing (14 CFR parts 61, 63, 65, 121 and
uled) and takes no other days of re- 135; 49 CFR parts 199, 219, 382 and 655) in
stricted work activity in connection accordance with part 40 of this title.
with the injury or illness; or take over- Drug means any substance (other
the-counter medication at a dosage than alcohol) that has known mind- or
equal to or greater than the minimum function-altering effects on a human
prescription strength, whether or not subject, specifically including any
the employee actually takes the medi- psychoactive substance and including,
cation). but not limited to, controlled sub-
Class I, Class II, and Class III have the stances.
meaning assigned by regulations of the Foreign railroad means a railroad that
Surface Transportation Board (49 CFR is incorporated outside the United
part 1201; General Instructions 1–1). States.
Controlled substance has the meaning FRA means the Federal Railroad Ad-
assigned by 21 U.S.C. 802, and includes ministration, United States Depart-
all substances listed on Schedules I ment of Transportation.
through V as they may be revised from FRA representative means the Asso-
time to time (21 CFR parts 1301–1316). ciate Administrator for Safety of FRA,
Covered employee means a person who the Associate Administrator’s delegate
has been assigned to perform service in (including a qualified State inspector
the United States subject to the hours acting under part 212 of this chapter),
of service laws (49 U.S.C. ch. 211) during the Chief Counsel of FRA, or the Chief
a duty tour, whether or not the person Counsel’s delegate.
has performed or is currently per- General railroad system of transpor-
forming such service, and any person tation means the general railroad sys-
who performs such service. (An em- tem of transportation in the United
ployee is not ‘‘covered’’ within the States.
238
Hazardous material means a com- Positive rate for random drug testing
modity designated as a hazardous ma- means the number of verified positive
terial by part 172 of this title. results for random drug tests con-
Impact accident means a train acci- ducted under this part plus the number
dent (i.e., a rail equipment accident in- of refusals of random drug tests re-
volving damage in excess of the current quired by this part, divided by the
reporting threshold (see § 225.19(e) of total number of random drug tests re-
this chapter)) consisting of a head-on sults (i.e., positives, negatives, and re-
collision, a rear-end collision, a side fusals) under this part.
collision (including a collision at a Possess means to have on one’s person
railroad crossing at grade), a switching or in one’s personal effects or under
collision, or impact with a delib- one’s control. However, the concept of
erately-placed obstruction such as a possession as used in this part does not
bumping post. The following are not include control by virtue of presence in
impact accidents: the employee’s personal residence or
(1) An accident in which the derail- other similar location off of railroad
ment of equipment causes an impact property.
with other rail equipment; Railroad means any form of non-
(2) Impact of rail equipment with ob- highway ground transportation that
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
or employee of the railroad. The fact areas, without regard to whether those
that the railroad pays for services ren- systems use new technologies not asso-
dered by a medical facility or labora- ciated with traditional railroads; but
tory, selects that entity for performing does not include rapid transit oper-
tests under this part, or has a standing ations in an urban area that are not
contractual relationship with that en- connected to the general railroad sys-
tity to perform tests under this part or tem of transportation.
perform other medical examinations or Railroad property damage or damage to
tests of railroad employees does not, by railroad property refers to damage to
itself, remove the facility from this railroad property, including railroad
definition. on-track equipment, signals, track,
Medical facility means a hospital, track structures (including bridges and
clinic, physician’s office, or laboratory tunnels), or roadbed, including labor
where toxicological specimens can be costs and all other costs for repair or
collected according to recognized pro- replacement in kind. Estimated cost
fessional standards. for replacement of railroad property
Medical practitioner means a physi- must be calculated as described in the
cian or dentist licensed or otherwise FRA Guide for Preparing Accident/In-
authorized to practice by the state. cident Reports. (See § 225.21 of this
NTSB means the National Transpor- chapter.) However, replacement of pas-
tation Safety Board. senger equipment is calculated based
Passenger train means a train trans- on the cost of acquiring a new unit for
porting persons (other than employees, comparable service.
contractors, or persons riding equip- Reportable injury means an injury re-
ment to observe or monitor railroad portable under part 225 of this chapter
operations) in intercity passenger serv- except for an injury that is classified
ice, commuter or other short-haul serv- as ‘‘covered data’’ under § 225.5 of this
ice, or for excursion or recreational chapter (i.e., employee injury/illness
purposes. cases reportable exclusively because a
239
§ 219.7 49 CFR Ch. II (10–1–11 Edition)
physician or other licensed health care random alcohol confirmation test re-
professional either made a one-time sults conducted under this part plus
topical application of a prescription- the number of refusals of random alco-
strength medication to the employee’s hol tests required by this part, divided
injury or made a written recommenda- 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 [66 FR 41973, Aug. 9, 2001, as amended at 68
would have reported had he or she been FR 10135, Mar. 3, 2003; 68 FR 75463, Dec. 31,
scheduled) and takes no days away 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 this that waiver of compliance is in the
chapter. public interest and is consistent with
State means a State of the United railroad safety, the Administrator may
States of America or the District of Co- grant the waiver subject to any nec-
lumbia. essary conditions.
Supervisory employee means an officer, (d) Special dispensation for employees
special agent, or other employee of the performing train or dispatching service on
railroad who is not a co-worker and existing cross-border operations. If a for-
who is responsible for supervising or eign railroad requests a waiver not
monitoring the conduct or performance later than August 10, 2004, for an exist-
of one or more employees. ing cross-border operation, subparts E,
Train, except as context requires, F, and G of this part shall not apply to
means a locomotive, or more than one train or dispatching service on that op-
locomotive coupled, with or without eration in the United States performed
cars. (A locomotive is a self-propelled by an employee of a foreign railroad
unit of equipment which can be used in whose primary reporting point is out-
train service.) side the United States, until the rail-
Train accident means a passenger, road’s waiver request is acted upon by
freight, or work train accident de- FRA.
scribed in § 225.19(c) of this chapter (a (e) Waiver requests for employees per-
‘‘rail equipment accident’’ involving forming train or dispatching service on
damage in excess of the current report- new or expanded cross-border operations.
ing threshold), including an accident A foreign railroad seeking a waiver
involving a switching movement. from subparts E, F, and G of this part
Train incident means an event involv- for its employees performing train or
ing the movement of railroad on-track dispatching service on a new cross-bor-
equipment that results in a casualty der operation that proceeds more than
but in which railroad property damage 10 route miles into the United States,
does not exceed the reporting thresh- or a formerly excepted cross-border op-
old. eration that expands beyond the 10
United States means all of the States. mile limited haul exception in para-
Violation rate for random alcohol test- graph (d) of this section, must file a pe-
ing means the number of 0.04 and above tition not later than 90 days before
240
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
violation of any such requirement is part, with respect to its employees who
subject to a civil penalty of at least perform covered service. The entity’s
$650 and not more than $25,000 per vio- responsibility for compliance with this
lation, except that: Penalties may be part may be fulfilled either directly by
assessed against individuals only for that entity or by the railroad’s treat-
willful violations; where a grossly neg- ing the entity’s employees who perform
ligent violation or a pattern of recovered service as if they were its own
peated violations has created an immi- employees for purposes of this part.
nent hazard of death or injury, or has The responsibility for compliance must
caused death or injury, a penalty not be clearly spelled out in the contract
to exceed $100,000 per violation may be between the railroad and the other en-
assessed; and the standard of liability tity or in another document. In the ab-
for a railroad will vary depending upon sence of such a clear delineation of re-
the requirement involved. See, e.g., sponsibility, FRA will hold the railroad
§ 219.105, which must be construed to and the other entity jointly and sever-
qualify the responsibility of a railroad ally liable for compliance.
for the unauthorized conduct of an em- [66 FR 41973, Aug. 9, 2001, as amended at 69
ployee that violates § 219.101 or § 219.102 FR 30593, May 28, 2004; 72 FR 51196, Sept. 6,
(while imposing a duty of due diligence 2007; 73 FR 79701, Dec. 30, 2008]
to prevent such conduct). Each day a
violation continues constitutes a sepa- § 219.11 General conditions for chem-
rate offense. See appendix A to this ical tests.
part for a statement of agency civil (a) Any employee who performs cov-
penalty policy. ered service for a railroad is deemed to
(b)(1) In the case of joint operations, have consented to testing as required
primary responsibility for compliance in subparts B, C, D, and G of this part;
with this part with respect to deter- and consent is implied by performance
mination of events qualifying for of such service.
breath or body fluid testing under sub- (b)(1) Each such employee must par-
parts C and D of this part rests with ticipate in such testing, as required
the host railroad, and all affected em- under the conditions set forth in this
241
§ 219.11 49 CFR Ch. II (10–1–11 Edition)
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
(1) The remaining portion of any to have consented to removal of body
body fluid specimen taken by the treat- fluid and/or tissue specimens necessary
ing facility within 12 hours of the acci- for toxicological analysis from the re-
dent or incident that is not required mains of such employee, if such em-
for medical purposes, together with ployee dies within 12 hours of an acci-
any normal medical facility record(s) dent or incident described in subpart C
pertaining to the taking of such speci- of this part as a result of such event.
men; This consent is specifically required of
(2) The results of any laboratory employees not in covered service, as
tests for alcohol or any drug conducted well as employees in covered service.
by or for the treating facility on such (g) Each supervisor responsible for
specimen; covered employees (except a working
(3) The identity, dosage, and time of supervisor within the definition of co-
administration of any drugs adminis- worker under this part) must be
tered by the treating facility prior to trained in the signs and symptoms of
the time specimens were taken by the alcohol and drug influence, intoxica-
treating facility or prior to the time tion and misuse consistent with a pro-
specimens were taken in compliance gram of instruction to be made avail-
with this part; and able for inspection upon demand by
(4) The results of any breath tests for FRA. Such a program shall, at a min-
alcohol conducted by or for the treat- imum, provide information concerning
ing facility. the acute behavioral and apparent
(d) An employee required to partici- physiological effects of alcohol and the
pate in body fluid testing under sub- major drug groups on the controlled
part C of this part (post-accident toxi- substances list. The program must also
cological testing) or testing subject to provide training on the qualifying cri-
subpart H of this part shall, if re- teria for post-accident testing con-
quested by the representative of the tained in subpart C of this part, and
railroad or the medical facility (includ- the role of the supervisor in post-acci-
ing, under subpart H of this part, a dent collections described in subpart C
non-medical contract collector), evi- and appendix C of this part. The dura-
dence consent to taking of specimens, tion of such training may not be less
their release for toxicological analysis than 3 hours.
under pertinent provisions of this part, (h) Nothing in this subpart restricts
and release of the test results to the any discretion available to the railroad
railroad’s Medical Review Officer by to request or require that an employee
242
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
with the requirements of this part. (a) Whenever a breath or body fluid
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
§ 219.13 Preemptive effect. the employee that the test is being re-
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
standard covering the same subject (b) Whenever a breath or body fluid
matter, except a provision directed at a test is required of an employee under
local hazard that is consistent with this part, the railroad must provide
this part and that does not impose an clear, unequivocal written notice of the
undue burden on interstate commerce. basis or bases upon which the test is
(b) FRA does not intend by issuance required (e.g., reasonable suspicion,
of the regulations in this part to pre- violation of a specified operating/safety
empt provisions of State criminal law rule enumerated in subpart D of this
that impose sanctions for reckless con- part, random selection, follow-up, etc.).
duct that leads to actual loss of life, in- Completion of the DOT alcohol or drug
jury or damage to property, whether testing form indicating the basis of the
such provisions apply specifically to test (prior to providing a copy to the
railroad employees or generally to the employee) satisfies the requirement of
public at large. this paragraph (b). Use of the DOT
form for non-Federal tests is prohib-
§ 219.15 [Reserved] ited.
§ 219.17 Construction. (c) Use of approved forms for manda-
tory post-accident toxicological test-
Nothing in this part— ing under subpart C of this part pro-
(a) Restricts the power of FRA to vides the notifications required under
conduct investigations under sections this section with respect to such tests.
20107, 20108, 20111, and 20112 of title 49, Use of those forms for any other test is
United States Code; or prohibited.
(b) Creates a private right of action
(d) Each railroad must provide edu-
on the part of any person for enforce-
cational materials that explain the re-
ment of the provisions of this part or
for damages resulting from noncompli- quirements of this part, and the rail-
ance with this part. road’s policies and procedures with re-
spect to meeting those requirements.
§ 219.19 [Reserved] (1) The railroad must ensure that a
copy of these materials is distributed
§ 219.21 Information collection. to each covered employee prior to the
(a) The information collection restart of alcohol testing under the rail-
quirements of this part have been re- road’s alcohol misuse prevention pro-
viewed by the Office of Management gram and to each person subsequently
and Budget pursuant to the Paperwork hired for or transferred to a covered po-
Reduction Act of 1980 (44 U.S.C. 3501 et sition.
243
§ 219.101 49 CFR Ch. II (10–1–11 Edition)
(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.
include detailed discussion of at least (12) Information concerning the ef-
the following: fects of alcohol misuse on an individ-
(1) The identity of the person des- ual’s health, work, and personal life;
ignated by the railroad to answer em- signs and symptoms of an alcohol prob-
ployee questions about the materials. lem (the employee’s or a coworker’s);
(2) The classes or crafts of employees and available methods of evaluating
who are subject to the provisions of and resolving problems associated with
this part. the misuse of alcohol, including utili-
(3) Sufficient information about the zation of the procedures set forth in
safety-sensitive functions performed by subpart E of this part and the names,
those employees to make clear that the addresses, and telephone numbers of
period of the work day the covered em- substance abuse professionals and
ployee is required to be in compliance counseling and treatment programs.
(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
(4) Specific information concerning
any consequences for an employee
employee conduct that is prohibited
found to have a specific alcohol con-
under subpart B of this part.
centration, that are based on the rail-
(5) In the case of a railroad utilizing road’s authority independent of this
the accident/incident and rule viola- part. Any such additional policies or
tion reasonable cause testing authority consequences must be clearly and obvi-
provided by this part, prior notice ously described as being based on inde-
(which may be combined with the no- pendent authority.
tice required by §§ 219.601(d)(1) and
219.607(d)(1)), to covered employees of
the circumstances under which they Subpart B—Prohibitions
will be subject to testing. § 219.101 Alcohol and drug use prohib-
(6) The circumstances under which a ited.
covered employee will be tested under (a) Prohibitions. Except as provided in
this part. § 219.103—
(7) The procedures that will be used (1) No employee may use or possess
to test for the presence of alcohol and alcohol or any controlled substance
controlled substances, protect the em- while assigned by a railroad to perform
ployee and the integrity of the testing covered service.
processes, safeguard the validity of the (2) No employee may report for cov-
test results, and ensure that those re- ered service, or go or remain on duty in
sults are attributed to the correct em- covered service while—
ployee. (i) Under the influence of or impaired
(8) The requirement that a covered by alcohol;
employee submit to alcohol and drug (ii) Having .04 or more alcohol con-
tests administered in accordance with centration in the breath or blood; or
this part. (iii) Under the influence of or im-
(9) An explanation of what con- paired by any controlled substance.
stitutes a refusal to submit to an alco- (3) No employee may use alcohol for
hol or drug test and the attendant con- whichever is the lesser of the following
sequences. periods:
(10) The consequences for covered (i) Within four hours of reporting for
employees found to have violated Sub- covered service; or
part B of this part, including the re- (ii) After receiving notice to report
quirement that the employee be re- for covered service.
244
(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-
counter drugs.
lowing administration of the test.
(5) If an employee tested under the (a) This subpart does not prohibit the
provisions of this part has a test result use of a controlled substance (on
indicating an alcohol concentration Schedules II through V of the con-
below 0.02, the test must be considered trolled substance list) prescribed or au-
negative and is not evidence of alcohol thorized by a medical practitioner, or
misuse. A railroad may not use a fed- possession incident to such use, if—
eral test result below 0.02 either as evi- (1) The treating medical practitioner
dence in a company proceeding or as a or a physician designated by the rail-
basis for subsequent testing under com- road has made a good faith judgment,
pany authority. A railroad may take with notice of the employee’s assigned
further action to compel cooperation in duties and on the basis of the available
other breath or body fluid testing only medical history, that use of the sub-
stance by the employee at the pre-
if it has an independent basis for doing
scribed or authorized dosage level is
so.
consistent with the safe performance of
(b) Controlled substance. ‘‘Controlled
the employee’s duties;
substance’’ is defined by § 219.5. Con- (2) The substance is used at the dos-
trolled substances are grouped as fol- age prescribed or authorized; and
lows: marijuana, narcotics (such as (3) In the event the employee is being
heroin and codeine), stimulants (such treated by more than one medical prac-
as cocaine and amphetamines), depres- titioner, at least one treating medical
sants (such as barbiturates and minor practitioner has been informed of all
tranquilizers), and hallucinogens (such medications authorized or prescribed
as the drugs known as PCP and LSD). and has determined that use of the
Controlled substances include illicit medications is consistent with the safe
drugs (Schedule I), drugs that are re- performance of the employee’s duties
quired to be distributed only by a med- (and the employee has observed any re-
ical practitioner’s prescription or other strictions imposed with respect to use
authorization (Schedules II through IV, of the medications in combination).
and some drugs on Schedule V), and (b) This subpart does not restrict any
certain preparations for which dis- discretion available to the railroad to
tribution is through documented over require that employees notify the rail-
the counter sales (Schedule V only). road of therapeutic drug use or obtain
(c) Railroad rules. Nothing in this sec- prior approval for such use.
tion restricts a railroad from imposing
an absolute prohibition on the presence § 219.104 Responsive action.
of alcohol or any drug in the body (a) Removal from covered service. (1) If
fluids of persons in its employ, whether the railroad determines that an em-
in furtherance of the purpose of this ployee has violated § 219.101 or § 219.102,
part or for other purposes. or the alcohol or controlled substances
(d) Construction. This section may not misuse rule of another DOT agency,
be construed to prohibit the presence the railroad must immediately remove
of an unopened container of an alco- the employee from covered service and
holic beverage in a private motor vehi- the procedures described in paragraphs
cle that is not subject to use in the (b) through (e) of this section apply.
business of the railroad; nor may it be (2) If an employee refuses to provide
construed to restrict a railroad from breath or a body fluid specimen or
245
§ 219.105 49 CFR Ch. II (10–1–11 Edition)
specimens when required to by the rail- adjustment of disputes under sec. 3 of

road under a mandatory provision of the Railway Labor Act (49 U.S.C. 153),
this part, the railroad must imme- satisfies the procedural requirements
diately remove the employee from cov- of this paragraph (c).
ered service, and the procedures de- (4) Nothing in this part may be
scribed in paragraphs (b) through (e) of deemed to abridge any additional pro-
this section apply. cedural rights or remedies not incon-
(3)(i) This section does not apply to sistent with this part that are avail-
actions based on breath or body fluid able to the employee under a collective
tests for alcohol or drugs that are con- bargaining agreement, the Railway
ducted exclusively under authority Labor Act, or (with respect to employ-
other than that provided in this part ment at will) at common law with re-
(e.g., testing under a company medical spect to the removal or other adverse
policy, for-cause testing policy wholly action taken as a consequence of a
independent of subpart D of this part, positive test result in a test authorized
or testing under a labor agreement). or required by this part.
(ii) This section and the information (5) Nothing in this part restricts the
requirements listed in § 219.23 do not discretion of the railroad to treat an
apply to applicants who refuse to sub- employee’s denial of prohibited alcohol
mit to a pre-employment test or who or drug use as a waiver of any privilege
have a pre-employment test with a re- the employee would otherwise enjoy to
sult indicating the misuse of alcohol or have such prohibited alcohol or drug
controlled substances. use treated as a non-disciplinary mat-
(b) Notice. Prior to or upon with- ter or to have discipline held in abey-
drawing the employee from covered ance.
service under this section, the railroad (d) The railroad must comply with
must provide notice to the employee of the return-to-service and follow-up
the reason for this action. testing requirements, and the Sub-
(c) Hearing procedures. (1) If the em- stance Abuse Professional conflict-of-
ployee denies that the test result is interest prohibitions, contained in
valid evidence of alcohol or drug use §§ 40.305, 40.307, and 40.299 of this title,
prohibited by this subpart, the em- respectively.
ployee may demand and must be pro-
vided an opportunity for a prompt § 219.105 Railroad’s duty to prevent
post-suspension hearing before a pre- violations.
siding officer other than the charging (a) A railroad may not, with actual
official. This hearing may be consoli- knowledge, permit an employee to go
dated with any disciplinary hearing or remain on duty in covered service in
arising from the same accident or inci- violation of the prohibitions of § 219.101
dent (or conduct directly related there- or § 219.102. As used in this section, the
to), but the presiding officer must knowledge imputed to the railroad
make separate findings as to compli- must be limited to that of a railroad
ance with §§ 219.101 and 219.102. management employee (such as a su-
(2) The hearing must be convened pervisor deemed an ‘‘officer,’’ whether
within the period specified in the appli- or not such person is a corporate offi-
cable collective bargaining agreement. cer) or a supervisory employee in the
In the absence of an agreement provi- offending employee’s chain of com-
sion, the employee may demand that mand.
the hearing be convened within 10 cal- (b) A railroad must exercise due dili-
endar days of the suspension or, in the gence to assure compliance with
case of an employee who is unavailable §§ 219.101 and 219.102 by each covered
due to injury, illness, or other suffi- employee.
cient cause, within 10 days of the date
the employee becomes available for § 219.107 Consequences of unlawful re-
hearing. fusal.
(3) A post-suspension proceeding con- (a) An employee who refuses to pro-
forming to the requirements of an ap- vide breath or a body fluid specimen or
plicable collective bargaining agree- specimens when required to by the rail-
ment, together with the provisions for road under a mandatory provision of
246
this part must be deemed disqualified current reporting threshold, resulting

for a period of nine (9) months. in—
(b) Prior to or upon withdrawing the (i) A reportable injury; or
employee from covered service under (ii) Damage to railroad property of
this section, the railroad must provide $150,000 or more.
notice of the reason for this action, and (3) Fatal train incident. Any train in-
the procedures described in § 219.104(c) cident that involves a fatality to any
apply. on-duty railroad employee.
(c) The disqualification required by
(4) Passenger train accident. Report-
this section applies with respect to em-
able injury to any person in a train ac-
ployment in covered service by any
cident (i.e., a rail equipment accident
railroad with notice of such disquali-
involving damage in excess of the cur-
fication.
rent reporting threshold) involving a
(d) The requirement of disqualifica-
passenger train.
tion for nine (9) months does not limit
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
the same conditions specified in and severity of which are wholly at-
§ 219.104(d), and the employee must be tributable to a natural cause (e.g.,
subject to follow-up tests, as provided flood, tornado, or other natural dis-
by that section. aster) or to vandalism or trespasser(s),
as determined on the basis of objective
Subpart C—Post-Accident and documented facts by the railroad
representative responding to the scene.
Toxicological Testing
(c) Good faith determinations. (1)(i)
§ 219.201 Events for which testing is The railroad representative responding
required. to the scene of the accident/incident
(a) List of events. Except as provided must determine whether the accident/
in paragraph (b) of this section, post- incident falls within the requirements
accident toxicological tests must be of paragraph (a) of this section or is
conducted after any event that in- within the exception described in para-
volves one or more of the cir- graph (b) of this section. It is the duty
cumstances described in paragraphs of the railroad representative to make
(a)(1) through (4) of this section: reasonable inquiry into the facts as
(1) Major train accident. Any train ac- necessary to make such determina-
cident (i.e., a rail equipment accident tions. In making such inquiry, the rail-
involving damage in excess of the cur- road representative must consider the
rent reporting threshold) that involves need to obtain specimens as soon as
one or more of the following: practical in order to determine the
(i) A fatality; presence or absence of impairing sub-
(ii) A release of hazardous material stances reasonably contemporaneous
lading from railroad equipment accom- with the accident/incident. The rail-
panied by— road representative satisfies the re-
(A) An evacuation; or quirement of this section if, after mak-
(B) A reportable injury resulting ing reasonable inquiry, the representa-
from the hazardous material release tive exercises good faith judgement in
(e.g., from fire, explosion, inhalation, making the required determinations.
or skin contact with the material); or (ii) The railroad representative mak-
(iii) Damage to railroad property of ing the determinations required by this
$1,000,000 or more. section may not be a person directly
(2) Impact accident. An impact acci- involved in the accident/incident. This
dent (i.e., a rail equipment accident de- section does not prohibit consultation
fined as an ‘‘impact accident’’ in § 219.5) between the responding railroad rep-
that involves damage in excess of the resentative and higher level railroad
247
§ 219.203 49 CFR Ch. II (10–1–11 Edition)
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.
(iv) Any estimates of railroad prop-
erty damage made by persons not at § 219.203 Responsibilities of railroads
the scene must be based on descrip- and employees.
tions of specific physical damage pro- (a) Employees tested. (1)(i) Following
vided by the on-scene railroad rep- each accident and incident described in
resentative. § 219.201, the railroad (or railroads)
(v) In the case of an accident involv- must take all practicable steps to as-
ing passenger equipment, a host rail- sure that all covered employees of the
road may rely upon the damage esti- railroad directly involved in the acci-
mates provided by the passenger rail- dent or incident provide blood and
road (whether present on scene or not) urine specimens for toxicological test-
in making the decision whether testing ing by FRA. Such employees must co-
is required, subject to the same re- operate in the provision of specimens
quirement that visible physical dam- as described in this part and Appendix
age be specifically described. C to this part.
(2) A railroad must not require an (ii) If the conditions for mandatory
employee to provide blood or urine toxicological testing exist, the railroad
specimens under the authority or pro- may also require employees to provide
cedures of this subject unless the rail- breath for testing in accordance with
road has made the determinations re- the procedures set forth in part 40 of
quired by this section, based upon rea- this title and in this part, if such test-
sonable inquiry and good faith judg- ing does not interfere with timely col-
ment. A railroad does not act in excess lection of required specimens.
of its authority under this subpart if (2) Such employees must specifically
its representative has made such rea- include each and every operating em-
sonable inquiry and exercised such ployee assigned as a crew member of
good faith judgment, but it is later de- any train involved in the accident or
termined, after investigation, that one incident. In any case where an oper-
or more of the conditions thought to ator, dispatcher, signal maintainer or
have required testing were not, in fact, other covered employee is directly and
present. However, this section does not contemporaneously involved in the cir-
excuse the railroad for any error aris- cumstances of the accident/incident,
ing from a mistake of law (e.g., appli- those employees must also be required
cation of testing criteria other than to provide specimens.
those contained in this part). (3) An employee must be excluded
(3) A railroad is not in violation of from testing under the following cir-
this subpart if its representative has cumstances: In any case of an accident/
made such reasonable inquiry and exer- incident for which testing is mandated
248
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
jured in train accidents and incidents (iii) The accident/incident actually
is required. occurred during the employee’s duty
(b) Timely specimen collection. (1) The tour. An employee who has been trans-
railroad must make every reasonable ported to receive medical care is not
effort to assure that specimens are pro- released from duty for purposes of this
vided as soon as possible after the acci- section. Nothing in this section pro-
dent or incident. hibits the subsequent testing of an em-
(2) This paragraph (b) must not be ployee who has failed to remain avail-
construed to inhibit the employees re- able for testing as required (i.e., who is
quired to be tested from performing, in absent without leave); but subsequent
the immediate aftermath of the acci- testing does not excuse such refusal by
dent or incident, any duties that may the employee timely to provide the re-
be necessary for the preservation of life quired specimens.
or property. However, where practical, (c) Place of specimen collection. (1) Em-
the railroad must utilize other employ- ployees must be transported to an inde-
ees to perform such duties. pendent medical facility where the
(3) In the case of a passenger train specimens must be obtained. The rail-
which is in proper condition to con- road must pre-designate for such test-
tinue to the next station or its destina- ing one or more such facilities in rea-
tion after an accident or incident, the sonable proximity to any location
railroad must consider the safety and where the railroad conducts oper-
convenience of passengers in deter- ations. Designation must be made on
mining whether the crew is imme- the basis of the willingness of the facil-
diately available for testing. A relief ity to conduct specimen collection and
crew must be called to relieve the train the ability of the facility to complete
crew as soon as possible. specimen collection promptly, profes-
(4) Covered employees who may be sionally, and in accordance with perti-
subject to testing under this subpart nent requirements of this part. In all
must be retained in duty status for the cases blood may be drawn only by a
period necessary to make the deter- qualified medical professional or by a
minations required by § 219.201 and this qualified technician subject to the su-
section and (as appropriate) to com- pervision of a qualified medical profes-
plete the specimen collection proce- sional.
dure. An employee may not be recalled (2) In the case of an injured em-
for testing under this subpart if that ployee, the railroad must request the
employee has been released from duty treating medical facility to obtain the
under the normal procedures of the specimens.
249
§ 219.205 49 CFR Ch. II (10–1–11 Edition)
(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
priate measures to assist in obtaining subpart. Whenever possible, specimens
the required specimen. must be placed in the shipping kit pre-
(e) Discretion of physician. Nothing in pared for shipment according to the in-
this subpart may be construed to limit structions provided in the kit and Ap-
the discretion of a physician to deter- pendix C to this part.
mine whether drawing a blood speci-
(2) Kits may be ordered directly from
men is consistent with the health of an
the laboratory designated in Appendix
injured employee or an employee af-
B to this part.
flicted by any other condition that
may preclude drawing the specified (3) FRA maintains a limited number
quantity of blood. of kits at its field offices. A Class III
railroad may utilize kits in FRA’s pos-
§ 219.205 Specimen collection and han- session, rather than maintaining such
dling. kits on its property.
(a) General. Urine and blood speci- (d) Shipment. Specimens must be
mens must be obtained, marked, pre- shipped as soon as possible by pre-paid
served, handled, and made available to air express or air freight (or other
FRA consistent with the requirements means adequate to ensure delivery
of this subpart, and the technical speci- within twenty-four (24) hours from
fications set forth in Appendix C to time of shipment) to the laboratory
this part. designated in appendix B to this part.
(b) Information requirements. In order Where express courier pickup is avail-
to process specimens, analyze the sig- able, the railroad must request the
nificance of laboratory findings, and medical facility to transfer the sealed
notify the railroads and employees of toxicology kit directly to the express
test results, it is necessary to obtain courier for transportation. If courier
basic information concerning the acci- pickup is not available at the medical
dent/incident and any treatment ad- facility where the specimens are col-
ministered after the accident/incident. lected or for any other reason prompt
Accordingly, the railroad representa- transfer by the medical facility cannot
tive must complete the information re- be assured, the railroad must promptly
quired by Form FRA 6180.73 (revised) transport the sealed shipping kit hold-
for shipping with the specimens. Each ing the specimens to the most expedi-
employee subject to testing must co- tious point of shipment via air express,
operate in completion of the required air freight or equivalent means. The
information on Form FRA F 6180.74 (re- railroad must maintain and document
vised) for inclusion in the shipping kit secure chain of custody of the kit from
250
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
oner or medical examiner) of the fatal- (NRC) at (800) 424–8802 and to the Office
ity and the requirements of this sub- of Safety, FRA, at (202) 493–6313.
part, making available the shipping kit (2) Each telephonic report must con-
and requesting the local authority to tain:
assist in obtaining the necessary body (i) Name of railroad;
fluid or tissue specimens. The railroad (ii) Name, title and telephone num-
must also seek the assistance of the ber of person making the report;
custodian of the remains, if a person (iii) Time, date and location of the
other than the local authority. accident/incident;
(b) If the local authority or custodian (iv) Brief summary of the cir-
of the remains declines to cooperate in cumstances of the accident/incident,
obtaining the necessary specimens, the including basis for testing; and
railroad must immediately notify the (v) Number, names and occupations
duty officer at the National Response of employees tested.
Center (NRC) at (800) 424–8801 or (800) (b) If the railroad is unable, as a re-
424–8802 by providing the following in- sult of non-cooperation of an employee
formation: or for any other reason, to obtain a
(1) Date and location of the accident specimen and cause it to be provided to
or incident; FRA as required by this subpart, the
(2) Railroad; railroad must make a concise narrative
(3) Name of the deceased; report of the reason for such failure
(4) Name and telephone number of and, if appropriate, any action taken in
custodian of the remains; and response to the cause of such failure.
(5) Name and telephone number of This report must be appended to the re-
local authority contacted. port of the accident/incident required
(c) A coroner, medical examiner, pa- to be submitted under part 225 of this
thologist, Aviation Medical Examiner, chapter.
or other qualified professional is au- (c) If a test required by this section is
thorized to remove the required body not administered within four hours fol-
fluid and/or tissue specimens from the lowing the accident or incident, the
remains on request of the railroad or railroad must prepare and maintain on
FRA pursuant to this part; and, in so file a record stating the reasons the
acting, such person is the delegate of test was not promptly administered.
the FRA Administrator under sections Records must be submitted to FRA
20107 and 20108 of title 49, United States upon request of the FRA Associate Ad-
Code (but not the agent of the Sec- ministrator for Safety.
251
§ 219.211 49 CFR Ch. II (10–1–11 Edition)
§ 219.211 Analysis and follow-up. by FRA in writing, the Medical Review

(a) The laboratory designated in ap- Officer may not disclose to FRA the
pendix B to this part undertakes underlying physical condition for
prompt analysis of specimens provided which any medication was authorized
under this subpart, consistent with the or administered. The FRA is not bound
need to develop all relevant informa- by the railroad Medical Review Offi-
tion and produce a complete report. cer’s determination, but that deter-
Specimens are analyzed for alcohol and mination will be considered by FRA in
controlled substances specified by FRA relation to the accident/incident inves-
under protocols specified by FRA, sum- tigation and with respect to any en-
marized in appendix C to this part, forcement action under consideration.
which have been submitted to Health (d) To the extent permitted by law,
and Human Services for acceptance. FRA treats test results indicating med-
Specimens may be analyzed for other ical use of controlled substances con-
impairing substances specified by FRA sistent with § 219.103 (and other infor-
as necessary to the particular accident mation concerning medically author-
investigation. ized drug use or administration pro-
(b) Results of post-accident toxi- vided incident to such testing) as ad-
cological testing under this subpart are ministratively confidential and with-
reported to the railroad’s Medical Re- holds public disclosure, except where it
view Officer and the employee. The is necessary to consider this informa-
MRO and the railroad must treat the tion in an accident investigation in re-
test results and any information con- lation to determination of probable
cerning medical use or administration cause. (However, as further provided in
of drugs provided under this subpart in this section, FRA may provide results
the same confidential manner as if sub- of testing under this subpart and sup-
ject to subpart H of this part, except porting documentation to the National
where publicly disclosed by FRA or the Transportation Safety Board.)
National Transportation Safety Board. (e) An employee may respond in writ-
(c) With respect to a surviving em- ing to the results of the test prior to
ployee, a test reported as positive for the preparation of any final investiga-
alcohol or a controlled substance by tion report concerning the accident or
the designated laboratory must be re- incident. An employee wishing to re-
viewed by the railroad’s Medical Re- spond may do so by letter addressed to
view Officer with respect to any claim the Alcohol/Drug Program Manager,
of use or administration of medications Office of Safety, FRA, 1200 New Jersey
(consistent with § 219.103) that could ac- Avenue, SE., Washington, DC 20590
count for the laboratory findings. The within 45 days of receipt of the test re-
Medical Review Officer must promptly sults. Any such submission must refer
report the results of each review to the to the accident date, railroad and loca-
Associate Administrator for Safety, tion, must state the position occupied
FRA, Washington, DC 20590. Such re- by the employee on the date of the ac-
port must be in writing and must ref- cident/incident, and must identify any
erence the employing railroad, acci- information contained therein that the
dent/incident date, and location, and employee requests be withheld from
the envelope must be marked ‘‘AD- public disclosure on grounds of per-
MINISTRATIVELY CONFIDENTIAL: sonal privacy (but the decision whether
ATTENTION ALCOHOL/DRUG PRO- to honor such request will be made by
GRAM MANAGER.’’ The report must the FRA on the basis of controlling
state whether the MRO reported the law).
test result to the employing railroad as (f)(1) The toxicology report may con-
positive or negative and the basis of tain a statement of pharmacological
any determination that analytes de- significance to assist FRA and other
tected by the laboratory derived from parties in understanding the data re-
authorized use (including a statement ported. No such statement may be con-
of the compound prescribed, dosage/fre- strued as a finding of probable cause in
quency, and any restrictions imposed the accident or incident.
by the authorized medical practi- (2) The toxicology report is a part of
tioner). Unless specifically requested the report of the accident/incident and
252
therefore subject to the limitation of 49 under that Department’s Guidelines for

U.S.C. 20903 (prohibiting use of the re- Federal Workplace Drug Testing Pro-
port for any purpose in a civil action grams that has available an appro-
for damages resulting from a matter priate, validated assay for the fluid and
mentioned in the report). compound declared positive. Since
(g)(1) It is in the public interest to some analytes may deteriorate during
ensure that any railroad disciplinary storage, detected levels of the com-
actions that may result from accidents pound shall, as technically appropriate,
and incidents for which testing is re- be reported and considered corrobora-
quired under this subpart are disposed tive of the original test result. Any re-
of on the basis of the most complete quest for a retest shall be in writing,
and reliable information available so specify the railroad, accident date and
that responsive action will be appro- location, be signed by the employee/
priate. Therefore, during the interval donor, be addressed to the Associate
between an accident or incident and Administrator for Safety, Federal Rail-
the date that the railroad receives no- road Administration, Washington, DC
tification of the results of the toxi- 20590, and be designated ‘‘ADMINIS-
cological analysis, any provision of col- TRATIVELY CONFIDENTIAL: AT-
lective bargaining agreements estab- TENTION ALCOHOL/DRUG PROGRAM
lishing maximum periods for charging MANAGER.’’ The expense of any em-
employees with rule violations, or for ployee-requested split specimen test at
holding an investigation, may not be a laboratory other than the laboratory
deemed to run as to any offense involv- designated under this subpart shall be
ing the accident or incident (i.e., such borne by the employee.
periods must be tolled).
(2) This provision may not be con- [66 FR 41973, Aug. 9, 2001, as amended at 74
strued to excuse the railroad from any FR 25172, May 27, 2009]
obligation to timely charge an em-
§ 219.213 Unlawful refusals; con-
ployee (or provide other actual notice) sequences.
where the railroad obtains sufficient
information relating to alcohol or drug (a) Disqualification. An employee who
use, impairment or possession or other refuses to cooperate in providing
rule violations prior to the receipt to breath, blood or urine specimens fol-
toxicological analysis. lowing an accident or incident speci-
(3) This provision does not authorize fied in this subpart must be withdrawn
holding any employee out of service from covered service and must be
pending receipt of toxicological anal- deemed disqualified for covered service
ysis; nor does it restrict a railroad for a period of nine (9) months in ac-
from taking such action in an appro- cordance with the conditions specified
priate case. in § 219.107.
(h) Except as provided in § 219.201 (b) Procedures. Prior to or upon with-
(with respect to non-qualifying events), drawing the employee from covered
each specimen (including each split service under this section, the railroad
specimen) provided under this subpart must provide notice of the reason for
is retained for not less than three this action and an opportunity for
months following the date of the acci- hearing before a presiding officer other
dent or incident (two years from the than the charging official. The em-
date of the accident or incident in the ployee is entitled to the procedural
case of a specimen testing positive for protection set out in § 219.104(d).
alcohol or a controlled substance). (c) Subject of hearing. The hearing re-
Post-mortem specimens may be made quired by this section must determine
available to the National Transpor- whether the employee refused to sub-
tation Safety Board (on request). mit to testing, having been requested
(i) An employee (donor) may, within to submit, under authority of this sub-
60 days of the date of the toxicology re- part, by a representative of the rail-
port, request that his or her split speci- road. In determining whether a dis-
men be tested by the designated lab- qualification is required, the hearing
oratory or by another laboratory cer- official shall, as appropriate, also con-
tified by Health and Human Services sider the following:
253
§ 219.300 49 CFR Ch. II (10–1–11 Edition)
(1) Whether the railroad made a good cohol testing or drug testing when the
faith determination, based on reason- employee is apparently in need of im-
able inquiry, that the accident or inci- mediate medical attention.
dent was within the mandatory testing (d)(1) If a test required by this sec-
requirements of this subpart; and tion is not administered within two
(2) In a case where a blood test was hours following the determination
refused on the ground it would be in- under this section, the railroad must
consistent with the employee’s health, prepare and maintain on file a record
whether such refusal was made in good stating the reasons the test was not
faith and based on medical advice. properly administered. If a test re-
quired by this section is not adminis-
Subpart D—Testing for Cause tered within eight hours of the deter-
mination under this section, the rail-
§ 219.300 Mandatory reasonable sus- road must cease attempts to admin-
picion testing. ister an alcohol test and must state in
(a) Requirements. (1) A railroad must the record the reasons for not admin-
require a covered employee to submit istering the test. Records must be sub-
to an alcohol test when the railroad mitted to FRA upon request of the
has reasonable suspicion to believe FRA Administrator.
that the employee has violated any (2) [Reserved]
prohibition of subpart B of this part
concerning use of alcohol. The rail- § 219.301 Testing for reasonable cause.
road’s determination that reasonable (a) Authorization. A railroad may,
suspicion exists to require the covered under the conditions specified in this
employee to undergo an alcohol test subpart, require any covered employee,
must be based on specific, contempora- as a condition of employment in cov-
neous, articulable observations con- ered service, to cooperate in breath or
cerning the appearance, behavior, body fluid testing, or both, to deter-
speech or body odors of the employee. mine compliance with §§ 219.101 and
(2) A railroad must require a covered 219.102 or a railroad rule implementing
employee to submit to a drug test the requirements of §§ 219.101 and
when the railroad has reasonable sus- 219.102. This authority is limited to
picion to believe that the employee has testing after observations or events
violated the prohibitions of subpart B that occur during duty hours (includ-
of this part concerning use of con- ing any period of overtime or emer-
trolled substances. The railroad’s de- gency service). The provisions of this
termination that reasonable suspicion subpart apply only when, and to the ex-
exists to require the covered employee tent that, the test in question is con-
to undergo a drug test must be based ducted in reliance upon the authority
on specific, contemporaneous, conferred by this section. Section 219.23
articulable observations concerning prescribes the notice to an employee
the appearance, behavior, speech or that is required when an employee is
body odors of the employee. Such ob- required to provide a breath or body
servations may include indications of fluid specimen under this part. A rail-
the chronic and withdrawal effects of road may not require an employee to
drugs. be tested under the authority of this
(b)(1) With respect to an alcohol test, subpart unless reasonable cause, as de-
the required observations must be fined in this section, exists with re-
made by a supervisor trained in accord- spect to that employee.
ance with § 219.11(g). The supervisor (b) For cause breath testing. In addi-
who makes the determination that rea- tion to reasonable suspicion as de-
sonable suspicion exists may not con- scribed in § 219.300, the following cir-
duct testing on that employee. cumstances constitute cause for the
(2) With respect to a drug test, the administration of alcohol tests under
required observations must be made by this section:
two supervisors, at least one of whom (1) [Reserved]
is trained in accordance with § 219.11(g). (2) Accident/incident. The employee
(c) Nothing in this section may be has been involved in an accident or in-
construed to require the conduct of al- cident reportable under part 225 of this
254
chapter, and a supervisory employee of § 219.300, each of the conditions set

the railroad has a reasonable belief, forth in paragraphs (b)(2) (‘‘accident/in-
based on specific, articulable facts, cident’’) and (b)(3) (‘‘rule violation’’) of
that the employee’s acts or omissions this section as constituting cause for
contributed to the occurrence or sever- alcohol testing also constitutes cause
ity of the accident or incident; or with respect to drug testing.
(3) Rule violation. The employee has (d) [Reserved]
been directly involved in one of the fol- (e) Limitation for subpart C events. The
lowing operating rule violations or er- compulsory drug testing authority con-
rors: ferred by this section does not apply
(i) Noncompliance with a train order, with respect to any event subject to
track warrant, timetable, signal indi- post-accident toxicological testing as
cation, special instruction or other di- required by § 219.201. However, use of
rection with respect to movement of a compulsory breath test authority is
train that involves— authorized in any case where breath
(A) Occupancy of a block or other test results can be obtained in a timely
segment of track to which entry was manner at the scene of the accident
not authorized; and conduct of such tests does not ma-
(B) Failure to clear a track to permit terially impede the collection of speci-
opposing or following movement to mens under subpart C of this part.
pass;
(C) Moving across a railroad crossing § 219.302 Prompt specimen collection;
at grade without authorization; or time limitation.
(D) Passing an absolute restrictive (a) Testing under this subpart may
signal or passing a restrictive signal only be conducted promptly following
without stopping (if required); the observations or events upon which
(ii) Failure to protect a train as re- the testing decision is based, con-
quired by a rule consistent with § 218.37 sistent with the need to protect life
of this chapter (including failure to and property.
protect a train that is fouling an adja- (b) No employee may be required to
cent track, where required by the rail- participate in alcohol or drug testing
road’s rules); under this section after the expiration
(iii) Operation of a train at a speed of an eight-hour period from—
that exceeds the maximum authorized (1) The time of the observations or
speed by at least ten (10) miles per hour other events described in this section;
or by fifty percent (50%) of such max- or
imum authorized speed, whichever is (2) In the case of an accident/inci-
less; dent, the time a responsible railroad
(iv) Alignment of a switch in viola- supervisor receives notice of the event
tion of a railroad rule, failure to align providing reasonable cause for conduct
a switch as required for movement, op- of the test.
eration of a switch under a train, or (c) An employee may not be tested
unauthorized running through a under this subpart if that employee has
switch; been released from duty under the nor-
(v) Failure to apply or stop short of mal procedures of the railroad. An em-
derail as required; ployee who has been transported to re-
(vi) Failure to secure a hand brake or ceive medical care is not released from
failure to secure sufficient hand duty for purposes of this section. Noth-
brakes, as required; ing in this section prohibits the subse-
(vii) Entering a crossover before both quent testing of an employee who has
switches are lined for movement; or failed to remain available for testing
(viii) In the case of a person per- as required (i.e., who is absent without
forming a dispatching function or leave).
block operator function, issuance of a (d) As used in this subpart, a ‘‘re-
train order or establishment of a route sponsible railroad supervisor’’ means
that fails to provide proper protection any responsible line supervisor (e.g., a
for a train. trainmaster or road foreman of en-
(c) For cause drug testing. In addition gines) or superior official in authority
to reasonable suspicion as described in over the employee to be tested.
255
§ 219.401 49 CFR Ch. II (10–1–11 Edition)
(e) In the case of a drug test, the report is made for the purpose, or with
eight-hour requirement is satisfied if the effect, of anticipating the immi-
the employee has been delivered to the nent and probable detection of a rule
collection site (where the collector is violation by a supervising employee; or
present) and the request has been made (3) Limit the discretion of a railroad
to commence collection of the drug to dismiss or otherwise discipline an
testing specimens within that period. employee for specific rule violations or
(f) [Reserved] criminal offenses, except as specifically
(g) Section 219.23 prescribes the no- provided by this subpart.
tice to an employee that is required to
provide breath or a body fluid specimen § 219.403 Voluntary referral policy.
under this part. (a) Scope. This section prescribes
minimum standards for voluntary re-
Subpart E—Identification of ferral policies. Nothing in this section
Troubled Employees restricts a railroad from adopting, pub-
lishing and implementing a voluntary
§ 219.401 Requirement for policies. referral policy that affords more favor-
(a) The purpose of this subpart is to able conditions to employees troubled
prevent the use of alcohol and drugs in by alcohol or drug abuse problems, con-
connection with covered service. sistent with the railroad’s responsi-
(b) Each railroad must adopt, publish bility to prevent violations of §§ 219.101
and implement— and 219.102.
(1) A policy designed to encourage (b) Required provisions. A voluntary
and facilitate the identification of referral policy must include the fol-
those covered employees who abuse allowing provisions:
cohol or drugs as a part of a treatable (1) A covered employee who is af-
condition and to ensure that such em- fected by an alcohol or drug use prob-
ployees are provided the opportunity to lem may maintain an employment re-
obtain counseling or treatment before lationship with the railroad if, before
those problems manifest themselves in the employee is charged with conduct
detected violations of this part (here- deemed by the railroad sufficient to
after ‘‘voluntary referral policy’’); and warrant dismissal, the employee seeks
(2) A policy designed to foster em- assistance through the railroad for the
ployee participation in preventing vio- employee’s alcohol or drug use problem
lations of this subpart and encourage or is referred for such assistance by an-
co-worker participation in the direct other employee or by a representative
enforcement of this part (hereafter of the employee’s collective bargaining
‘‘co-worker report policy’’). unit. The railroad must specify wheth-
(c) A railroad may comply with this er, and under what circumstances, its
subpart by adopting, publishing and policy provides for the acceptance of
implementing policies meeting the spe- referrals from other sources, including
cific requirements of §§ 219.403 and (at the option of the railroad) super-
219.405 or by complying with § 219.407. visory employees.
(d) If a railroad complies with this (2) Except as may be provided under
part by adopting, publishing and imple- paragraph (c) of this section, the rail-
menting policies consistent with road treats the referral and subsequent
§§ 219.403 and 219.405, the railroad must handling, including counseling and
make such policies, and publications treatment, as confidential.
announcing such policies, available for (3) The railroad will, to the extent
inspection and copying by FRA. necessary for treatment and rehabilita-
(e) Nothing in this subpart may be tion, grant the employee a leave of ab-
construed to— sence from the railroad for the period
(1) Require payment of compensation necessary to complete primary treat-
for any period an employee is out of ment and establish control over the
service under a voluntary referral or employee’s alcohol or drug problem.
co-worker report policy; The policy must allow a leave of ab-
(2) Require a railroad to adhere to a sence of not less than 45 days, if nec-
voluntary referral or co-worker report essary for the purpose of meeting ini-
policy in a case where the referral or tial treatment needs.
256
(4) Except as may be provided under railroad’s responsibility to prevent vio-

paragraph (c)(2) of this section, the em- lations of §§ 219.101 and 219.102.
ployee will be returned to service on (b) Employment relationship. A co-
the recommendation of the substance worker report policy must provide that
abuse professional. Approval to return a covered employee may maintain an
to service may not be unreasonably employment relationship with the rail-
withheld. road following an alleged first offense
(5) With respect to a certified loco- under this part or the railroad’s alco-
motive engineer or a candidate for cer- hol and drug rules, subject to the con-
tification, the railroad must meet the ditions and procedures contained in
requirements of § 240.119(e) of this chap- this section.
ter. (c) General conditions and procedures.
(c) Optional provisions. A voluntary (1) The alleged violation must come to
referral policy may include any of the the attention of the railroad as a result
following provisions, at the option of of a report by a co-worker that the em-
the railroad: ployee was apparently unsafe to work
(1) The policy may provide that the with or was, or appeared to be, in viola-
rule of confidentiality is waived if— tion of this part or the railroad’s alco-
(i) The employee at any time refuses hol and drug rules.
to cooperate in a recommended course (2) If the railroad representative de-
of counseling or treatment; and/or termines that the employee is in viola-
(ii) The employee is later deter- tion, the railroad may immediately re-
mined, after investigation, to have move the employee from service in ac-
been involved in an alcohol or drug-re- cordance with its existing policies and
lated disciplinary offense growing out procedures.
of subsequent conduct. (3) The employee must elect to waive
investigation on the rule charge and
(2) The policy may require successful
must contact the substance abuse pro-
completion of a return-to-service med-
fessional within a reasonable period
ical examination as a further condition
specified by the policy.
on reinstatement in covered service.
(4) The substance abuse professional
(3) The policy may provide that it
must schedule necessary interviews
does not apply to an employee who has
with the employee and complete an
previously been assisted by the rail-
evaluation within 10 calendar days of
road under a policy or program sub-
the date on which the employee con-
stantially consistent with this section
tacts the professional with a request
or who has previously elected to waive
for evaluation under the policy, unless
investigation under § 219.405 (co-worker
it becomes necessary to refer the em-
report policy).
ployee for further evaluation. In each
(4) The policy may provide that, in case, all necessary evaluations must be
order to invoke its benefits, the em- completed within 20 days of the date on
ployee must report to the contact des- which the employee contacts the pro-
ignated by the railroad either: fessional.
(i) During non-duty hours (i.e., at a (d) When treatment is required. If the
time when the employee is off duty); or substance abuse professional deter-
(ii) While unimpaired and otherwise mines that the employee is affected by
in compliance with the railroad’s alco- psychological or chemical dependence
hol and drug rules consistent with this on alcohol or a drug or by another
subpart. identifiable and treatable mental or
physical disorder involving the abuse
§ 219.405 Co-worker report policy. of alcohol or drugs as a primary mani-
(a) Scope. This section prescribes festation, the following conditions and
minimum standards for co-worker re- procedures apply:
port policies. Nothing in this section (1) The railroad must, to the extent
restricts a railroad from adopting, pub- necessary for treatment and rehabilita-
lishing and implementing a policy that tion, grant the employee a leave of ab-
affords more favorable conditions to sence from the railroad for the period
employees troubled by alcohol or drug necessary to complete primary treat-
abuse problems, consistent with the ment and establish control over the
257
§ 219.407 49 CFR Ch. II (10–1–11 Edition)
employee’s alcohol or drug problem. railroad operations, if such policy or

The policy must allow a leave of ab- policies have the written concurrence
sence of not less than 45 days, if nec- of the recognized representatives of
essary for the purpose of meeting ini- such employees.
tial treatment needs. (b) The concurrence of recognized
(2) The employee must agree to un- employee representatives in an alter-
dertake and successfully complete a nate policy may be evidenced by a col-
course of treatment deemed acceptable lective bargaining agreement or any
by the substance abuse professional. other document describing the class or
(3) The railroad must promptly re- craft of employees to which the alter-
turn the employee to service, on rec- nate policy applies. The agreement or
ommendation of the substance abuse other document must make express ref-
professional, when the employee has erence to this part and to the intention
established control over the substance of the railroad and employee represent-
abuse problem. Return to service may atives that the alternate policy applies
also be conditioned on successful com- in lieu of the policy required by
pletion of a return-to-service medical § 219.403, § 219.405, or both.
examination. Approval to return to (c) The railroad must file the agree-
service may not be unreasonably with- ment or other document described in
held. paragraph (b) of this section with the
(4) Following return to service, the Associate Administrator for Safety,
employee, as a further condition on FRA. If the alternate policy is amend-
withholding of discipline, may, as nec- ed or revoked, the railroad must file a
essary, be required to participate in a notice of such amendment or revoca-
reasonable program of follow-up treat- tion at least 30 days prior to the effec-
ment for a period not to exceed 60 tive date of such action.
months from the date the employee (d) This section does not excuse a
was originally withdrawn from service. railroad from adopting, publishing and
(e) When treatment is not required. If implementing the policies required by
the substance abuse professional deter- §§ 219.403 and 219.405 with respect to any
mines that the employee is not affected group of covered employees not within
by an identifiable and treatable mental the coverage of an appropriate alter-
or physical disorder— nate policy.
(1) The railroad must return the em-
ployee to service within 5 days after Subpart F—Pre-Employment Tests
completion of the evaluation.
(2) During or following the out-of- § 219.501 Pre-employment drug test-
service period, the railroad may re- ing.
quire the employee to participate in a (a) Prior to the first time a covered
program of education and training con- employee performs covered service for
cerning the effects of alcohol and drugs a railroad, the employee must undergo
on occupational or transportation safe- testing for drugs. No railroad may
ty. allow a covered employee to perform
(f) Follow-up tests. A railroad may covered service, unless the employee
conduct return-to-service and/or fol- has been administered a test for drugs
low-up tests (as described in § 219.104) of with a result that did not indicate the
an employee who waives investigation misuse of controlled substances. This
and is determined to be ready to return requirement applies to final applicants
to service under this section. for employment and to employees
seeking to transfer for the first time
§ 219.407 Alternate policies. from non-covered service to duties in-
(a) In lieu of a policy under § 219.403 volving covered service.
(voluntary referral) or § 219.405 (co- (b) As used in subpart H of this part
worker report), or both, a railroad may with respect to a test required under
adopt, publish and implement, with re- this subpart, the term covered em-
spect to a particular class or craft of ployee includes an applicant for pre-
covered employees, an alternate policy employment testing only. In the case
or policies having as their purpose the of an applicant who declines to be test-
prevention of alcohol or drug use in ed and withdraws the application for
258
employment, no record may be main- tially and be retained in the same man-
tained of the declination. ner as required under subpart J of this
part for employee test records, except
§ 219.502 Pre-employment alcohol test- that such records need not reflect the
ing. identity of an applicant whose applica-
(a) A railroad may, but is not re- tion for employment in covered service
quired to, conduct pre-employment al- was denied.
cohol testing under this part. If a rail-
road chooses to conduct pre-employ- § 219.505 Refusals.
ment alcohol testing, the railroad must An applicant who has refused to sub-
comply with the following require- mit to pre-employment testing under
ments: this section may not be employed in
(1) It must conduct a pre-employ- covered service based upon the applica-
ment alcohol test before the first per- tion and examination with respect to
formance of safety-sensitive functions which such refusal was made. This sec-
by every covered employee (whether a tion does not create any right on the
new employee or someone who has part of the applicant to have a subse-
transferred to a position involving the quent application considered; nor does
performance of safety-sensitive func- it restrict the discretion of the railroad
tions). to entertain a subsequent application
(2) It must treat all safety-sensitive for employment from the same person.
employees performing safety-sensitive
functions the same for the purpose of Subpart G—Random Alcohol and
pre-employment alcohol testing (i.e., it Drug Testing Programs
must not test some covered employees
and not others). § 219.601 Railroad random drug test-
(3) It must conduct the pre-employing programs.
ment tests after making a contingent (a) Submission. Each railroad must
offer of employment or transfer, sub- submit for FRA approval a random
ject to the employee passing the pre- testing program meeting the require-
employment alcohol test. ments of this subpart. A railroad com-
(4) It must conduct all pre-employ- mencing operations must submit such
ment alcohol tests using the alcohol a program not later than 30 days prior
testing procedures of part 40 of this to such commencement. The program
title. must be submitted to the Associate Ad-
(5) It must not allow a covered em- ministrator for Safety, FRA, for review
ployee to begin performing safety-sen- and approval by the FRA Adminis-
sitive functions unless the result of the trator. If, after approval, a railroad de-
employee’s test indicates an alcohol sires to amend the random testing pro-
concentration of less than 0.04. gram implemented under this subpart,
(b) As used in subpart H of this part, the railroad must file with FRA a no-
with respect to a test authorized under tice of such amendment at least 30
this subpart, the term covered em- days prior to the intended effective
ployee includes an applicant for pre- date of such action. A railroad already
employment testing only. In the case subject to this subpart that becomes
of an applicant who declines to be test- subject to this subpart with respect to
ed and withdraws the application for one or more additional employees must
employment, no record may be main- amend its program not later than 60
tained of the declination. days after these employees become
subject to this subpart and file with
§ 219.503 Notification; records. FRA a notice of such amendment at
The railroad must provide for med- least 30 days prior to the intended ef-
ical review of drug test results as pro- fective date of such action. A program
vided in subpart H of this part. The responsive to the requirements of this
railroad must notify the applicant of section or any amendment to the pro-
the results of the drug and alcohol gram may not be implemented prior to
tests in the same manner as provided approval.
for employees in subpart H of this part. (b) Form of programs. Random testing
Records must be maintained confiden- programs submitted by or on behalf of
259
§ 219.601 49 CFR Ch. II (10–1–11 Edition)
each railroad under this subpart must ing at the appropriate percentage es-
meet the following criteria, and the tablished for your industry and that
railroad and its managers, supervisors, only covered employees are in the ran-
officials and other employees and dom testing pool.
agents must conform to such criteria (3) Railroad random testing programs
in implementing the program: must ensure to the maximum extent
(1) Selection of covered employees for practicable that each employee per-
testing must be made by a method em- ceives the possibility that a random
ploying objective, neutral criteria test may be required on any day the
which ensure that every covered em- employee reports for work.
ployee has a substantially equal statis- (4) Notice of an employee’s selection
tical chance of being selected within a may not be provided until the duty
specified time frame. The method may tour in which testing is to be con-
not permit subjective factors to play a ducted, and then only so far in advance
role in selection, i.e., no employee may as is reasonably necessary to ensure
be selected as the result of the exercise the employee’s presence at the time
of discretion by the railroad. The selec- and place set for testing.
tion method must be capable of (5) The program must include testing
verification with respect to the ran- procedures and safeguards, and proce-
domness of the selection process, and dures for action based on positive test
any records necessary to document
results, consistent with this part.
random selection must be retained for
(6) An employee must be subject to
not less than 24 months from the date
testing only while on duty. Only em-
upon which the particular specimens
were collected. ployees who perform covered service
(2)(i) The program must select for for the railroad are subject to testing
testing a sufficient number of employ- under this part. In the case of employ-
ees so that, during the first 12 ees who during some duty tours per-
months— form covered service and during others
(A) The random testing program is do not, the railroad program must
spread reasonably through the 12- specify the extent to which, and the
month period. circumstances under which they are to
(B) [Reserved] be subject to testing. To the extent
(ii) To calculate the total number of practical within the limitations of this
covered employees eligible for random part and in the context of the rail-
testing throughout the year, as a railroad’s operations, the railroad program
road, you must add the total number of must provide that employees are sub-
covered employees eligible for testing ject to the possibility of random test-
during each random testing period for ing on any day they actually perform
the year and divide that total by the covered service.
number of random testing periods. Cov- (7) Each time an employee is notified
ered employees, and only covered em- for random drug testing the employee
ployees, are to be in a railroad’s ran- will be informed that selection was
dom testing pool, and all covered em- made on a random basis.
ployees must be in the random pool. If (c) Approval. The Associate Adminis-
you are a railroad conducting random trator for Safety, FRA, will notify the
testing more often than once per railroad in writing whether the pro-
month (e.g., you select daily, weekly, gram is approved as consistent with
bi-weekly), you do not need to compute the criteria set forth in this part. If the
this total number of covered employees Associate Administrator for Safety de-
rate more than on a once per month termines that the program does not
basis. conform to those criteria, the Asso-
(iii) As a railroad, you may use a ciate Administrator for Safety will in-
service agent (e.g., C/TPA) to perform form the railroad of any matters pre-
random selections for you, and your venting approval of the program, with
covered employees may be part of a specific explanation as to necessary re-
larger random testing pool of covered visions. The railroad must resubmit its
employees. However, you must ensure program with the required revisions
that the service agent you use is test- within 30 days of such notice. Failure
260
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
mination that the employee has vio- § 219.800 for two consecutive calendar
lated § 219.102 or any applicable railroad years indicate that the reported posi-
rule, and must inform the employee of tive rate is less than 1.0 percent.
the employee’s rights under subpart E
(d) When the minimum annual per-
of this part. A copy of the notice must
centage rate for random drug testing is
be provided to each new covered em-
25 percent, and the data received under
ployee on or before the employee’s ini-
tial date of service. Since knowledge of the reporting requirements of § 219.800
Federal law is presumed, nothing in for any calendar year indicate that the
this paragraph (d)(1) creates a defense reported positive rate is equal to or
to a violation of § 219.102. greater than 1.0 percent, the Adminis-
(2) A railroad commencing operations trator will increase the minimum an-
must submit a random testing program nual percentage rate for random drug
60 days after doing so. The railroad testing to 50 percent of all covered em-
must implement its approved random ployees.
testing program not later than the ex- (e) Selection of covered employees
piration of 60 days from approval by for testing must be made by a method
the Administrator. employing objective, neutral criteria
which ensures that every covered em-
[66 FR 41973, Aug. 9, 2001, as amended at 68 ployee has a substantially equal statis-
FR 75463, Dec. 31, 2003]
tical chance of being selected within a
§ 219.602 FRA Administrator’s deter- specified time frame. The method may
mination of random drug testing not permit subjective factors to play a
rate. role in selection, i.e., no employee may
(a) Except as provided in paragraphs be selected as a result of the exercise of
(b) through (d) of this section, the min- discretion by the railroad. The selec-
imum annual percentage rate for ran- tion method must be capable of
dom drug testing must be 50 percent of verification with respect to the ran-
covered employees. domness of the selection process.
(b) The FRA Administrator’s decision (f) The railroad must randomly select
to increase or decrease the minimum a sufficient number of covered employ-
annual percentage rate for random ees for testing during each calendar
drug testing is based on the reported year to equal an annual rate not less
positive rate for the entire industry. than the minimum annual percentage
All information used for this deter- rate for random drug testing deter-
mination is drawn from the drug MIS mined by the Administrator. If the
reports required by this part. In order railroad conducts random drug testing
to ensure reliability of the data, the through a consortium, the number of
Administrator considers the quality employees to be tested may be cal-
and completeness of the reported data, culated for each individual railroad or
may obtain additional information or may be based on the total number of
reports from railroads, and may make covered employees covered by the con-
appropriate modifications in calcu- sortium who are subject to random
261
§ 219.603 49 CFR Ch. II (10–1–11 Edition)
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
DOT agency regulating more than 50 random alcohol testing program imple-
percent of the employee’s function. mented under this subpart, the railroad
(i) If a railroad is required to conduct must file with FRA a notice of such
random drug testing under the drug amendment at least 30 days prior to
testing rules of more than one DOT the intended effective date of such ac-
agency, the railroad may— tion. A program responsive to the re-
(1) Establish separate pools for ran- quirements of this section or any
dom selection, with each pool con- amendment to the program may not be
taining the covered employees who are implemented prior to approval.
subject to testing at the same required (b) Form of programs. Random alcohol
rate; or testing programs submitted by or on
(2) Randomly select such employees behalf of each railroad under this sub-
for testing at the highest percentage part must meet the following criteria,
rate established for the calendar year and the railroad and its managers, su-
by any DOT agency to which the rail- pervisors, officials and other employees
road is subject. and agents must conform to such cri-
[66 FR 41973, Aug. 9, 2001, as amended at 68 teria in implementing the program:
FR 75463, Dec. 31, 2003] (1) As a railroad, to calculate the
total number of covered employees eli-
§ 219.603 Participation in drug testing. gible for random testing throughout
A railroad shall, under the conditions the year, you must add the total num-
specified in this subpart and subpart H ber of covered employees eligible for
of this part, require a covered em- testing during each random testing pe-
ployee selected through the random riod for the year and divide that total
testing program to cooperate in urine by the number of random testing peri-
testing to determine compliance with ods. Covered employees, and only cov-
§ 219.102, and the employee must pro- ered employees, are to be in a rail-
vide the required specimen and com- road’s random testing pool, and all cov-
plete the required paperwork and cer- ered employees must be in the random
tifications. Compliance by the em- pool. If you are a railroad conducting
ployee may be excused only in the case random testing more often than once
of a documented medical or family per month (e.g., you select daily, week-
emergency. ly, bi-weekly), you do not need to com-
pute this total number of covered em-
§ 219.605 Positive drug test results; ployees rate more than on a once per
procedures. month basis.
(a) [Reserved] (i) As a railroad, you may use a serv-
(b) Procedures for administrative ice agent (e.g., C/TPA) to perform ran-
handling by the railroad in the event a dom selections for you, and your cov-
specimen provided under this subpart ered employees may be part of a larger
is reported as positive by the MRO are random testing pool of covered employ-
set forth in § 219.104. The responsive ac- ees. However, you must ensure that the
tion required in § 219.104 is not stayed service agent you use is testing at the
262
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
are spread reasonably throughout the of a determination that the employee
calendar year. has violated § 219.101 or any applicable
(4) The program must ensure to the railroad rule, and must inform the em-
maximum extent practicable that each ployee of the employee’s rights under
covered employee perceives the possi- subpart E of this part. A copy of the
bility that a random alcohol test may notice must be provided to each new
be required at any time the employee covered employee on or before the em-
reports for work and at any time dur- ployee’s initial date of service. Since
ing the duty tour (except any period knowledge of Federal law is presumed,
when the employee is expressly re- nothing in this paragraph (c)(1) creates
lieved of any responsibility for per- a defense to a violation of § 219.101. This
formance of covered service). notice may be combined with the no-
(5) An employee may be subject to tice or policy statement required by
testing only while on duty. Only em- § 219.23.
ployees who perform covered service (2) A railroad commencing operations
for the railroad may be subject to test- must submit a random testing program
ing under this part. In the case of em- 60 days after doing so. The railroad
ployees who during some duty tours must implement its approved random
perform covered service and during testing program not later than the ex-
others do not, the railroad program piration of 60 days from approval by
may specify the extent to which, and the Administrator.
the circumstances under which they [66 FR 41973, Aug. 9, 2001, as amended at 68
are subject to testing. To the extent FR 75464, Dec. 31, 2003]
practical within the limitations of this
part and in the context of the rail- § 219.608 FRA Administrator’s deter-
road’s operations, the railroad program mination of random alcohol testing
must provide that employees are sub- rate.
ject to the possibility of random test- (a) Except as provided in paragraphs
ing on any day they actually perform (b) through (d) of this section, the min-
covered service. imum annual percentage rate for ran-
(6) Testing must be conducted dom alcohol testing must be 25 percent
promptly, as provided in § 219.701(b)(1). of covered employees.
(7) Each time an employee is notified (b) The Administrator’s decision to
for random alcohol testing the em- increase or decrease the minimum an-
ployee must be informed that selection nual percentage rate for random alco-
was made on a random basis. hol testing is based on the violation
(8) Each railroad must ensure that rate for the entire industry. All infor-
each covered employee who is notified mation used for the determination is
of selection for random alcohol testing drawn from the alcohol MIS reports re-
proceeds to the test site immediately; quired by this part. In order to ensure
provided, however, that if the employee reliability of the data, the Adminis-
is performing a safety-sensitive func- trator considers the quality and com-
tion at the time of the notification, the pleteness of the reported data, may ob-
railroad must instead ensure that the tain additional information or reports
263
§ 219.609 49 CFR Ch. II (10–1–11 Edition)
from employers, and may make appro- percentage rate for random alcohol
priate modifications in calculating the testing determined by the Adminis-
industry violation rate. Each year, the trator. If the railroad conducts random
Administrator will publish in the FED- alcohol testing through a consortium,
ERAL REGISTER the minimum annual the number of employees to be tested
percentage rate for random alcohol may be calculated for each individual
testing of covered employees. The new employer or may be based on the total
minimum annual percentage rate for number of covered employees covered
random alcohol testing will be applica- by the consortium who are subject to
ble starting January 1 of the calendar random testing at the same minimum
year following publication. annual percentage rate under this part
(c)(1) When the minimum annual per-
or any DOT agency alcohol testing
centage rate for random alcohol test-
rule.
ing is 25 percent or more, the Adminis-
trator may lower this rate to 10 per- (f) If a railroad is required to conduct
cent of all covered employees if the Ad- random alcohol testing under the alco-
ministrator determines that the data hol testing rules of more than one DOT
received under the reporting require- agency, the railroad may—
ments of § 219.800 for two consecutive (1) Establish separate pools for ran-
calendar years indicate that the viola- dom selection, with each pool con-
tion rate is less than 0.5 percent. taining the covered employees who are
(2) When the minimum annual per- subject to testing at the same required
centage rate for random alcohol test- rate; or
ing is 50 percent, the Administrator (2) Randomly select such employees
may lower this rate to 25 percent of all for testing at the highest percentage
covered employees if the Adminis- rate established for the calendar year
trator determines that the data re- by any DOT agency to which the rail-
ceived under the reporting require- road is subject.
ments of § 219.800 for two consecutive
calendar years indicate that the viola- [66 FR 41973, Aug. 9, 2001, as amended at 68
tion rate is less than 1.0 percent but FR 75464, Dec. 31, 2003]
equal to or greater than 0.5 percent.
(d)(1) When the minimum annual per- § 219.609 Participation in alcohol test-
ing.
centage rate for random alcohol test-
ing is 10 percent, and the data received A railroad must, under the condi-
under the reporting requirements of tions specified in this subpart and sub-
§ 219.800 for that calendar year indicate part H of this part, require a covered
that the violation rate is equal to or employee selected through the random
greater than 0.5 percent, but less than testing program to cooperate in breath
1.0 percent, the Administrator will in- testing to determine compliance with
crease the minimum annual percentage § 219.101, and the employee must pro-
rate for random alcohol testing to 25 vide the required breath and complete
percent of all covered employees. the required paperwork and certifi-
(2) When the minimum annual per- cations. Compliance by the employee
centage rate for random alcohol test- may be excused only in the case of a
ing is 25 percent or less, and the data
documented medical or family emer-
received under the reporting require-
gency.
ments of § 219.800 for any calendar year
indicate that the violation rate is § 219.611 Test result indicating prohib-
equal to or greater than 1.0 percent, ited alcohol concentration; proce-
the Administrator will increase the dures.
minimum annual percentage rate for
random alcohol testing to 50 percent of Procedures for administrative han-
all covered employees. dling by the railroad in the event an
(e) The railroad must randomly se- employee’s confirmation test indicates
lect and test a sufficient number of an alcohol concentration of .04 or
covered employees for testing during greater are set forth in § 219.104.
each calendar year to equal an annual
rate not less than the minimum annual
264
Subpart H—Drug and Alcohol (MIS) form and instructions as re-

Testing Procedures quired by 49 CFR part 40 (at § 40.25 and
appendix H to part 40). You may also
§ 219.701 Standards for drug and alco- use the electronic version of the MIS
hol testing. form provided by the DOT. The Admin-
(a) Drug testing required or author- istrator may designate means (e.g.,
ized by subparts B, D, F, and G of this electronic program transmitted via the
part must be conducted in compliance Internet), other than hard-copy, for
with all applicable provisions of the MIS form submission to FRA. For in-
Department of Transportation Proce- formation on where to submit MIS
dures for Transportation Workplace forms and for the electronic version of
Drug and Alcohol Testing Programs the form, see: http://www.fra.dot.gov/
(part 40 of this title). Content3.asp?P=504.
(b) Alcohol testing required or au- (c) Each railroad shall ensure the ac-
thorized by subparts B, D, F, and G of curacy and timeliness of each report
this part must be conducted in compli- submitted.
ance with all applicable provisions of (d) As a railroad, if you have a cov-
the Department of Transportation Pro- ered employee who performs multi-
cedures for Transportation Workplace DOT agency functions (e.g., an em-
Drug and Alcohol Testing Programs ployee drives a commercial motor vehi-
(part 40 of this title). cle and performs switchman duties for
(c) Each covered employee who is no- you), count the employee only on the
tified of selection for testing and who MIS report for the DOT agency under
is not performing covered service at which he or she is random tested. Nor-
the time of notification must proceed mally, this will be the DOT agency
to the testing site immediately. The under which the employee performs
railroad must ensure that an employee more than 50% of his or her duties.
who is performing covered service at Railroads may have to explain the test-
the time of notification shall, as soon ing data for these employees in the
as possible without affecting safety, event of a DOT agency inspection or
cease to perform covered service and audit.
proceed to the testing site. (e) A service agent (e.g., a consor-
tium/third party administrator) may
prepare the MIS report on behalf of a
Subpart I—Annual Report railroad. However, a railroad official
§ 219.800 Annual reports. (e.g., a designated employee represent-
ative) must certify the accuracy and
(a) Each railroad that has a total of
completeness of the MIS report, no
400,000 or more employee hours (includ-
matter who prepares it.
ing hours worked by all employees of
the railroad, regardless of occupation, [68 FR 75464, Dec. 31, 2003, as amended at 69
not only while in the United States but FR 19288, Apr. 12, 2004]
also while outside the United States)
must submit to FRA by March 15 of §§ 219.801–219.803 [Reserved]
each year a report covering the pre-
vious calendar year (January 1–Decem- Subpart J—Recordkeeping
ber 31), summarizing the results of its Requirements
alcohol misuse prevention program. As
used in this paragraph, the term ‘‘em- § 219.901 Retention of alcohol testing
ployees of the railroad’’ includes indi- records.
viduals who perform service for the (a) General requirement. In addition to
railroad, including not only individuals the records required to be kept by part
who receive direct monetary com- 40 of this title, each railroad must
pensation from the railroad for per- maintain alcohol misuse prevention
forming a service for the railroad, but program records in a secure location
also such individuals as employees of a with controlled access as set out in
contractor to the railroad who perform this section.
a service for the railroad. (b) Each railroad must maintain the
(b) As a railroad, you must use the following records for a minimum of
Management Information System five years:
265
§ 219.903 49 CFR Ch. II (10–1–11 Edition)
(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)).
(iii) Documents generated in connec- (2) Each railroad must maintain the
tion with decisions to administer rea- following records for a minimum of two
sonable suspicion alcohol tests. years.
(iv) Documents generated in connec- (c) Types of records. The following
tion with decisions on post-accident specific records must be maintained:
testing. (1) Records related to the collection
(v) Documents verifying the exist- process:
ence of a medical explanation of the in- (i) Documents relating to the random
ability of a covered employee to pro- selection process.
vide an adequate specimen. (ii) Documents generated in connec-
(2) Records related to test results: tion with decisions to administer rea-
(i) The railroad’s copy of the alcohol sonable suspicion drug tests.
test form, including the results of the
(iii) Documents generated in connec-
test.
tion with decisions on post-accident
(ii) Documents related to the refusal
testing.
of any covered employee to submit to
(iv) Documents verifying the exist-
an alcohol test required by this part.
ence of a medical explanation of the in-
(iii) Documents presented by a cov-
ability of a covered employee to pro-
ered employee to dispute the result of
vide a specimen.
an alcohol test administered under this
part. (2) Records related to test results:
(3) Records related to other viola- (i) The railroad’s copy of the drug
tions of this part. test custody and control form, includ-
(4) Records related to employee ing the results of the test.
training: (ii) Documents presented by a cov-
(i) Materials on alcohol abuse aware- ered employee to dispute the result of
ness, including a copy of the railroad’s a drug test administered under this
policy on alcohol abuse. part.
(ii) Documentation of compliance (3) Records related to other viola-
with the requirements of § 219.23. tions of this part.
(iii) Documentation of training pro- (4) Records related to employee
vided to supervisors for the purpose of training:
qualifying the supervisors to make a (i) Materials on drug abuse aware-
determination concerning the need for ness, including a copy of the railroad’s
alcohol testing based on reasonable policy on drug abuse.
suspicion. (ii) Documentation of compliance
(iv) Certification that any training with the requirements of § 219.23.
conducted under this part complies (iii) Documentation of training pro-
with the requirements for such train- vided to supervisors for the purpose of
ing. qualifying the supervisors to make a
determination concerning the need for
§ 219.903 Retention of drug testing alcohol testing based on reasonable
records. suspicion.
(a) General requirement. In addition to (iv) Certification that any training
the records required to be kept by part conducted under this part complies
266
with the requirements for such train- with the requirements of this part to
ing. the Secretary of Transportation,
United States Department of Transpor-
§ 219.905 Access to facilities and tation, or any DOT agency with regu-
records. latory authority over the railroad or
(a) Release of covered employee in- any of its covered employees.
formation contained in records re- (c) Each railroad must make avail-
quired to be maintained under §§ 219.901 able copies of all results for railroad al-
and 219.903 must be in accordance with cohol and drug testing programs con-
part 40 of this title and with this sec- ducted under this part and any other
tion. (For purposes of this section only, information pertaining to the rail-
urine drug testing records are consid- road’s alcohol and drug misuse preven-
ered equivalent to breath alcohol test- tion program, when requested by the
ing records.) Secretary of Transportation or any
(b) Each railroad must permit access DOT agency with regulatory authority
to all facilities utilized in complying 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
(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
267
PENALTY SCHEDULE 1—Continued

(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:
(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:
268
PENALTY SCHEDULE 1—Continued

(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 $100,000 for any violation, including ones not listed in this penalty schedule, where circumstances war-
rant. 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.
[66 FR 41973, Aug. 9, 2001, as amended at 69 (Surviving Employees)

FR 30593, May 28, 2004; 73 FR 79702, Dec. 30, 2.0 Surviving Employees.
2008] This unit provides detailed procedures for
collecting post-accident toxicological speci-
APPENDIX B TO PART 219—DESIGNATION mens from surviving employees involved in
OF LABORATORY FOR POST-ACCIDENT train accidents and train incidents, as re-
TOXICOLOGICAL TESTING quired by subpart C of this part. Subpart C
specifies qualifying events and employees re-
The following laboratory is currently des- quired to be tested.
ignated to conduct post-accident toxi- 2.1 Collection Procedures; General.
cological analysis under subpart C of this a. All forms and supplies necessary for col-
part: Northwest Toxicology/LabOne, Hayes lection and transfer of blood and urine speci-
Building, Suite #C, 2282 South Presidents mens for three surviving employees can be
Drive, West Valley City, UT 84120, Tele- found in the FRA post-accident shipping box,
phone: (800) 322–3361 or (801) 293–2300 (Day), which is made available to the collection
(801) 244–5599 (Night/Weekend). site by the railroad representative.
b. Each shipping box contains supplies for
[70 FR 16966, Apr. 4, 2005] blood/urine collections from three individ-
uals, including instructions and necessary
APPENDIX C TO PART 219—POST-ACCI- forms. The railroad is responsible for ensur-
DENT TESTING SPECIMEN COLLEC- ing that materials are fresh, complete and
TION meet FRA requirements.
2.1.1 Responsibility of the Railroad Rep-
1.0 General. resentative.
This appendix prescribes procedures for a. In the event of an accident/incident for
collection of specimens for mandatory post- which testing is required under subpart C of
accident testing pursuant to subpart C of this part, the railroad representative shall
this part. Collection of blood and urine speci- follow the designated set of instructions,
mens is required to be conducted at an inde- and, upon arrival at the independent medical
pendent medical facility. facility, promptly present to the collection
269
facility representative a post-accident ship- Exhibit C–1 contains instructions for col-
ping box or boxes with all remaining sets of lection of specimens for post-accident toxi-
instructions. (Each box contains supplies to cology from surviving employees. These in-
collect specimens from three employees.) structions shall be observed for each collec-
The railroad representative shall request the tion. Instructions are also contained in each
collection facility representative to review post-accident shipping box and shall be pro-
the instructions provided and, through quali- vided to collection facility personnel in-
fied personnel, provide for collection of the volved in the collection and/or packaging of
specimens according to the procedures set specimens for shipment.
out. (Post Mortem Collection)
b. The railroad representative shall under- 3.0 Fatality.
take the following additional responsibil- This unit provides procedures for col-
ities— lecting post-accident body fluid/tissue speci-
1. Complete Form FRA 6180.73 (revised), mens from the remains of employees killed
Accident Information Required for Post-Ac- in train accidents and train incidents, as re-
cident Toxicological Testing (49 CFR part quired by subpart C of this part. Subpart C
219), describing the testing event and identi- specifies qualifying events and employees re-
fying the employees whose specimens are to quired to be tested.
be deposited in the shipping box. 3.1 Collection.
2. As necessary to verify the identity of in- In the event of a fatality for which testing
dividual employees, affirm the identity of is required under Subpart C of this part, the
each employee to the medical facility per- railroad shall promptly make available to
sonnel.
the custodian of the remains a post-accident
3. Consistent with the policy of the collec-
shipping box. The railroad representative
tion facility, monitor the progress of the col-
shall request the custodian to review the in-
lection procedure.
structions contained in the shipping box and,
Warning: Monitor but do not directly ob-
through qualified medical personnel, to pro-
serve urination or otherwise disturb the pri-
vide the specimens as indicated.
vacy of urine or blood collection. Do not
handle specimen containers, bottles or tubes (Surviving Employees and Fatalities)
(empty or full). Do not become part of the 4.0 Shipment.
collection process. a. The railroad is responsible for arranging
2.1.2 Employee Responsibility. overnight transportation of the sealed ship-
a. An employee who is identified for post- ping box containing the specimens. When
accident toxicological testing shall cooper- possible without incurring delay, the box
ate in testing as required by the railroad and should be delivered directly from the collec-
personnel of the independent medical facil- tion personnel providing the specimens to an
ity. Such cooperation will normally consist overnight express service courier. If it be-
of the following, to be performed as re- comes necessary for the railroad to transport
quested: the box from point of collection to point of
1. Provide a blood specimen, which a quali- shipment, then—
fied medical professional or technician will 1. Individual kits and the shipping box
draw using a single-use sterile syringe. The shall be sealed by collection personnel before
employee should be seated for this proce- the box is turned over to the railroad rep-
dure. resentative;
2. Provide, in the privacy of an enclosure, 2. The railroad shall limit the number of
a urine specimen into a plastic collection persons handling the shipping box to the
cup. Deliver the cup to the collector. minimum necessary to provide for transpor-
3. Do not let the blood and urine specimens tation;
that you provided leave your sight until they 3. If the shipping box cannot immediately
have been properly sealed and initialed by be delivered to the express carrier for trans-
you. portation, it shall be maintained in secure
4. Certify the statement in Step 4 of the temporary storage; and
Post-Accident Testing Blood/Urine Custody 4. The railroad representatives handling
and Control Form (49 CFR part 219) (Form the box shall document chain of custody of
FRA F 6180.74 (revised)). the shipping box and shall make available
5. If required by the medical facility, com- such documentation to FRA on request.
plete a separate consent form for taking of
the specimens and their release to FRA for EXHIBIT C–1—INSTRUCTIONS FOR COLLECTION
analysis under the FRA rule. OF BLOOD AND URINE SPECIMENS: MANDA-
NOTE: The employee may not be required TORY POST-ACCIDENT TOXICOLOGICAL TEST-
to complete any form that contains any ING
waiver of rights the employee may have in
A. Purpose
the employment relationship or that releases
or holds harmless the medical facility with These instructions are for the use of per-
respect to negligence in the collection. sonnel of collection facilities conducting col-
2.2 The Collection. lection of blood and urine specimens from
270
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.
participation of medical facilities in this im- d. Once both tubes are filled and the site of
portant public safety program. venipuncture is protected, immediately—
1. Seal and label each tube by placing a
B. Prepare for Collection numbered blood specimen label from the
a. Railroad employees have consented to label set on the Control Form over the top of
provision of specimens for analysis by the the tube and securing it down the sides.
Federal Railroad Administration as a condi- 2. Ask the donor to initial each label.
tion of employment (49 CFR 219.11). A pri- Please check to see that the initials match
vate, controlled area should be designated the employee’s name and note any discrep-
for collection of specimens and completion of ancies in the ‘‘Remarks’’ block of the Con-
paperwork. trol Form.
b. Only one specimen should be collected at 3. As collector, sign and date each blood
a time, with each employee’s blood draw or tube label at the place provided.
urine collection having the complete atten- 4. Skip to STEP 5 and initiate chain of cus-
tion of the collector until the specific speci- tody for the blood tubes by filling out the
men has been labeled, sealed and docu- first line of the block to show receipt of the
mented. blood specimens from the donor.
c. Please remember two critical rules for 5. Complete STEP 2 on the form.
the collections: 6. Return the blood tubes into the indi-
d. All labeling and sealing must be done in vidual kit. Keep the paperwork and speci-
the sight of the donor, with the specimen mens together. If another collector will be
never having left the donor’s presence until collecting the urine specimen from this em-
the specimen has been labeled, sealed and ployee, transfer both the form and the indi-
initialed by the donor. vidual kit with blood tubes to that person,
e. Continuous custody and control of blood showing the transfer of the blood tubes on
and urine specimens must be maintained and the second line of STEP 5 (the chain of cus-
documented on the forms provided. In order tody block).
to do this, it is important for the paperwork
and the specimens to stay together. E. Collect Urine
f. To the extent practical, blood collection a. The urine collector should assemble at
should take priority over urine collection. his/her station the materials for collecting
To limit steps in the chain of custody, it is urine from each employee: one plastic collec-
best if a single collector handles both collection cup with temperature device affixed en-
tions from a given employee. closed in a heat-seal bag (with protective
g. You will use a single Post-Accident seal intact), two 90 ml urine specimen bot-
Testing Blood/Urine Custody and Control tles with caps and one biohazard bag (with
Form (FRA Form 6108.74 (revised)), con- absorbent) also enclosed in a heat-seal bag
sisting of six Steps to complete the collec- (with protective seal intact), and the Control
tion for each employee. We will refer to it as Form. Blood specimens already collected
the Control Form. must remain in the collector’s custody and
C. Identify the Donor control during this procedure.
b. After requiring the employee to wash
a. The employee donor must provide photo his/her hands, the collector should escort the
identification to each collector, or lacking employee directly to the urine collection
this, be identified by the railroad representa- area. To the extent practical, all sources of
tive. water in the collection area should be se-
b. The donor should remove all unneces- cured and a bluing agent (provided in the
sary outer garments such as coats or jack- box) placed in any toilet bowl, tank, or other
ets, but may retain valuables, including a standing water.
wallet. Donors should not be asked to dis- c. The employee will be provided a private
robe, unless necessary for a separate phys- place in which to void. Urination will not be
ical examination required by the attending directly observed. If the enclosure contains a
physician. source of running water that cannot be se-
cured or any material (soap, etc.) that could
D. Draw Blood be used to adulterate the specimen, the col-
a. Assemble the materials for collecting lector should monitor the provision of the
blood from each employee: two 10 ml grey- specimen from outside the enclosure. Any
stoppered blood tubes and the Control Form. unusual behavior or appearance should be
b. Ask the donor to complete STEP 1 on noted in the remarks section of the Control
the Control Form. Form or on the back of that form.
c. With the donor seated, draw two (2) 10 d. The collector should then proceed as fol-
ml tubes of blood using standard medical lows:
271
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
f. Ask the employee to void at least 60 ml will be collecting the blood specimen from
into the collection cup (at least to the line this employee, transfer both the form and
marked). the kit to that person, showing the transfer
g. Leave the private enclosure. of the urine specimens on the next available
IF THERE IS A PROBLEM WITH URINA- line of STEP 5 (the chain of custody block).
TION OR Specimen QUANTITY, SEE THE
F. Seal the Individual Employee Kit
‘‘TROUBLE BOX’’ AT THE BACK OF THESE
INSTRUCTIONS. a. The blood and urine specimens have now
h. Once the void is complete, the employee been collected for this employee. The blood/
should exit the private enclosure and deliver urine specimens will now be sealed into the
the specimen to the collector. Both the col- individual employee kit, while all paperwork
lector and the employee must proceed imme- will be retained for further completion. After
diately to the labeling/sealing area, with the rechecking to see that each specimen is
specimen never leaving the sight of the em- properly labeled and initialed, close the plas-
ployee before being sealed and labeled. tic bag to contain any leakage in transpor-
i. Upon receipt of the specimen, proceed as tation, and apply the kit security seal to the
follows: small individual kit. As collector, sign and
1. In the full view of the employee, remove date the kit seal.
the wrapper from the two urine specimen b. Before collecting specimens from the
bottles. Transfer the urine from the collec- next employee, complete the next line on the
tion cup into the specimen bottles (at least chain-of-custody block showing release of
30 ml in bottle A and at least 15 ml in bottle the blood and urine by yourself for the pur-
B). pose of ‘‘Shipment’’ and receipt by the cou-
2. As you pour the specimen into the speci- rier service or railroad representative that
men bottles, please inspect for any unusual will provide transportation of the box, to-
signs indicating possible adulteration or di- gether with the date.
lution. Carefully secure the tops. Note any
G. Complete Treatment Information
unusual signs under ‘‘Remarks’’ at STEP 3 of
the Control Form. Complete STEP 6 of the Control Form.
3. Within 4 minutes after the void, measure Mark the box if a breath alcohol test was
the temperature of the urine by reading the conducted under FRA authority.
strip on the bottle. Mark the result at STEP
3 of the Control Form. H. Prepare the Box for Shipment
IF THERE IS A PROBLEM WITH THE a. Sealed individual employee kits should
URINE Specimen, SEE THE ‘‘TROUBLE be retained in secure storage if there will be
BOX’’ AT THE BACK OF THESE INSTRUC- a delay in preparation of the shipping box.
TIONS. The shipping box shall be prepared and
4. Remove the urine bottle labels from the sealed by a collection facility representative
Control Form. The labels are marked ‘‘A’’ as follows:
and ‘‘B.’’ Place each label as marked over 1. Inspect STEP 5 of each Control Form to
the top of its corresponding bottle, and se- ensure chain-of-custody is continuous and
cure the label to the sides of the bottle. complete for each fluid (showing specimens
5. Ask the donor to initial each label. released for shipment). Retain the medical
Please check to see that the initials match facility copy of each Control Form and the
the employee name and note any discrepancy Accident Information form for your records.
in the ‘‘Remarks’’ block of STEP 3. 2. Place sealed individual employee kits in
6. As collector, sign and date each urine the shipping box. Place all forms in zip-lock
label. bag and seal securely. Place bag with forms
7. Skip to STEP 5 and initiate chain-of- and unused supplies in shipping box.
custody by showing receipt of the urine 3. Affix the mailing label provided to the
specimens from the donor. (If you collected outside of the shipping box.
the blood, a check under ‘‘urine’’ will suffice.
I. Ship the Box
If someone else collected the blood, first
make sure transfer of the blood to you is a. The railroad must arrange to have the
documented. Then, using the next available box shipped overnight air express or (if ex-
line, show ‘‘Provide specimens’’ under pur- press service is unavailable) by air freight,
pose, ‘‘Donor’’ under ‘‘released by,’’ check prepaid, to FRA’s designated laboratory.
under ‘‘urine’’ and place your name, signa- Whenever possible without incurring delay,
ture and date in the space provided.) the collector should deliver the box directly
8. Complete the remainder of STEP 3 on into the hands of the express courier or air
the Control Form. freight representative.
9. Have the employee complete STEP 4 on b. Where courier pickup is not imme-
the Control Form. diately available at the collection facility
272
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.
expeditious shipment by air express, air iii. If a collector of the same gender is
freight or equivalent means. available, proceed as follows: A new Control
c. If the railroad is given custody of the box Form must be initiated for the second void.
to arrange shipment, please record the name The original suspect specimen should be
of the railroad official taking custody on the marked ‘‘Void’’ and the follow-up void
copy of Form 6180.73 retained by the collec- should be marked ‘‘Void 2,’’ with both voids
tion site. being sent to the laboratory and the incident
clearly detailed on the Control Form.
‘‘TROUBLE BOX’’
1. Problem: The employee claims an inability EXHIBIT C–2—INSTRUCTIONS FOR COLLECTION
to urinate, either because he/she has recently OF POST MORTEM SPECIMENS: EMPLOYEE
voided or because of anxiety concerning the col- KILLED IN A RAILROAD ACCIDENT/INCIDENT
lection. To the Medical Examiner, Coroner, or Pa-
Action: The employee may be offered mod- thologist:
erate quantities of liquid to assist urination. a. In compliance with Federal safety regu-
If the employee continues to claim inability
lations (49 CFR Part 219), a railroad rep-
after 4 hours, the urine collection should be
resentative has requested that you obtain
discontinued, but the blood specimens should
specimens for toxicology from the remains of
be forwarded and all other procedures fol-
a railroad employee who was killed in a rail-
lowed. Please note in area provided for re-
road accident or incident. The deceased con-
marks what explanation was provided by the
sented to the taking of such specimens, as a
employee.
matter of Federal law, by performing service
2. Problem: The employee cannot provide ap-
on the railroad (49 CFR 219.11(f)).
proximately 60 ml. of specimen.
Action: The employee should remain at the b. Your assistance is requested in carrying
collection facility until as much as possible out this program of testing, which is impor-
of the required amount can be given (up to 4 tant to the protection of the public safety
hours). The employee should be offered mod- and the safety of those who work on the rail-
erate quantities of liquids to aid urination. roads.
The first bottle, if it contains any quantity
A. Materials:
of urine, should be sealed and securely stored
with the blood tubes and Control Form pend- The railroad will provide you a post-acci-
ing shipment. A second bottle should then be dent shipping box that contains necessary
used for the subsequent void (using a second supplies. If the box is not immediately avail-
Control Form with the words ‘‘SECOND able, please proceed using supplies available
VOID—FIRST Specimen INSUFFICIENT’’ in to you that are suitable for forensic toxi-
the remarks block and labels from that cology.
form). However, if after 4 hours the donor’s
second void is also insufficient or contains B. Specimens requested, in order of preference:
no more than the first insufficient void, dis-
a. Blood—20 milliliters or more. Preferred
card the second void and send the first void
sites: intact femoral vein or artery or periph-
to the laboratory.
3. Problem: The urine temperature is outside eral vessels (up to 10 ml, as available) and in-
the normal range of 32 deg.¥38 deg.C/90 tact heart (20 ml). Deposit blood in gray-
deg.¥100 deg.F, and a suitable medical expla- stopper tubes individually by site and shake
nation cannot be provided by an oral tem- to mix specimen and preservative.
perature or other means; or NOTE: If uncontaminated blood is not
4. Problem: The collector observes conduct available, bloody fluid or clots from body
clearly and unequivocally indicating an attempt cavity may be useful for qualitative pur-
to substitute or adulterate the specimen (e.g., poses; but do not label as blood. Please indi-
substitute urine in plain view, blue dye in cate source and identity of specimen on label
specimen presented, etc.) and a collection of tube.
site supervisor or the railroad representative b. Urine—as much as 100 milliliters, if
agrees that the circumstances indicate an available. Deposit into plastic bottles pro-
attempt to tamper with the specimen. vided.
Action (for either Problem No. 3 or Prob- c. Vitreous fluid—all available, deposited
lem No. 4): Document the problem on the into smallest available tube (e.g., 3 ml) with
Control Form. 1% sodium fluoride, or gray-stopper tube
i. If the collection site supervisor or rail- (provided). Shake to mix specimen and pre-
road representative concurs that the tem- servative.
perature of the specimen, or other clear and d. If available at autopsy, organs—50 to 100
unequivocal evidence, indicates a possible grams each of two or more of the following
attempt to substitute or alter the specimen, in order preference, as available: liver, bile,
another void must be taken under direct ob- brain, kidney, spleen, and/or lung. Specimens
servation by a collector of the same gender. should be individually deposited into zip-
273
lock bags or other clean, single use con- requested to complete STEP 2 of the form,
tainers suitable for forensic specimens. annotating it by writing the word ‘‘FATAL-
e. If vitreous or urine is not available, ITY,’’ listing the specimens provided, pro-
please provide— viding any further information under ‘‘Re-
1. Spinal fluid—all available, in 8 ml con- marks’’ or at the bottom of the form. If it is
tainer (if available) with sodium fluoride or necessary to transfer custody of the speci-
in gray-stopper tube; or, if spinal fluid can- mens from the person taking the specimens
not be obtained, prior to preparing the box for shipment,
2. Gastric content—up to 100 milliliters, as please use the blocks provided in STEP 5 to
available, into plastic bottle. document transfer of custody.
b. The railroad representative will also
C. Specimen collection: provide Accident Information Required for
a. Sampling at time of autopsy is preferred Post-Accident Toxicological Testing (49 CFR
so that percutaneous needle puncturing is part 219), Form FRA 6180.73 (revised). Both
not necessary. However, if autopsy will not forms should be placed in the shipping box
be conducted or is delayed, please proceed when completed; but you may retain the des-
with sampling. ignated medical facility copy of each form
b. Blood specimens should be taken by for your records.
sterile syringe and deposited directly into
evacuated tube, if possible, to avoid con- G. Packing the shipping box:
tamination of specimen or dissipation of a. Place urine bottles and blood tubes in
volatiles (ethyl alcohol). the sponge liner in the individual kit, close
NOTE: If only cavity fluid is available, the biohazard bag zipper, close the kit and
please open cavity to collect specimen. Note apply the kit custody seal to the kit. You
condition of cavity. may use additional kits for each tissue speci-
c. Please use smallest tubes available to men, being careful to identify specimen by
accommodate available quantity of fluid tissue, name of deceased, and specimen set
specimen (with 1% sodium fluoride). identification number. Apply kit security
seals to individual kits and initial across all
D. Specimen identification, sealing:
seals. Place all forms in the zip-lock bag and
a. As each specimen is collected, seal each seal securely.
blood tube and each urine bottle using the b. Place the bag in the shipping box. Do
respective blood tube or urine bottle using not put forms in with the specimens. Seal
the identifier labels from the set provided the shipping box with the seal provided and
with the Post-Accident Testing Blood/Urine initial and date across the seal.
Custody and Control Form (49 CFR part 219) c. Affix the mailing label to the outside of
(Form FRA F 6180.74 (revised)). Make sure the box.
the unique identification number on the la-
bels match the pre-printed number on the H. Shipping the box:
Control Form. Please label other specimens a. The railroad must arrange to have the
with name and specimen set identification box shipped overnight air express or (if ex-
numbers. You may use labels and seals from press service is unavailable) by air freight,
any of the extra forms, but annotate them prepaid, to FRA’s designated laboratory.
accordingly. When possible, but without incurring delay,
b. Annotate each label with specimen de- deliver the sealed shipping box directly to
scription and source (as appropriate) (e.g., the express courier or the air freight rep-
blood, femoral vein). resentative.
c. Please provide copy of any written docu- b. If courier pickup is not immediately
mentation regarding condition of body and/ available at your facility, the railroad is re-
or sampling procedure that is available at quired to transport the sealed shipping box
the time specimens are shipped. to the nearest point of shipment via air ex-
press, air freight or equivalent means.
E. Handling:
c. If the railroad receives the sealed shipping
a. If specimens cannot be shipped imme- box to arrange shipment, please record under
diately as provided below, specimens other ‘‘Supplemental Information’’ on the Control
than blood may be immediately frozen. Form, the name of the railroad official tak-
Blood specimens should be refrigerated, but ing custody.
not frozen.
b. All specimens and documentation should I. Other:
be secured from unauthorized access pending FRA requests that the person taking the
delivery for transportation. specimens annotate the Control Form under
‘‘Supplemental Information’’ if additional
F. Information:
toxicological analysis will be undertaken
a. If the railroad has not already done so, with respect to the fatality. FRA reports are
please place the name of the subject at the available to the coroner or medical examiner
top of the Control Form (STEP 1). You are on request.
274
PART 220—RAILROAD APPENDIX B TO PART 220—RECOMMENDED PRO-

NUNCIATION OF NUMERALS
COMMUNICATIONS APPENDIX C TO PART 220—SCHEDULE OF CIVIL
PENALTIES
Subpart A—General
AUTHORITY: 49 U.S.C. 20102–20103, 20103,
Sec. note, 20107, 21301–21302, 20701–20703, 21304,
220.1 Scope. 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.
220.2 [Reserved]
220.3 Application. SOURCE: 63 FR 47195, Sept. 4, 1998, unless
220.5 Definitions. otherwise noted.
220.7 Penalty.
220.8 Waivers. Subpart A—General
220.9 Requirements for trains.
220.11 Requirements for roadway workers. § 220.1 Scope.
220.13 Reporting emergencies.
This part prescribes minimum re-
Subpart B—Radio and Wireless quirements governing the use of wire-
Communication Procedures less communications in connection
with railroad operations. In addition,
220.21 Railroad operating rules; radio com-
this part sets forth prohibitions, re-
munications; recordkeeping.
220.23 Publication of radio information. strictions, and requirements that apply
220.25 Instruction and operational testing of to the use of personal and railroad-sup-
employees. plied cellular telephones and other
220.27 Identification. electronic devices. So long as these
220.29 Statement of letters and numbers in minimum requirements are met, rail-
radio communications. roads may adopt additional or more
220.31 Initiating a radio transmission.
220.33 Receiving a radio transmission.
stringent requirements.
220.35 Ending a radio transmission. [75 FR 59601, Sept. 27, 2010]
220.37 Testing radio and wireless commu-
nication equipment. § 220.2 [Reserved]
220.38 Communication equipment failure.
220.39 Continuous radio monitoring. § 220.3 Application.
220.41 [Reserved]
220.43 Radio communications consistent (a) Except as provided in paragraph
with federal regulations and railroad op- (b) of this section, this part applies to
erating rules. railroads that operate trains or other
220.45 Radio communication shall be com- rolling equipment on standard gage
plete.
220.47 Emergency radio transmissions.
track which is part of the general rail-
220.49 Radio communication used in shov- road system of transportation.
ing, backing or pushing movements. (b) This part does not apply to:
220.51 Radio communications and signal in- (1) A railroad that operates only on
dications. track inside an installation which is
220.61 Radio transmission of mandatory di- not part of the general railroad system
rectives. of transportation; or
Subpart C—Electronic Devices (2) Rapid transit operations in an
urban area that are not connected with
220.301 Purpose and application. the general railroad system of trans-
220.302 Operating rules implementing the portation.
requirements of this subpart.
220.303 General use of electronic devices. § 220.5 Definitions.
220.305 Use of personal electronic devices.
220.307 Use of railroad-supplied electronic As used in this part, the term:
devices. Adjacent tracks means two or more
220.309 Permitted uses; exceptions to other tracks with track centers spaced less
restrictions. than 25 feet apart.
220.311 Railroad operating employees in Associate Administrator for Railroad
deadhead status.
220.313 Instruction. Safety/Chief Safety Officer means either
220.315 Operational tests and inspections; the Associate Administrator for Rail-
further restrictions on use of electronic road Safety/Chief Safety Officer, Fed-
devices. eral Railroad Administration, 1200 New
APPENDIX A TO PART 220—RECOMMENDED Jersey Ave., SE., Washington, DC 20590
PHONETIC ALPHABET or that person’s delegate.
275
§ 220.5 49 CFR Ch. II (10–1–11 Edition)
Authorized business purpose means a track equipment, or in any case is

purpose directly related to the tasks within four feet of the nearest rail.
that a crewmember is expected to per- FRA means the Federal Railroad Ad-
form during the current tour of duty as ministration.
specified by the railroad in writing. Immediate access to a radio means a
Control center means the locations on radio on the employee’s person, or suf-
a railroad from which the railroad ficiently close to the employee to allow
issues instructions governing railroad the employee to make and receive
operations. radio transmissions.
Division headquarters means the loca- In deadhead status means awaiting or
tion designated by the railroad where a in deadhead transport from one point
high-level operating manager (e.g., a to another as a result of a railroad-
superintendent, division manager, or issued verbal or written directive.
equivalent), who has jurisdiction over a Joint operations means rail operations
portion of the railroad, has an office. conducted by more than one railroad
Earpiece means a small speaker that on the track of a railroad subject to
is inserted in, or held next to, the ear the requirements of § 220.9(a), except as
for use in transmitting sounds related necessary for the purpose of inter-
to an electronic device. change.
Electronic device means an electronic Locomotive means a piece of on-track
or electrical device used to conduct equipment other than hi-rail, special-
oral, written, or visual communication; ized maintenance, or other similar
place or receive a telephone call; send equipment—
or read an electronic mail message or (1) With one or more propelling mo-
text message; look at pictures; read a tors designed for moving other equip-
book or other written material; play a ment;
game; navigate the Internet; navigate (2) With one or more propelling mo-
the physical world; play, view, or listen tors designed to carry freight or pas-
to a video; play, view, or listen to a tel- senger traffic, or both; or
evision broadcast; play or listen to a (3) Without propelling motors but
radio broadcast other than a radio with one or more control stands.
broadcast by a railroad; play or listen Lone worker means an individual
to music; execute a computational roadway worker who is not being af-
function; or, perform any other func- forded on-track safety by another road-
tion that is not necessary for the way worker, who is not a member of a
health or safety of the person and that roadway work group, and who is not
entails the risk of distracting the em- engaged in a common task with an-
ployee or another railroad operating other roadway worker.
employee from a safety-related task. Mandatory directive means any move-
This term does not include— ment authority or speed restriction
(1) Electronic control systems and in- that affects a railroad operation.
formation displays within the loco- Medical device means an instrument,
motive cab (whether the displays or apparatus, implement, machine, con-
systems be fixed or portable) or on a trivance, implant, or other similar or
remote control transmitter necessary related article (including a component
to operate a train or conduct switching part), or accessory that is intended for
operations; or use in the diagnosis of disease or other
(2) A digital watch whose only pur- conditions, or in the cure, mitigation,
pose is as a timepiece. treatment, or prevention of disease or
Employee means an individual who is other conditions.
engaged or compensated by a railroad Personal electronic device means an
or by a contractor to a railroad, who is electronic device that was not provided
authorized by a railroad to use its to the railroad operating employee by
wireless communications in connection the employing railroad for a business
with railroad operations. purpose.
Fouling a track means the placement Railroad operating employee means a
of an individual in such proximity to a person performing duties subject to—
track that the individual could be (1) An individual engaged in or con-
struck by a moving train or other on- nected with the movement of a train,
276
including a hostler, as defined in 49 except during switching operations or

U.S.C. 21101(5), who is subject to 49 where the operation is that of
U.S.C. 21103 effective July 16, 2009; classifying and assembling rail cars
(2) A train employee providing com- within a railroad yard for the purpose
muter rail passenger transportation or of making or breaking up trains. The
intercity rail passenger transportation term, for purposes of subpart C of this
as defined in 49 U.S.C. 24102 who, pursu- part, means—
ant to 49 U.S.C. 21102(c), is subject to 49 (1) A single locomotive,
U.S.C. 21103 as it was in effect on Octo- (2) Multiple locomotives coupled to-
ber 15, 2008; or gether, or
(3) An individual subject to any Fed- (3) One or more locomotives coupled
eral Railroad Administration regula- with one or more cars.
tions prescribed pursuant to 49 U.S.C. Working radio means a radio that can
21109 governing the hours of service of communicate with the control center
train employees. of the railroad (through repeater sta-
Railroad operation means any activity tions, if necessary to reach the center)
which affects the movement of a train, from any location within the rail sys-
locomotive, on-track equipment, or tem, except:
track motor car, singly or in combina- (1) Tunnels or other localized places
tion with other equipment, on the of extreme topography, and
track of a railroad. (2) Temporary lapses of coverage due
Railroad-supplied electronic device to atmospheric or topographic condi-
means an electronic device provided to tions. In the case of joint operations on
a railroad operating employee by the another railroad, the radio must be
employing railroad for an authorized able to reach the control center of the
business purpose. A railroad-supplied host railroad.
device will be considered a personal Working wireless communications
electronic device when it is being used means the capability to communicate
by the employee for a purpose other with either a control center or the
than an authorized business purpose. emergency responder of a railroad
Roadway worker means any employee through such means as radio, portable
of a railroad, or of a contractor to a radio, cellular telephone, or other
railroad, whose duties include inspec- means of two-way communication,
tion, construction, maintenance or re- from any location within the rail sys-
pair of railroad track, bridges, road- tem, except:
way, signal and communication sys- (1) Tunnels or other localized places
tems, electric traction systems, road- of extreme topography, and
way facilities or roadway maintenance (2) Temporary lapses of coverage due
machinery on or near track or with the to atmospheric or topographic condi-
potential of fouling a track, and tions. In the case of joint operations on
flagmen and watchmen/lookouts. another railroad, the radio must be
Switching operation means the classi- able to reach the control center of the
fication of rail cars according to com- host railroad.
modity or destination; assembling of [63 FR 47195, Sept. 4, 1998, as amended at 65
cars for train movements; changing the FR 41305, July 3, 2000; 75 FR 59601, Sept. 27,
position of cars for purposes of loading, 2010]
unloading, or weighing; placing of loco-
motives and cars for repair or storage; § 220.7 Penalty.
or moving of rail equipment in connec- Any person (including but not lim-
tion with work service that does not ited to a railroad; any manager, super-
constitute a train movement. visor, official, or other employee or
System headquarters means the loca- agent of a railroad; any owner, manu-
tion designated by the railroad as the facturer, lessor, or lessee of railroad
general office for the railroad system. equipment, track, or facilities; any
Train, for purposes of subparts A and independent contractor providing
B of this part, means one or more loco- goods or services to a railroad; and any
motives coupled with or without cars, employee of such owner, manufacturer,
requiring an air brake test in accord- lessor, lessee, or independent con-
ance with 49 CFR part 232 or part 238, tractor) who violates any requirement
277
§ 220.8 49 CFR Ch. II (10–1–11 Edition)
of this part or causes the violation of (1) Any train that transports pas-
any such requirement is subject to a sengers shall be equipped with a work-
civil penalty of at least $650 and not ing radio in the occupied controlling
more than $25,000 per violation, except locomotive and with redundant work-
that: Penalties may be assessed against ing wireless communications capa-
individuals only for willful violations; bility in the same manner as provided
where a grossly negligent violation or in paragraph (a) of this section.
a pattern of repeated violations has (2) Any train that operates at greater
created an imminent hazard of death or than 25 miles per hour; or engages in
injury, or has caused death or injury, a joint operations on track where the
penalty not to exceed $100,000 per viola- maximum authorized speed for freight
tion may be assessed; and the standard trains exceeds 25 miles per hour; or en-
of liability for a railroad will vary de- gages in joint operations on a track
pending upon the requirement in- that is adjacent to and within 30 feet
volved. Each day a violation continues measured between track center lines of
shall constitute a separate offense. another track on which the maximum
(See appendix C to this part for a state- authorized speed for passenger trains
ment of agency civil penalty policy.) exceeds 40 miles per hour, shall be
equipped with a working radio in the
[63 FR 47195, Sept. 4, 1998, as amended at 69
FR 30593, May 28, 2004; 72 FR 51196, Sept. 6,
occupied controlling locomotive.
2007; 73 FR 79702, Dec. 30, 2008] (3) Any train that engages in joint
operations, where the maximum au-
§ 220.8 Waivers. thorized speed of the track is 25 miles
per hour or less, shall be equipped with
(a) Any person subject to a require- working wireless communications in
ment of this part may petition the Ad- the occupied controlling locomotive.
ministrator for a waiver of compliance (4) Any train not described in para-
with such requirement. The filing of graph (b) of this section that trans-
such a petition does not affect that ports hazardous material required to be
person’s responsibility for compliance placarded under the provisions of part
with that requirement while the peti- 172 of this title shall be equipped with
tion is being considered. working wireless communications in
(b) Each petition for waiver must be the occupied controlling locomotive.
filed in the manner and contain the in-
formation required by part 211 of this § 220.11 Requirements for roadway
chapter. workers.
(c) If the Administrator finds that a (a) On and after July 1, 1999, the fol-
waiver of compliance is in the public lowing requirements apply to a rail-
interest and is consistent with railroad road that has 400,000 or more annual
safety, the Administrator may grant employee work hours:
the waiver subject to any conditions (1) Maintenance-of-way equipment
the Administrator deems necessary. operating without locomotive assist-
ance between work locations shall have
§ 220.9 Requirements for trains.
a working radio on at least one such
(a) Except as provided for in para- unit in each multiple piece of mainte-
graphs (b)(1) through (4) of this section, nance-of-way equipment traveling to-
on and after July 1, 1999, each occupied gether under the same movement au-
controlling locomotive in a train shall thority. The operators of each addi-
have a working radio, and each train tional piece of maintenance-of-way
shall also have communications redun- equipment shall have communications
dancy. For purposes of this section, capability with each other.
‘‘communications redundancy’’ means (2) Each maintenance-of-way work
a working radio on another locomotive group shall have intra-group commu-
in the consist or other means of work- nications capability upon arriving at a
ing wireless communications. work site.
(b) On and after July 1, 2000, the fol- (b) On and after July 1, 1999, each em-
lowing requirements apply to a rail- ployee designated by the employer to
road that has fewer than 400,000 annual provide on-track safety for a roadway
employee work hours: work group or groups, and each lone
278
worker, shall be provided, and where Subpart B—Radio and Wireless

practicable, shall maintain immediate Communication Procedures
access to a working radio. When imme-
diate access to a working radio is not § 220.21 Railroad operating rules;
available, the employee responsible for radio communications; record-
on-track safety or lone worker shall be keeping.
equipped with a radio capable of moni- (a) The operating rules of each rail-
toring transmissions from train move- road with respect to radio communica-
ments in the vicinity. A railroad with tions shall conform to the require-
fewer than 400,000 annual employee ments of this part.
work hours may provide immediate ac- (b) Thirty days before commencing to
cess to working wireless communica- use radio communications in connec-
tions as an alternative to a working tion with railroad operations each rail-
radio. road shall retain one copy of its cur-
(c) This section does not apply to: rent operating rules with respect to
(1) Railroads which have fewer than radio communications at the locations
400,000 annual employee work hours, prescribed in paragraphs (b) (1) and
and which do not operate trains in ex- (b)(2) of this section. Each amendment
cess of 25 miles per hour; or to these operating rules shall be filed
(2) Railroad operations where the at such locations within 30 days after
work location of the roadway work it is issued. These records shall be
group or lone worker: made available to representatives of
(i) Is physically inaccessible to the Federal Railroad Administration
trains; or for inspection and photocopying during
(ii) Has no through traffic or traffic normal business hours.
on adjacent tracks during the period (1) Each Class I railroad, each Class
when roadway workers will be present. II railroad, each railroad providing
intercity rail passenger service, and
§ 220.13 Reporting emergencies. each railroad providing commuter
(a) Employees shall immediately re- service in a metropolitan or suburban
port by the quickest means available area shall retain such rules at each of
derailments, collisions, storms, wash- its division headquarters and at its sys-
outs, fires, obstructions to tracks, and tem headquarters; and (2) Each Class
other hazardous conditions which could III railroad and any other railroad sub-
result in death or injury, damage to ject to this part but not subject to
property or serious disruption of rail- paragraph (b)(1) of this section shall re-
road operations. tain such rules at the system head-
(b) In reporting emergencies, employ- quarters of the railroad.
ees shall follow: (c) For purposes of this section, the
(1) The procedures of § 220.47 when terms Class I railroad, Class II rail-
using a radio; or road, and Class III railroad have the
(2) The procedures specified for re- meaning given these terms in 49 CFR
porting emergencies in the railroad’s Part 1201.
timetables or timetable special in-
structions, when using another means § 220.23 Publication of radio informa-
tion.
of wireless communications.
(c) Employees shall describe as com- Each railroad shall designate where
pletely as possible the nature, degree radio base stations are installed, where
and location of the hazard. wayside stations may be contacted,
(d) An alternative means of commu- and the appropriate radio channels
nications capability shall be provided used by these stations in connection
whenever the control center is unat- with railroad operations by publishing
tended or unable to receive radio trans- them in a timetable or special instruc-
missions during a period in which rail- tion. The publication shall indicate the
road operations are conducted. periods during which base and wayside
radio stations are operational.
279
§ 220.25 49 CFR Ch. II (10–1–11 Edition)
§ 220.25 Instruction and operational § 220.29 Statement of letters and num-

testing of employees. bers in radio communications.
Each employee who a railroad au- (a) If necessary for clarity, a pho-
thorizes to use a radio in connection netic alphabet shall be used to pro-
with a railroad operation, shall be: nounce any letter used as an initial,
(a) Provided with a copy of the rail- except initial letters of railroads. See
road’s operating rules governing the appendix A of this part for the rec-
use of radio communication in a rail- ommended phonetic alphabet.
road operation; (b) A word which needs to be spelled
(b) Instructed in the proper use of for clarity, such as a station name,
radio communication as part of the shall first be pronounced, and then
program of instruction prescribed in spelled. If necessary, the word shall be
§ 217.11 of this chapter; and spelled again, using a phonetic alpha-
(c) Periodically tested under the bet.
operational testing requirements in (c) Numbers shall be spoken by digit,
§ 217.9 of this chapter. except that exact multiples of hun-
dreds and thousands may be stated as
§ 220.27 Identification. such. A decimal point shall be indi-
(a) Except as provided in paragraph cated by the words ‘‘decimal,’’ ‘‘dot,’’
(c) of this section, the identification of or ‘‘point.’’ (See appendix B to this
each wayside, base or yard station part, for a recommended guide to the
shall include at least the following pronunciation of numbers.)
minimum elements, stated in the order
listed: § 220.31 Initiating a radio trans-
(1) Name of railroad. An abbreviated mission.
name or initial letters of the railroad
BEFORE TRANSMITTING BY RADIO, AN
may be used where the name or initials EMPLOYEE SHALL:
are in general usage and are under-
stood in the railroad industry; and (a) Listen to ensure that the channel
(2) Name and location of office or on which the employee intends to
other unique designation. transmit is not already in use;
(b) Except as provided in paragraph (b) Identify the employee’s station in
(c) of this section, the identification of accordance with the requirements of
each mobile station shall consist of the § 220.27; and
following elements, stated in the order (c) Verify that the employee has
listed: made radio contact with the person or
(1) Name of railroad. An abbreviated station with whom the employee in-
name or initial letters of the railroad tends to communicate by listening for
may be used where the name or initial an acknowledgment. If the station ac-
letters are in general usage and are un- knowledging the employee’s trans-
derstood in the railroad industry; mission fails to identify itself properly,
(2) Train name (number), if one has the employee shall require a proper
been assigned, or other appropriate identification before proceeding with
unit designation; and the transmission.
(3) When necessary, the word ‘‘loco-
motive’’, ‘‘motorcar’’, or other unique § 220.33 Receiving a radio trans-
identifier which indicates to the lis- mission.
tener the precise mobile transmitting (a) Upon receiving a radio call, an
station. employee shall promptly acknowledge
(c) If positive identification is the call, identifying the employee’s
achieved in connection with switching, station in accordance with the require-
classification, and similar operations ments of § 220.27 and stand by to re-
wholly within a yard, fixed and mobile ceive. An employee need not attend the
units may use short identification radio during the time that this would
after the initial transmission and ac- interfere with other immediate duties
knowledgment consistent with applica- relating to the safety of railroad oper-
ble Federal Communications Commis- ations.
sion regulations governing ‘‘Station (b) An employee who receives a
Identification’’. transmission shall repeat it to the
280
transmitting party unless the commu- (1) The next calendar day inspection,
nication: or
(1) Relates to yard switching oper- (2) The nearest forward point where
ations; the radio or wireless communication
(2) Is a recorded message from an device can be repaired or replaced.
automatic alarm device; or
(3) Is general in nature and does not § 220.39 Continuous radio monitoring.
contain any information, instruction Each radio used in a railroad oper-
or advice which could affect the safety ation shall be turned on to the appro-
of a railroad operation. priate channel as designated in § 220.23
and adjusted to receive communica-
§ 220.35 Ending a radio transmission. tions.
(a) Except for transmissions relating
to yard switching operations, at the § 220.41 [Reserved]
close of each transmission to which a
response is expected, the transmitting § 220.43 Radio communications con-
employee shall say ‘‘over’’ to indicate sistent with federal regulations and
railroad operating rules.
to the receiving employee that the
transmission is ended. Radio communication shall not be
(b) Except for transmissions relating used in connection with a railroad op-
to yard switching operations, at the eration in a manner which conflicts
close of each transmission to which no with the requirements of this part,
response is expected, the transmitting Federal Communication Commission
employee shall state the employee’s regulations, or the railroad’s operating
identification followed by the word rules. The use of citizen band radios for
‘‘out’’ to indicate to the receiving em- railroad operating purposes is prohib-
ployee that the exchange of trans- ited.
missions is complete.
§ 220.45 Radio communication shall be
§ 220.37 Testing radio and wireless complete.
communication equipment. Any radio communication which is
(a) Each radio, and all primary and not fully understood or completed in
redundant wireless communication accordance with the requirements of
equipment used under §§ 220.9 and this part and the operating rules of the
220.11, shall be tested as soon as prac- railroad, shall not be acted upon and
ticable to ensure that the equipment shall be treated as though not sent.
functions as intended prior to the com-
mencement of the work assignment. § 220.47 Emergency radio trans-
(b) The test of a radio shall consist of missions.
an exchange of voice transmissions An initial emergency radio trans-
with another radio. The employee re- mission shall be preceded by the word
ceiving the transmission shall advise ‘‘emergency,’’ repeated three times. An
the employee conducting the test of emergency transmission shall have pri-
the clarity of the transmission. ority over all other transmissions and
the frequency or channel shall be kept
§ 220.38 Communication equipment clear of non-emergency traffic for the
failure. duration of the emergency communica-
(a) Any radio or wireless communication.
tion device found not to be functioning
as intended when tested pursuant to § 220.49 Radio communication used in
§ 220.37 shall be removed from service shoving, backing or pushing move-
and the dispatcher or other employee ments.
designated by the railroad shall be so When radio communication is used in
notified as soon as practicable. connection with the shoving, backing
(b) If a radio or wireless communica- or pushing of a train, locomotive, car,
tion device fails on the controlling lo- or on-track equipment, the employee
comotive en route, the train may con- directing the movement shall specify
tinue until the earlier of— the distance of the movement, and the
281
§ 220.51 49 CFR Ch. II (10–1–11 Edition)
movement shall stop in one-half the re- (3) A mandatory directive shall be
maining distance unless additional in- copied in writing by the receiving em-
structions are received. If the instruc- ployee in the format prescribed in the
tions are not understood, the move- railroad’s operating rules.
ment shall be stopped immediately and (4) After the mandatory directive has
may not be resumed until the mis- been received and copied, it shall be
understanding has been resolved, radio immediately repeated in its entirety.
contact has been restored, or commu- After verifying the accuracy of the re-
nication has been achieved by hand sig- peated mandatory directive, the train
nals or other procedures in accordance dispatcher or operator shall then state
with the operating rules of the rail- the time and name of the employee
road. designated by the railroad who is au-
thorized to issue mandatory directives.
§ 220.51 Radio communications and An employee copying a mandatory di-
signal indications. rective shall then acknowledge by re-
(a) No information may be given by peating the time and name of the em-
radio to a train or engine crew about ployee so designated by the railroad.
the position or aspect displayed by a (5)(i) For train crews, before a man-
fixed signal. However, a radio may be datory directive is acted upon, the con-
used by a train crew member to com- ductor and engineer shall each have a
municate information about the posi- written copy of the mandatory direc-
tion or aspect displayed by a fixed sig- tive and make certain that the manda-
nal to other members of the same crew. tory directive is read and understood
(b) Except as provided in the rail- by all members of the crew who are re-
road’s operating rules, radio commu- sponsible for the operation of the train.
nication shall not be used to convey in- Mandatory directives which have been
structions which would have the effect fulfilled or canceled shall be marked
of overriding the indication of a fixed with an ‘‘X’’ or in accordance with the
signal. railroad’s operating rules, and retained
for the duration of the train crew’s
§ 220.61 Radio transmission of manda- work assignment.
tory directives. (ii) For on-track equipment, before a
(a) Each mandatory directive may be mandatory directive is acted upon, the
transmitted by radio only when au- employee responsible for on-track safe-
thorized by the railroad’s operating ty shall have a written copy of the
rules. The directive shall be trans- mandatory directive, and make certain
mitted in accordance with the rail- that the mandatory directive is ac-
road’s operating rules and the require- knowledged by all employees who are
ments of this part. responsible for executing that manda-
(b) The procedure for transmission of tory directive. The employee respon-
a mandatory directive is as follows: sible for on-track safety shall retain a
copy of the mandatory directive while
(1) The train dispatcher or operator
it is in effect.
shall call the addressees of the manda-
tory directive and state the intention (6) A mandatory directive which has
to transmit the mandatory directive. not been completed or which does not
comply with the requirements of the
(2) Before the mandatory directive is
railroad’s operating rules and this part,
transmitted, the employee to receive
may not be acted upon and shall be
and copy shall state the employee’s
treated as though not sent. Informa-
name, identification, location, and
tion contained in a mandatory direc-
readiness to receive and copy. An em-
tive may not be acted upon by persons
ployee operating the controls of mov-
other than those to whom the manda-
ing equipment shall not receive and
tory directive is addressed.
copy mandatory directives. A manda-
tory directive shall not be transmitted
to employees on moving equipment, if Subpart C—Electronic Devices
such directive cannot be received and
copied without impairing safe oper- SOURCE: 75 FR 59602, Sept. 27, 2010, unless
ation of the equipment. otherwise noted.
282
§ 220.301 Purpose and application. supplied electronic device only for an

(a) The purpose of this subpart is to authorized business purpose as speci-
reduce safety risks resulting from rail- fied by the railroad in writing. An au-
road operating employees being dis- thorized business purpose involving the
tracted by the inappropriate use of taking of a photograph or video must
electronic devices, such as mobile tele- be approved by FRA. A railroad subject
phones (cell phones or cellular phones) to this subpart must submit to FRA’s
and laptop computers. Associate Administrator for Railroad
(b) The applicability of this subpart Safety/Chief Safety Officer a document
is governed by § 220.3; this subpart, specifying in writing the authorized
however, does not affect the use of business purpose(s) involving the tak-
working wireless communications pur- ing of a photograph or video for which
suant to subparts A and B of this part. a railroad-supplied electronic device
(c) The restrictions of this subpart C may be used by the carrier’s railroad
do not apply— operating employees.
(1) To the working radio; or (b) Use by locomotive engineers oper-
(2) When a working radio failure oc- ating controls. A locomotive engineer
curs and an electronic device is used in operating the controls of a train shall
accordance with railroad rules. not use a railroad-supplied electronic
device—
§ 220.302 Operating rules imple- (1) When on a moving train;
menting the requirements of this (2) When any member of the crew is—
subpart. (i) On the ground, or
Each railroad shall adopt operating (ii) Riding rolling equipment during
rules that implement the requirements a switching operation; or
of this subpart. (3) When any railroad employee is as-
sisting in preparation of the train for
§ 220.303 General use of electronic de- movement.
vices. (c) Use in freight and passenger loco-
A railroad operating employee shall motive cabs generally. In addition to the
not use an electronic device if that use restrictions on locomotive engineers
would interfere with the employee’s or described in paragraph (b) of this sec-
another railroad operating employee’s tion, a railroad operating employee
performance of safety-related duties. who is not in deadhead status shall not
No individual in the cab of a control- use a railroad-supplied electronic de-
ling locomotive shall use an electronic vice in the cab of a controlling loco-
device if that use would interfere with motive unless—
a railroad operating employee’s per- (1) A safety briefing that includes all
formance of safety-related duties. crewmembers is held; and
(2) All crewmembers agree that it is
§ 220.305 Use of personal electronic de- safe to use the device.
vices. (d) Use outside freight locomotive cabs.
A railroad operating employee must A freight train crewmember who is not
have each personal electronic device in deadhead status may use a railroad-
turned off with any earpiece removed supplied electronic device outside the
from the ear— cab of a controlling freight locomotive
(a) When on a moving train; only if all of the following conditions
(b) When any member of the crew is— are met:
(1) On the ground, or (1) The crewmember is not fouling a
(2) Riding rolling equipment during a track; and
switching operation; or (2) All crewmembers agree it is safe
(c) When any railroad employee is as- to use the device.
sisting in preparation of the train for
movement. § 220.309 Permitted uses; exceptions to
other restrictions.
§ 220.307 Use of railroad-supplied elec- Notwithstanding any other limita-
tronic devices. tions in this subpart, a railroad oper-
(a) General restriction. A railroad op- ating employee may use the following,
erating employee may use a railroad- if that use does not interfere with any
283
§ 220.311 49 CFR Ch. II (10–1–11 Edition)
employee’s performance of safety-re- inside the cab of a controlling loco-

lated duties— motive must have each electronic de-
(a) The digital storage and display vice turned off with any earpiece re-
function of an electronic device to moved from the ear—
refer to a railroad rule, special instruc- (1) When on a moving train;
tion, timetable, or other directive, if (2) When any member of the crew is—
such use is authorized under a railroad (i) On the ground, or
operating rule or instruction. (ii) Riding rolling equipment during
(b) An electronic device as necessary a switching operation; or
to respond to an emergency situation (3) When any railroad employee is as-
involving the operation of the railroad sisting in preparation of the train for
or encountered while performing a movement.
duty for the railroad.
(c) An electronic device to take a § 220.313 Instruction.
photograph of a safety hazard or a vio-
lation of a rail safety law, regulation, (a) Program. Beginning December 27,
order, or standard, provided that— 2010, each railroad shall maintain a
(1) A camera that is part of a cell written program of instruction and ex-
phone or other similar multi-func- amination of each railroad operating
tional electronic device is not included employee and each supervisor of the
in this exception unless it is a railroad- railroad operating employee on the
supplied device and is used for an au- meaning and application of the rail-
thorized business purpose; road’s operating rules implementing
(2) The camera, unless otherwise per- the requirements of this subpart if
mitted, is turned off immediately after these requirements are pertinent to the
the documentation has been made; and employee’s duties. If all requirements
(3) If the camera is used in the cab of of this subpart are satisfied, a railroad
a moving train, the use is only by a may consolidate any portion of the in-
crewmember other than the locomotive struction or examination required by
engineer. this subpart with the program of in-
(d) A stand-alone calculator if used struction required under § 217.11 of this
for an authorized business purpose. chapter.
(e) A medical device that is con- (1) The written program of instruc-
sistent with the railroad’s standards tion and examination shall address the
for medical fitness for duty. requirements of this subpart, as well as
(f) A wireless communication device consequences of noncompliance.
to conduct train or switching oper- (2) The written program of instruc-
ations if the railroad operating em- tion and examination shall include, but
ployee is part of a crew assigned to a is not limited to, an explanation of the
train that is exempt under § 220.9(b) following:
from the requirement of a working (i) When a railroad operating em-
radio when the employing railroad has ployee must have personal electronic
fewer than 400,000 annual employee devices turned off with the earpiece re-
work hours. moved from the ear as required by this
subpart.
§ 220.311 Railroad operating employ- (ii) If a railroad supplies an elec-
ees in deadhead status. tronic device to its railroad operating
(a) Notwithstanding any other re- employees, when a railroad operating
strictions in this subpart, a railroad employee may use such a device. The
operating employee who is in deadhead employee must be instructed on what
status and not inside the cab of a con- constitutes an authorized business pur-
trolling locomotive may use an elec- pose.
tronic device only if the employee is (iii) The potential penalties and
not using the device in such a way that other consequences of committing a
interferes with any railroad operating violation of this subpart, both those
employee’s personal safety or perform- imposed by the Federal Railroad Ad-
ance of safety-related duties. ministration (FRA) and those imposed
(b) A railroad operating employee by the railroad, as well as any distinc-
who is in deadhead status and located tion between the requirements of this
284
subpart and any more stringent re- Railroad Safety/Chief Safety Officer for
quirements imposed by the railroad approval; or
and the related distinction between the (ii) Provide a written response in sup-
two sets of potential consequences. port of the program to the Associate
(b) Implementation schedule. Each em- Administrator for Railroad Safety/
ployee performing duties subject to the Chief Safety Officer, who informs the
requirements in this subpart shall be railroad of FRA’s final decision in writ-
initially instructed prior to March 28, ing.
2011. (2) A failure to submit the program
(1) Beginning March 28, 2011, no em- with the necessary revisions to the As-
ployee shall perform work requiring sociate Administrator for Railroad
compliance with the operating rules Safety/Chief Safety Officer in accord-
implementing the requirements of this ance with this paragraph is considered
subpart unless the employee has been a failure to implement a program
instructed on requirements of this sub- under this subpart.
part within the previous three years.
§ 220.315 Operational tests and inspec-
(2) The records of successful completions; further restrictions on use of
tion of instruction and examination re- electronic devices.
quired by this section shall document
(a) The railroad’s program of oper-
the instruction of each employee under
ational tests and inspections under
this subpart. part 217 of this chapter shall be revised
(c) Records. Written records docu- as necessary to include this subpart
menting successful completion of in- and shall specifically include a min-
struction and examination of each em- imum number of operational tests and
ployee and of his or her supervisors inspections, subject to adjustment as
shall be made and shall be retained at appropriate.
the railroad’s system headquarters and (b) When conducting a test or inspec-
at the division headquarters for each tion under part 217 of this chapter, a
division where the employee is as- railroad officer, manager, or supervisor
signed for three calendar years after is prohibited from calling the personal
the end of the calendar year to which electronic device or the railroad-sup-
they relate and made available to rep- plied electronic device used by a rail-
resentatives of FRA for inspection and road operating employee while the rail-
copying during normal business hours. road officer, manager, or supervisor
Each railroad to which this part ap- knows or should have known that—
plies is authorized to retain a program, (1) The train to which the employee
or any records maintained to prove is assigned is moving;
compliance with such a program, by (2) The employee is—
electronic recordkeeping in accordance (i) On the ground;
with §§ 217.9(g) and 217.11(c) of this (ii) Riding rolling equipment during
chapter. switching operations; or
(d) Approval process. Upon review of (iii) Assisting in preparation of the
the program of instruction and exam- train to which the employee is assigned
ination required by this section, the for movement.
Associate Administrator for Railroad
Safety/Chief Safety Officer may, for APPENDIX A TO PART 220—
cause stated, disapprove the program. RECOMMENDED PHONETIC ALPHABET
Notification of such disapproval shall A—ALFA
be made in writing and specify the B—BRAVO
basis for the disapproval. C—CHARLIE
(1) If the Associate Administrator for D—DELTA
Railroad Safety/Chief Safety Officer E—ECHO
disapproves the program, the railroad F—FOXTROT
has 35 days from the date of the writ- G—GOLF
H—HOTEL
ten notification of such disapproval I—INDIA
to— J—JULIET
(i) Amend its program and submit it K—KILO
to the Associate Administrator for L—LIMA
285
M—MIKE Number Spoken
N—NOVEMBER
O—OSCAR 0 ................................................................ ZERO.
P—PAPA 1 ................................................................ WUN.
Q—QUEBEC 2 ................................................................ TOO.
R—ROMEO 3 ................................................................ THUH-REE-.
S—SIERRA 4 ................................................................ FO-WER.
T—TANGO 5 ................................................................ FI-YIV.
U—UNIFORM 6 ................................................................ SIX.
V—VICTOR 7 ................................................................ SEVEN.
W—WHISKEY 8 ................................................................ ATE.
X—XRAY 9 ................................................................ NINER.
Y—YANKEE
Z—ZULU (The figure ZERO should be written as ‘‘0’’
The letter ‘‘ZULU’’ should be written as to distinguish it from the letter ‘‘O’’. The
‘‘Z’’ to distinguish it from the numeral ‘‘2’’. figure ONE should be underlined to distin-
EDITORIAL NOTE: At 63 FR 11621, Mar. 10, guish it from the letter ‘‘I’’. When railroad
1998, an amendment was published amending rules require that numbers be spelled, these
footnote 1 to appendix A of part 220. The principles do not apply.)
amendment could not be incorporated be- The following examples illustrate the rec-
cause footnote 1 to appendix A of part 220 ommended pronunciation of numerals:
does not exist in 49 CFR parts 200 to 399, re-
vised as of Oct. 1, 1997. Number Spoken
APPENDIX B TO PART 220—REC- 44 ....................................................... FO-WER FO-WER.

500 ..................................................... FI-YIV HUNDRED.
OMMENDED PRONUNCIATION OF NU-
1000 ................................................... WUN THOUSAND.
MERALS
1600 ................................................... WUN SIX HUNDRED.
To distinguish numbers from similar 14899 ................................................. WUN FO-WER ATE
NINER NINER.
sounding words, the word ‘‘figures’’should be
20.3 .................................................... TOO ZERO DECIMAL
used preceding such numbers. Numbers THUH-REE.
should be pronounced as follows:
APPENDIX C TO PART 220—SCHEDULE OF CIVIL PENALTIES 1

Willful
Section 2 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
Subpart C—Electronic Devices
220.302 Operating rules ..................................................................................................................... 9,500 17,000
220.303 General; interfering with safety-related duties ...................................................................... 9,500 17,000
220.305 Personal electronic device turned on while prohibited 5,500 10,000
(a)–(c) Personal device in use while prohibited ..................................................................... 9,500 17,000
220.307 Railroad-supplied device turned on while prohibited 5,500 10,000
(a) Use not authorized by railroad in writing .......................................................................... 9,500 17,000
(b)–(d) Railroad-supplied devices in use while prohibited ..................................................... 9,500 17,000
220.311 Railroad operating employees in deadhead status:
(a) ............................................................................................................................................ 9,500 17,000
(b) Devices turned on while prohibited; or ............................................................................. 5,500 10,000
286
Willful
Section 2 Violation violation
device in use while prohibited ................................................................................................ 9,500 17,000

220.313 Program of instruction:
(a)–(d) ..................................................................................................................................... 9,500 17,000
220.315 Operational tests and inspections:
(a)–(b) ..................................................................................................................................... 9,500 17,000
1A penalty may be assessed against and only for a willful violation. The Administrator reserves the right to assess a penalty of
up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
2 The penalty schedule uses section numbers from 49 CFR part 220. 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,’’ which is used to facilitate assessment of civil penalties, and
which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section
and the penalty code, if any. 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, should they differ.
[63 FR 47195, Sept. 4, 1998, as amended at 69 FR 30593, May 28, 2004; 73 FR 79702, Dec. 30, 2008;
75 FR 59604, Sept. 27, 2010]
PART 221—REAR END MARKING § 221.3 Application.

DEVICE—PASSENGER, COM- (a) Except as provided in paragraph
MUTER AND FREIGHT TRAINS (b) of this section, this part applies to
passenger, commuter and freight trains
Subpart A—General when operated on a standard gage main
Sec.
221.1 Scope. road system of transportation.
221.3 Application. (b) This part does not apply to:
221.5 Definitions. (1) A railroad that operates only
221.7 Civil penalty trains consisting of historical or anti-
221.9 Waivers. quated equipment for excursion, edu-
221.11 State regulation. cational, or recreational purposes;
Subpart B—Marking Devices (2) A train that operates only on
track inside an installation which is
221.13 Marking device display. not part of the general railroad system
221.14 Marking devices. of transportation;
221.15 Marking device inspection. (3) Rapid transit operations in an
221.16 Inspection procedure.
221.17 Movement of defective equipment.
the general railroad system of trans-
APPENDIX A TO PART 221—PROCEDURES FOR
APPROVAL OF REAR END MARKING DE-
portation.
VICES (4) A railroad that operates only one
APPENDIX B TO PART 221—APPROVED REAR train at any given time.
END MARKING DEVICES
APPENDIX C TO PART 221—SCHEDULE OF CIVIL
FR 28600, July 28, 1988]
PENALTIES
AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C. § 221.5 Definitions.
2461, note; and 49 CFR 1.49.
As used in this part:
SOURCE: 42 FR 2321, Jan. 11, 1977, unless (a) Train means a locomotive unit or
otherwise noted. locomotive units coupled, with or with-
out cars, involved in a railroad oper-
Subpart A—General ation conducted on a main track. It
does not include yard movements.
§ 221.1 Scope. (b) Commuter train means a short haul
This part prescribes minimum re- passenger train operating on track
quirements governing highly visible which is part of the general railroad
marking devices for the trailing end of system of transportation, within an
the rear car of all passenger, commuter urban, suburban or metropolitan area.
and freight trains. So long as these It includes a passenger train provided
minimum requirements are met, rail- by an instrumentality of a State or po-
roads may adopt additional or more litical subdivision thereof.
stringent requirements for rear end (c) Locomotive means a self-propelled
marking devices. unit of equipment designed for moving
287
§ 221.7 49 CFR Ch. II (10–1–11 Edition)
other equipment in revenue service and subject to a civil penalty of at least

includes a self-propelled unit designed $650 and not more than $25,000 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 $100,000 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; 72 FR 51197,
terms of the International Commission Sept. 6, 2007; 73 FR 79702, Dec. 30, 2008]
on Illumination’s 1931 Colormetric Sys-
tem, which lie within the region bound- § 221.9 Waivers.
ed by the spectrum locus and lines de- (a) A railroad may petition the Fed-
fined by the following equations: eral Railroad Administrator for a waiv-
X+Y=.97 (white boundary) er of compliance with any requirement
Y=X—.12 (green boundary) prescribed in this part.
(g) Administrator means the Federal this section must be filed in the man-
Railroad Administrator, the Deputy ner and contain the information re-
Administrator, or any official of the quired by part 211 of this chapter.
Federal Railroad Administration to (c) If the Administrator finds that a
whom the Administrator has delegated waiver of compliance is in the public
his authority under this part. interest and is consistent with railroad
(h) Effective intensity means that in- safety, he may grant the waiver sub-
tensity of a light in candela as defined ject to any condition he deems nec-
by the Illuminating Engineering Soci- essary. Notice of each waiver granted,
ety’s Guide for Calculating the Effec- including a statement of the reasons
tive Intensity of Flashing Signal therefor, will be published in the FED-
Lights, November, 1964. ERAL REGISTER.
(i) Qualified person means any person
who has the skill to perform the task § 221.11 State regulation.
and has received adequate instruction. Notwithstanding the provisions of
[42 FR 2321, Jan. 11, 1977; 42 FR 3843, Jan. 21, this part, a State may continue in
1977, as amended at 51 FR 25185, July 10, 1986] force any law, rule, regulation, order,
or standard that was in effect on July
§ 221.7 Civil penalty. 8, 1976, relating to lighted marking de-
Any person (an entity of any type vices on the rear car of freight trains
covered under 1 U.S.C. 1, including but except to the extent that such law,
not limited to the following: a railroad; rule, regulation, order, or standard
a manager, supervisor, official, or would cause such cars to be in viola-
other employee or agent of a railroad; tion of this part.
any owner, manufacturer, lessor, or
lessee of railroad equipment, track, or Subpart B—Marking Devices
facilities; any independent contractor
providing goods or services to a rail- § 221.13 Marking device display.
road; and any employee of such owner, (a) During the periods prescribed in
manufacturer, lessor, lessee, or inde- paragraph (b) of this section, each
pendent contractor) who violates any train to which this part applies that
requirement of this part or causes the occupies or operates on main track
violation of any such requirement is shall (1) be equipped with, (2) display
288
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
gent track by a person having 20/20 cor- of the locomotive, provided it complies
rected vision. with paragraph (a) of this section; or
(c) Marking devices prescribed by (3) The rear headlight of the loco-
this part and equipped with a func- motive illuminated on low beam.
tioning photoelectric cell activation [51 FR 25185, July 10, 1986]
mechanism shall illuminate or flash
the device continuously when there is § 221.15 Marking device inspection.
less than 1.0 candela per square meter (a) Each marking device displayed in
of ambient light. compliance with this part shall be ex-
(d) The centroid of the marking de- amined at each crew change point to
vice must be located at a minimum of assure that the device is in proper op-
48 inches above the top of the rail. erating condition.
[51 FR 25185, July 10, 1986] (b) This examination shall be accom-
plished either by visually observing
§ 221.14 Marking devices. that the device is functioning as re-
(a) As prescribed in § 221.13, pas- quired or that the device will function
senger, commuter and freight trains when required by either:
shall be equipped with at least one (1) Repositioning the activation
marking device, which has been ap- switch or
proved by the Federal Railroad (2) Covering the photoelectric cell.
Adminstrator in accordance with the (c) This examination shall be con-
procedures included in appendix A of ducted either by the train crew or some
this part, and which has the following other qualified person, Provided that, if
characteristics: a non-train crewmember performs the
(1) An intensity of not less than 100 examination, that person shall commu-
candela nor more than 1000 candela (or nicate his or her findings to the loco-
an effective intensity of not less than motive engineer of the new train crew.
100 candela nor more than 1000 candela (d) When equipped with a radio te-
for flashing lights) as measured at the lemetry capability, a marker displayed
center of the beam width; in accordance with this part may be ex-
amined by observing the readout infor-
(2) A horizontal beam with a min-
mation displayed in the cab of the con-
imum arc width of fifteen (15) degrees
trolling locomotive demonstrating
each side of the vertical center line,
that the light is functioning as re-
and a vertical beam with a minimum
quired in lieu of conducting a visual
arc width of five (5) degrees each side
observation.
of the horizontal center line as defined
in terms of the 50 candela intensity [51 FR 25185, July 10, 1986]
points;
(3) A color defined by the red-orange- § 221.16 Inspection procedure.
amber color range; and (a) Prior to operating the activation
(4) If a flashing light is used, a flash switch or covering the photoelectric
rate of not less than once every 1.3 sec- cell when conducting this test, a non-
289
§ 221.17 49 CFR Ch. II (10–1–11 Edition)
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
pected movement of the train either of lens, manufacturer and catalog number,
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
be obtained from the Office of Safety, Fed-
shall be standing on a main track; (2) eral Railroad Administration, 1200 New Jer-
the inspection task shall be limited to sey Avenue, SE., 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;
hostler and be advised by that person (iii) Detailed test records, including as a
minimum the name and address of the test-
that they are occupying the cab of the ing organizations, the name of the individual
controlling locomotive and that the in charge of the tests, a narrative descrip-
train is and will remain secure against tion of the test procedures, the number of
movement until the inspection has samples tested, and for each sample tested,
been completed. the on-axis beam candela, the beam candela
at the ±15 degree points in the horizontal
[51 FR 25185, July 10, 1986] plane, the beam candela at the ±5 degree
points in the vertical plane, and the chroma-
§ 221.17 Movement of defective equip- ticity coordinates, are maintained by the
ment. railroad and are available for inspection by
the FRA at a designated location which is
(a) Whenever the marking device pre-
identified in the submission;
scribed in this part becomes inoper- (iv) Marking devices of this type installed
ative enroute, the train may be moved in the operating environment shall consist of
to the next forward location where the the same type and model of components as
marking device can be repaired or re- were used in the samples tested for purposes
placed. of this approval submission.
(b) Defective rolling equipment (3) Unless otherwise qualified, acknowl-
which, because of the nature of the de- edgement of the receipt of the submission re-
quired by this section shall constitute ap-
fect, can be placed only at the rear of
proval of the device. The FRA reserves the
a train for movement to the next for- right to review the test records maintained
ward location at which repairs can be by the railroad, or to test independently any
made need not be equipped with mark- device submitted for approval under these
ing devices prescribed in this part. procedures, and to withdraw the approval of
(c) When a portion of a train has de- such device at any time, after notice and op-
railed, and a portable marking device portunity for oral comment, if its perform-
ance in the operating environment fails to
is not available, the remainder of the
substantiate the rest results or to comply
train may be moved to the nearest ter- with 49 CFR 221.15.
minal without being equipped with the (b)(1) Each submission for approval of a
marking device prescribed in this part. marking device consisting of non-lighted ele-
ments or a combination of lighted and non-
APPENDIX A TO PART 221—PROCEDURES lighted elements shall contain the following
FOR APPROVAL OF REAR END MARK- information:
ING DEVICES (i) A detailed description of the device in-
cluding the type of material, the reflectance
As provided in § 221.15 of this part, marking factor, the size of the device, and the manu-
devices must be approved by the Adminis- facturer and catalogue number;
trator, Approval shall be issued in accord- (ii) A detailed description of the external
ance with the following procedures: light source including the intensity through-
(a) Each submission for approval of a out its angle of coverage, and the manufac-
marking device consisting of lighted ele- turer and catalogue number;
ments only shall contain the following infor- (iii) A detailed description of the proposed
mation: test procedure to be used to demonstrate
290
marking device compliance with the stand- the same type and model of components as
ard prescribed in 49 CFR 221.15, including any were used in the samples tested for the origi-
detailed mathematical data reflecting ex- nal approval.
pected performance. (d) Each submission for approval of a
(2) FRA will review the data submitted marking device shall be filed with the Office
under subsection (1) of this section, and in of Standards and Procedures, Office of Safe-
those instances in which compliance with 49 ty, Federal Railroad Administration, 1200
CFR 221.15 appears possible from a theo- New Jersey Avenue, SE., Washington, DC
retical analysis, the FRA will authorize and 20590.
may take part in testing to demonstrate
such compliance. [42 FR 62004, Dec. 8, 1977, as amended at 74
(3) Where authorized testing has dem- FR 25173, May 27, 2009]
onstrated compliance with 49 CFR 221.15, a
railroad shall submit a certification, signed APPENDIX B TO PART 221—APPROVED
by the chief operating officer of the railroad, REAR END MARKING DEVICES
that—
(i) The device described in the original sub- PART I—APPROVED DEVICES TESTED FOR OR BY
mission has been tested in accordance with MANUFACTURERS
the procedures described therein; 1. Manufacturer: Star Headlight & Lantern
(ii) The results of the tests peformed under Co., 168 West Main Street, Honeoye Falls, NY
paragraph (i) of this subsection demonstrate 14472.
marking device performance in compliance FRA identification Nos. FRA-PLE-STAR-
with the standard prescribed in 49 CFR 845-F (flasher) and FRA-PLE-STAR-845-C
221.15; (steady burn).
(iii) Detailed test records, including as a
2. Manufacturer: Julian A. McDermott
minimum the name and address of the test-
Corp., 1639 Stephen Street, Ridgewood, Long
ing organization, the name of the individual
Island, NY 11227.
in charge of the tests, a narrative descrip-
tion of the test procedure, a description of FRA identification Nos. FRA-MEC-MCD-
the external light source used, the number of 100-C (steady burn), FRA-MEC-MCD-100-F
samples tested, and for each sample tested, (flasher), FRA-MEC-MCD-300-C (steady
the on-axis beam candela, the beam candela burn), and FRA-MEC-MCD-300-F (flasher).
at the ±15 degree points in the horizontal 3. Manufacturer: American Electronics,
plane, the beam candela at the ±15 degree Inc., 1 40 Essex Street, Hackensack, NJ 07601.
point in the vertical plane, and the chroma- FRA identification Nos. FRA-DRGW-
ticity coordinates, are maintained by the YANK-300 (portable strobe), FRA-WP-YANK-
railroad and are available for inspection by 301R (flashing), FRA-WP-YANK-305R (flash-
the FRA at a designated location which is ing), and FRA-WP-YANK-306R (steady burn).
identified in the submission;
PART II—APPROVED DEVICES TESTED FOR OR BY
(iv) Marking devices of this type installed
RAIL CARRIERS
in the operating environment and the exter-
nal light source used to illuminate them 1. Carrier: Atchison, Topeka & Santa Fe
shall consist of the same type and model of Railway Co., Technical Research & Develop-
components as were used in the samples test- ment Department, 1001 Northeast Atchison
ed for purposes of this approval submission. Street, Topeka, Kans. 66616.
(4) Unless otherwise qualified, acknowl- Manufacturer: Trans-Lite, Inc., P.O. Box
edgement of the receipt of the submission re- 70, Milford, Conn. 06460.
quired by this subsection shall constitute ap- FRA identification Nos. FRA-ATSF-TL-
proval of the device. The FRA reserves the 875-150, FRA-ATSF-TL-875-60, FRA-ATSF-
right to review the test records maintained TL-875-4412, and FRA-ATSF-TL-200.
by the railroad, or to test independently any 2. Carrier: Amtrak—National Railroad Pas-
device submitted for approval under these senger Corporation, 400 North Capitol Street
procedures, and to disapprove the use of such NW., Washington, DC 20001.
device at any time if its performance fails to Manufacturer: (a) Trans-Lite, Inc., P.O.
comply with 49 CFR 221.15. Box 70, Milford, Conn. 06460.
(c) Whenever a railroad elects to use a FRA identification Nos. FRA-ATK-TL-
marking device which has been previously 3895-1, FRA-ATK-TL-4491-2, FRA-ATK-TL-
approved by the FRA, and is included in the 4491-3, and FRA-ATK-TL-FM-4491-1.
current list in appendix B to this part, the Manufacturer: (b) Luminator Division of
submission shall contain the following infor- Gulfton Industries, Inc., 1200 East Dallas
mation: North Parkway, Plano, Tex. 75074.
(1) The marking device model designation FRA identification No. FRA-ATK-LUM-
as it appears in appendix B. 0101890-001.
(2) A certification, signed by the chief op-
erating officer of the railroad that—
(i) Marking devices of this type installed in 1 NOTE: Yankee Metal Products Corp. pre-
the operating environment shall consist of viously produced these devices.
291
Manufacturer: (c) Whelen Engineering Co., Subpart B—Use of Locomotive Horns
Inc., Deep River, Conn. 06417.
FRA identification No. FRA-ATK-WHE- 222.21 When must a locomotive horn be
WERT-12. used?
222.23 How does this regulation affect
[43 FR 36447, Aug. 17, 1978] sounding of a horn during an emergency
or other situations?
APPENDIX C TO PART 221—SCHEDULE OF 222.25 How does this rule affect private
CIVIL PENALTIES 1 highway-rail grade crossings?
222.27 How does this rule affect pedestrian
Section Violation Willful viola- grade crossings?
tion
Subpart C—Exceptions to the Use of the
221.13 Marking device display:
(a) device not present,
Locomotive Horn
not displayed, or not
properly illuminated $5,000 $7,500
222.31 [Reserved]
(d) device too close to SILENCED HORNS AT INDIVIDUAL CROSSINGS
rail ............................ 1,000 2,000
221.14 Marking devices: Use 222.33 Can locomotive horns be silenced at
of unapproved or noncom- an individual public highway-rail grade
plying device .......................... 2,500 5,000 crossing which is not within a quiet
221.15 Marking device inspec- zone?
tion:
(a) Failure to inspect at SILENCED HORNS AT GROUPS OF CROSSINGS—
crew change ............ 2,500 5,000 QUIET ZONES
(b), (c) improper in-
spection ................... 2,500 5,000 222.35 What are minimum requirements for
221.16 Inspection procedure: quiet zones?
(a) Failure to obtain 222.37 Who may establish a quiet zone?
protection ................. 5,000 7,500 222.38 Can a quiet zone be created in the
(b) Improper protection 2,500 5,000 Chicago Region?
221.17 Movement of defective 222.39 How is a quiet zone established?
equipment .............................. (1) (1) 222.41 How does this rule affect Pre-Rule
1A penalty may be assessed against an individual only for Quiet Zones and Pre-Rule Partial Quiet
a willful violation. The Administrator reserves the right to as- Zones?
sess a penalty of up to $100,000 for any violation where cir- 222.42 How does this rule affect Inter-
cumstances warrant. See 49 CFR part 209, appendix A.
Where the conditions for movement of defective equipment mediate Quiet Zones and Intermediate
set forth in § 221.17 of this part are not met, the movement Partial Quiet Zones?
constitutes a violation of § 221.13 of this part. 222.43 What notices and other information
are required to create or continue a quiet
[53 FR 52930, Dec. 29, 1988, as amended at 69 zone?
FR 62818, Oct. 28, 2004; 73 FR 79702, Dec. 30, 222.45 When is a railroad required to cease
2008] routine sounding of locomotive horns at
crossings?
222.47 What periodic updates are required?
PART 222—USE OF LOCOMOTIVE 222.49 Who may file Grade Crossing Inven-
HORNS AT PUBLIC HIGHWAY- tory Forms?
RAIL GRADE CROSSINGS 222.51 Under what conditions will quiet zone
status be terminated?
Subpart A—General 222.53 What are the requirements for supple-
mentary and alternative safety meas-
Sec. ures?
222.1 What is the purpose of this regulation? 222.55 How are new supplementary or alter-
222.3 What areas does this regulation cover? native safety measures approved?
222.57 Can parties seek review of the Asso-
222.5 What railroads does this regulation
ciate Administrator’s actions?
apply to?
222.59 When may a wayside horn be used?
222.7 What is this regulation’s effect on
State and local laws and ordinances? APPENDIX A TO PART 222—APPROVED SUPPLE-
MENTARY SAFETY MEASURES
222.9 Definitions.
APPENDIX B TO PART 222—ALTERNATIVE SAFE-
222.11 What are the penalties for failure to TY MEASURES
comply with this regulation? APPENDIX C TO PART 222—GUIDE TO ESTAB-
222.13 Who is responsible for compliance? LISHING QUIET ZONES
222.15 How does one obtain a waiver of a APPENDIX D TO PART 222—DETERMINING RISK
provision of this regulation? LEVELS
222.17 How can a State agency become a APPENDIX E TO PART 222—REQUIREMENTS FOR
recognized State agency? WAYSIDE HORNS
292
APPENDIX F TO PART 222—DIAGNOSTIC TEAM tation and that operate at a maximum
CONSIDERATIONS speed of 15 miles per hour over public
APPENDIX G TO PART 222—EXCESS RISK ESTI- highway-rail grade crossings; and
MATES FOR PUBLIC HIGHWAY-RAIL GRADE
CROSSINGS (c) Rapid transit operations within
APPENDIX H TO PART 222—SCHEDULE OF CIVIL an urban area that are not connected
PENALTIES to the general railroad system of trans-
portation. See 49 CFR part 209, appen-
AUTHORITY: 28 U.S.C. 2461, note; 49 U.S.C.
20103, 20107, 20153, 21301, 21304; 49 CFR 1.49. dix A for the definitive statement of
the meaning of the preceding sentence.
SOURCE: 71 FR 47634, Aug. 17, 2006, unless
otherwise noted. § 222.7 What is this regulation’s effect
on State and local laws and ordi-
Subpart A—General nances?
§ 222.1 What is the purpose of this reg-
ulation? (b) of this section, issuance of this part
preempts any State law, rule, regula-
The purpose of this part is to provide tion, or order governing the sounding
for safety at public highway-rail grade of the locomotive horn at public high-
crossings by requiring locomotive horn way-rail grade crossings, in accordance
use at public highway-rail grade cross- with 49 U.S.C. 20106.
ings except in quiet zones established (b) This part does not preempt any
and maintained in accordance with this
State law, rule, regulation, or order
part.
governing the sounding of locomotive
§ 222.3 What areas does this regulation audible warning devices at any high-
cover? way-rail grade crossing described in
§ 222.3(c) of this part.
(a) This part prescribes standards for
sounding locomotive horns when loco- (c) Except as provided in §§ 222.25 and
motives approach and pass through 222.27, this part does not preempt any
public highway-rail grade crossings. State law, rule, regulation, or order
This part also provides standards for governing the sounding of locomotive
the creation and maintenance of quiet horns at private highway-rail grade
zones within which locomotive horns crossings or pedestrian crossings.
need not be sounded. (d) Inclusion of SSMs and ASMs in
(b) The provisions of this part are this part or approved subsequent to
separate and severable from one an- issuance of this part does not con-
other. If any provision is stayed or de- stitute federal preemption of State law
termined to be invalid, it is the intent regarding whether those measures may
of FRA that the remaining provisions be used for traffic control. Individual
shall continue in effect. states may continue to determine
(c) This part does not apply to any whether specific SSMs or ASMs are ap-
Chicago Region highway-rail grade propriate traffic control measures for
crossing where the railroad was ex- that State, consistent with Federal
cused from sounding the locomotive Highway Administration regulations
horn by the Illinois Commerce Com- and the MUTCD. However, except for
mission, and where the railroad did not the SSMs and ASMs implemented at
sound the horn, as of December 18, 2003. highway-rail grade crossings described
in § 222.3(c) of this part, inclusion of
§ 222.5 What railroads does this regu- SSMs and ASMs in this part does con-
lation apply to? stitute federal preemption of State law
This part applies to all railroads ex- concerning the sounding of the loco-
cept: motive horn in relation to the use of
(a) A railroad that exclusively oper- those measures.
ates freight trains only on track which (e) Issuance of this part does not con-
is not part of the general railroad sys- stitute federal preemption of adminis-
tem of transportation; trative procedures required under
(b) Passenger railroads that operate State law regarding the modification
only on track which is not part of the or installation of engineering improve-
general railroad system of transpor- ments at highway-rail grade crossings.
293
§ 222.9 49 CFR Ch. II (10–1–11 Edition)
§ 222.9 Definitions. 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
istration or the Administrator’s dele- highway-rail grade crossing, organized
gate. by the public authority responsible for
Alternative safety measures (ASM) that crossing, who, using crossing safe-
means a safety system or procedure, ty management principles, evaluate
other than an SSM, established in ac- conditions at a grade crossing to make
cordance with this part which is pro- determinations or recommendations
vided by the appropriate traffic control for the public authority concerning
authority or law enforcement author- safety needs at that crossing.
ity and which, after individual review Effectiveness rate means a number be-
and analysis by the Associate Adminis- tween zero and one which represents
trator, is determined to be an effective the reduction of the likelihood of a col-
substitute for the locomotive horn in lision at a public highway-rail grade
the prevention of highway-rail casual- crossing as a result of the installation
ties at specific highway-rail grade of an SSM or ASM when compared to
crossings. Appendix B to this part lists the same crossing equipped with con-
such measures. ventional active warning systems of
Associate Administrator means the As- flashing lights and gates. Zero effec-
sociate Administrator for Safety of the tiveness means that the SSM or ASM
Federal Railroad Administration or the provides no reduction in the prob-
Associate Administrator’s delegate. ability of a collision, while an effec-
Channelization device means a traffic tiveness rating of one means that the
separation system made up of a raised SSM or ASM is totally effective in
longitudinal channelizer, with vertical eliminating collision risk. Measure-
panels or tubular delineators, that is ments between zero and one reflect the
placed between opposing highway lanes percentage by which the SSM or ASM
designed to alert or guide traffic reduces the probability of a collision.
around an obstacle or to direct traffic FRA means the Federal Railroad Ad-
in a particular direction. ‘‘Tubular ministration.
markers’’ and ‘‘vertical panels’’, as de- Grade Crossing Inventory Form means
scribed in the MUTCD, are acceptable the U.S. DOT National Highway-Rail
channelization devices for purposes of Grade Crossing Inventory Form, FRA
this part. Additional design specifica- Form F6180.71. This form is available
tions are determined by the standard through the FRA’s Office of Safety, or
traffic design specifications used by on FRA’s Web site at http://
the governmental entity constructing www.fra.dot.gov.
the channelization device. Intermediate Partial Quiet Zone means
Chicago Region means the following a segment of a rail line within which is
six counties in the State of Illinois: situated one or a number of consecu-
Cook, DuPage, Lake, Kane, McHenry tive public highway-rail grade cross-
and Will. ings at which State statutes or local
Crossing Corridor Risk Index means a ordinances restricted the routine
number reflecting a measure of risk to sounding of locomotive horns for a
the motoring public at public grade specified period of time during the
crossings along a rail corridor, cal- evening or nighttime hours, or at
culated in accordance with the proce- which locomotive horns did not sound
dures in appendix D of this part, rep- due to formal or informal agreements
resenting the average risk at each pub- between the community and the rail-
lic crossing within the corridor. This road or railroads for a specified period
risk level is determined by averaging of time during the evening and/or
among all public crossings within the nighttime hours, and at which such
corridor, the product of the number of statutes, ordinances or agreements
predicted collisions per year and the were in place and enforced or observed
predicted likelihood and severity of as of December 18, 2003, but not as of
casualties resulting from those colli- October 9, 1996.
294
Intermediate Quiet Zone means a seg- For purposes of this rule, a risk level
ment of a rail line within which is situ- above the Nationwide Significant Risk
ated one or a number of consecutive Threshold represents a significant risk
public highway-rail grade crossings at with respect to loss of life or serious
which State statutes or local ordi- personal injury. The Nationwide Sig-
nances restricted the routine sounding nificant Risk Threshold is calculated
of locomotive horns, or at which loco- in accordance with the procedures in
motive horns did not sound due to for- appendix D of this part. Unless other-
mal or informal agreements between wise indicated, references in this part
the community and the railroad or to the Nationwide Significant Risk
railroads, and at which such statutes, Threshold reflect its level as last pub-
ordinances or agreements were in place lished by FRA in the FEDERAL REG-
and enforced or observed as of Decem- ISTER.
ber 18, 2003, but not as of October 9, New Partial Quiet Zone means a seg-
1996. ment of a rail line within which is situ-
Locomotive means a piece of on-track ated one or a number of consecutive
equipment other than hi-rail, special- public highway-rail crossings at which
ized maintenance, or other similar locomotive horns are not routinely
equipment— sounded between the hours of 10 p.m.
(1) With one or more propelling mo- and 7 a.m., but are routinely sounded
tors designed for moving other equip- during the remaining portion of the
ment; day, and which does not qualify as a
(2) With one or more propelling mo- Pre-Rule Partial Quiet Zone or an In-
tors designed to carry freight or pas- termediate Partial Quiet Zone.
senger traffic or both; or New Quiet Zone means a segment of a
(3) Without propelling motors but rail line within which is situated one
with one or more control stands. or a number of consecutive public high-
Locomotive audible warning device way-rail grade crossings at which rou-
means a horn, whistle, siren, or bell af- tine sounding of locomotive horns is
fixed to a locomotive that is capable of restricted pursuant to this part and
producing an audible signal. which does not qualify as either a Pre-
Locomotive horn means a locomotive Rule Quiet Zone or Intermediate Quiet
air horn, steam whistle, or similar au- Zone.
dible warning device (see 49 CFR Non-traversable curb means a highway
229.129) mounted on a locomotive or curb designed to discourage a motor
control cab car. The terms ‘‘locomotive vehicle from leaving the roadway. Non-
horn’’, ‘‘train whistle’’, ‘‘locomotive traversable curbs are used at locations
whistle’’, and ‘‘train horn’’ are used where highway speeds do not exceed 40
interchangeably in the railroad indus- miles per hour and are at least six
try. For purposes of this part, loco- inches high. Additional design speci-
motive horns used in rapid transit op- fications are determined by the stand-
erations must be suitable for street ard traffic design specifications used
usage and/or designed in accordance by the governmental entity con-
with State law requirements. structing the curb.
Median means the portion of a di- Partial Quiet Zone means a segment
vided highway separating the travel of a rail line within which is situated
ways for traffic in opposite directions. one or a number of consecutive public
MUTCD means the Manual on Uni- highway-rail grade crossings at which
form Traffic Control Devices published locomotive horns are not routinely
by the Federal Highway Administra- sounded for a specified period of time
tion. during the evening and/or nighttime
Nationwide Significant Risk Threshold hours.
means a number reflecting a measure Pedestrian grade crossing means, for
of risk, calculated on a nationwide purposes of this part, a separate de-
basis, which reflects the average level signed sidewalk or pathway where pe-
of risk to the motoring public at public destrians, but not vehicles, cross rail-
highway-rail grade crossings equipped road tracks. Sidewalk crossings contig-
with flashing lights and gates and at uous with, or separate but adjacent to,
which locomotive horns are sounded. public highway-rail grade crossings are
295
§ 222.9 49 CFR Ch. II (10–1–11 Edition)
presumed to be part of the public high- enforced or observed as of October 9,

way-rail grade crossing and are not 1996 and on December 18, 2003.
considered pedestrian grade crossings. Pre-Rule Quiet Zone means a segment
Power-out indicator means a device of a rail line within which is situated
which is capable of indicating to trains one or a number of consecutive public
approaching a grade crossing equipped highway-rail crossings at which State
with an active warning system whether statutes or local ordinances restricted
commercial electric power is acti- the routine sounding of locomotive
vating the warning system at that horns, or at which locomotive horns
crossing. This term includes remote did not sound due to formal or informal
health monitoring of grade crossing agreements between the community
warning systems if such monitoring and the railroad or railroads, and at
system is equipped to indicate power which such statutes, ordinances or
status. agreements were in place and enforced
Pre-existing Modified Supplementary or observed as of October 9, 1996 and on
Safety Measure (Pre-existing Modified December 18, 2003.
SSM) means a safety system or proce- Private highway-rail grade crossing
dure that is listed in appendix A to this means, for purposes of this part, a
Part, but is not fully compliant with highway-rail grade crossing which is
the standards set forth therein, which not a public highway-rail grade cross-
was installed before December 18, 2003 ing.
by the appropriate traffic control or Public authority means the public en-
law enforcement authority responsible tity responsible for traffic control or
for safety at the highway-rail grade law enforcement at the public high-
crossing. The calculation of risk reduc- way-rail grade or pedestrian crossing.
tion credit for pre-existing modified Public highway-rail grade crossing
SSMs is addressed in appendix B of this means, for purposes of this part, a loca-
part. tion where a public highway, road, or
Pre-existing Supplementary Safety street, including associated sidewalks
Measure (Pre-existing SSM) means a or pathways, crosses one or more rail-
safety system or procedure established road tracks at grade. If a public au-
in accordance with this part before De- thority maintains the roadway on both
cember 18, 2003 which was provided by sides of the crossing, the crossing is
the appropriate traffic control or law considered a public crossing for pur-
enforcement authority responsible for poses of this part.
safety at the highway-rail grade cross- Quiet zone means a segment of a rail
ing. These safety measures must fully line, within which is situated one or a
comply with the SSM requirements set number of consecutive public highway-
forth in appendix A of this part. The rail crossings at which locomotive
calculation of risk reduction credit for horns are not routinely sounded.
qualifying pre-existing SSMs is ad- Quiet Zone Risk Index means a meas-
dressed in appendix A. ure of risk to the motoring public
Pre-Rule Partial Quiet Zone means a which reflects the Crossing Corridor
segment of a rail line within which is Risk Index for a quiet zone, after ad-
situated one or a number of consecu- justment to account for increased risk
tive public highway-rail crossings at due to lack of locomotive horn use at
which State statutes or local ordi- the crossings within the quiet zone (if
nances restricted the routine sounding horns are presently sounded at the
of locomotive horns for a specified pe- crossings) and reduced risk due to im-
riod of time during the evening and/or plementation, if any, of SSMs and
nighttime hours, or at which loco- ASMs with the quiet zone. The calcula-
motive horns did not sound due to for- tion of the Quiet Zone Risk Index,
mal or informal agreements between which is explained in appendix D of
the community and the railroad or this part, does not differ for partial
railroads for a specified period of time quiet zones.
during the evening and/or nighttime Railroad means any form of non-high-
hours, and at which such statutes, ordi- way ground transportation that runs
nances or agreements were in place and on rails or electromagnetic guideways
296
and any entity providing such trans- safety at the highway-rail grade cross-
portation, including: ing, that is determined by the Asso-
(1) Commuter or other short-haul ciate Administrator to be an effective
railroad passenger service in a metro- substitute for the locomotive horn in
politan or suburban area and com- the prevention of highway-rail casual-
muter railroad service that was oper- ties. Appendix A of this part lists such
ated by the Consolidated Rail Corpora- SSMs.
tion on January 1, 1979; and Waiver means a temporary or perma-
(2) High speed ground transportation nent modification of some or all of the
systems that connect metropolitan requirements of this part as they apply
areas, without regard to whether those to a specific party under a specific set
systems use new technologies not asso- of facts. Waiver does not refer to the
ciated with traditional railroads; but process of establishing quiet zones or
does not include rapid transit oper- approval of quiet zones in accordance
ations in an urban area that are not with the provisions of this part.
connected to the general railroad sys- Wayside horn means a stationary
tem of transportation. horn located at a highway rail grade
Recognized State agency means, for crossing, designed to provide, upon the
purposes of this part, a State agency, approach of a locomotive or train, au-
responsible for highway-rail grade dible warning to oncoming motorists of
crossing safety or highway and road the approach of a train.
safety, that has applied for and been
approved by FRA as a participant in § 222.11 What are the penalties for fail-
the quiet zone development process. ure to comply with this regulation?
Relevant collision means a collision at
Any person who violates any require-
a highway-rail grade crossing between
ment of this part or causes the viola-
a train and a motor vehicle, excluding
tion of any such requirement is subject
the following: a collision resulting
to a civil penalty of least $650 and not
from an activation failure of an active
more than $25,000 per violation, except
grade crossing warning system; a colli-
that: Penalties may be assessed against
sion in which there is no driver in the
individuals only for willful violations,
motor vehicle; or a collision in which
and, where a grossly negligent viola-
the highway vehicle struck the side of
tion or a pattern of repeated violations
the train beyond the fourth locomotive
has created an imminent hazard of
unit or rail car. With respect to Pre-
death or injury to persons, or has
Rule Partial Quiet Zones, a relevant
caused death or injury, a penalty not
collision shall not include collisions
to exceed $100,000 per violation may be
that occur during the time period with-
assessed. Each day a violation con-
in which the locomotive horn is rou-
tinues shall constitute a separate of-
tinely sounded.
fense. Any person who knowingly and
Risk Index With Horns means a meas-
willfully falsifies a record or report re-
ure of risk to the motoring public when
quired by this part may be subject to
locomotive horns are routinely sound-
criminal penalties under 49 U.S.C.
ed at every public highway-rail grade
21311. Appendix H of this part contains
crossing within a quiet zone. In Pre-
a schedule of civil penalty amounts
Rule Quiet Zones and Pre-Rule Partial
used in connection with this part.
Quiet Zones, the Risk Index With
Horns is determined by adjusting the [71 FR 47634, Aug. 17, 2006, as amended at 72
Crossing Corridor Risk Index to ac- FR 51197, Sept. 6, 2007; 73 FR 79702, Dec. 30,
count for the decreased risk that would 2008; 74 FR 46394, Sept. 9, 2009]
result if locomotive horns were rou-
tinely sounded at each public highway- § 222.13 Who is responsible for compli-
rail grade crossing. ance?
Supplementary safety measure (SSM) Any person, including but not lim-
means a safety system or procedure es- ited to a railroad, contractor for a rail-
tablished in accordance with this part road, or a local or State governmental
which is provided by the appropriate entity that performs any function cov-
traffic control authority or law en- ered by this part, must perform that
forcement authority responsible for function in accordance with this part.
297
§ 222.15 49 CFR Ch. II (10–1–11 Edition)
§ 222.15 How does one obtain a waiver contacted to discuss the State agency
of a provision of this regulation? application; and
(a) Except as provided in paragraph (3) A statement from State agency
(b) of this section, two parties must counsel which affirms that the State
jointly file a petition (request) for a agency is authorized to undertake the
waiver. They are the railroad owning responsibilities proposed in its applica-
or controlling operations over the rail- tion.
road tracks crossing the public high- (b) The Associate Administrator will
way-rail grade crossing and the public approve the application if, in the Asso-
authority which has jurisdiction over ciate Administrator’s judgment, the
the roadway crossing the railroad proposed scope of State agency in-
tracks. volvement will facilitate safe and effec-
(b) If the railroad and the public au- tive quiet zone development. The Asso-
thority cannot reach agreement to file ciate Administrator may include in
a joint petition, either party may file a any decision of approval such condi-
request for a waiver; however, the fil- tions as he/she deems necessary and ap-
ing party must specify in its petition propriate.
the steps it has taken in an attempt to
reach agreement with the other party, Subpart B—Use of Locomotive
and explain why applying the require- Horns
ment that a joint submission be made
in that instance would not be likely to § 222.21 When must a locomotive horn
contribute significantly to public safe- be used?
ty. If the Associate Administrator de- (a) Except as provided in this part,
termines that applying the require- the locomotive horn on the lead loco-
ment for a jointly filed submission to motive of a train, lite locomotive con-
that particular petition would not be sist, individual locomotive or lead cab
likely to significantly contribute to car shall be sounded when such loco-
public safety, the Associate Adminis- motive or lead cab car is approaching a
trator shall waive the requirement for public highway-rail grade crossing.
joint submission and accept the peti- Sounding of the locomotive horn with
tion for consideration. The filing party two long blasts, one short blast and one
must also provide the other party with long blast shall be initiated at a loca-
a copy of the petition filed with FRA. tion so as to be in accordance with
(c) Each petition for waiver must be paragraph (b) of this section and shall
filed in accordance with 49 CFR part be repeated or prolonged until the loco-
211. motive occupies the crossing. This pat-
(d) If the Administrator finds that a tern may be varied as necessary where
waiver of compliance with a provision crossings are spaced closely together.
of this part is in the public interest and (b)(1) Railroads to which this part ap-
consistent with the safety of highway plies shall comply with all the require-
and railroad users, the Administrator ments contained in this paragraph (b)
may grant the waiver subject to any beginning on December 15, 2006. On and
conditions the Administrator deems after June 24, 2005, but prior to Decem-
necessary. ber 15, 2006, a railroad shall, at its op-
tion, comply with this section or shall
§ 222.17 How can a State agency be- sound the locomotive horn in the man-
come a recognized State agency? ner required by State law, or in the ab-
(a) Any State agency responsible for sence of State law, in the manner re-
highway-rail grade crossing safety and/ quired by railroad operating rules in ef-
or highway and road safety may be- fect immediately prior to June 24, 2005.
come a recognized State agency by sub- (2) Except as provided in paragraphs
mitting an application to the Associate (b)(3) and (d) of this section, or when
Administrator that contains: the locomotive horn is defective and
(1) A detailed description of the pro- the locomotive is being moved for re-
posed scope of involvement in the quiet pair consistent with section 229.9 of
zone development process; this chapter, the locomotive horn shall
(2) The name, address, and telephone begin to be sounded at least 15 seconds,
number of the person(s) who may be but no more than 20 seconds, before the
298
locomotive enters the crossing. It shall § 222.23 How does this regulation af-
not constitute a violation of this sec- fect sounding of a horn during an
tion if, acting in good faith, a loco- emergency or other situations?
motive engineer begins sounding the (a)(1) Notwithstanding any other pro-
locomotive horn not more than 25 sec- vision of this part, a locomotive engi-
onds before the locomotive enters the neer may sound the locomotive horn to
crossing, if the locomotive engineer is provide a warning to animals, vehicle
unable to precisely estimate the time operators, pedestrians, trespassers or
of arrival of the train at the crossing crews on other trains in an emergency
for whatever reason. situation if, in the locomotive engi-
(3) Trains, locomotive consists and neer’s sole judgment, such action is ap-
individual locomotives traveling at propriate in order to prevent imminent
speeds in excess of 60 mph shall not injury, death, or property damage.
begin sounding the horn more than (2) Notwithstanding any other provi-
one-quarter mile (1,320 feet) in advance sion of this part, including provisions
of the nearest public highway-rail addressing the establishment of a quiet
grade crossing, even if the advance zone, limits on the length of time in
warning provided by the locomotive which a horn may be sounded, or in-
horn will be less than 15 seconds in du- stallation of wayside horns within
ration. quiet zones, this part does not preclude
(c) As stated in § 222.3(c) of this part, the sounding of locomotive horns in
this section does not apply to any Chi- emergency situations, nor does it im-
cago Region highway-rail grade cross- pose a legal duty to sound the loco-
ing at which railroads were excused motive horn in such situations.
from sounding the locomotive horn by (b) Nothing in this part restricts the
the Illinois Commerce Commission, use of the locomotive horn in the fol-
and where railroads did not sound the lowing situations:
horn, as of December 18, 2003. (1) When a wayside horn is malfunc-
(d) Trains, locomotive consists and tioning;
individual locomotives that have (2) When active grade crossing warn-
stopped in close proximity to a public ing devices have malfunctioned and use
highway-rail grade crossing may ap- of the horn is required by one of the
proach the crossing and sound the loco- following sections of this chapter:
motive horn for less than 15 seconds be- §§ 234.105, 234.106, or 234.107;
fore the locomotive enters the high- (3) When grade crossing warning sys-
way-rail grade crossing, if the loco- tems are temporarily out of service
motive engineer is able to determine during inspection, maintenance, or
that the public highway-rail grade testing of the system; or
crossing is not obstructed and either: (4) When SSMs, modified SSMs or en-
(1) The public highway-rail grade gineering SSMs no longer comply with
crossing is equipped with automatic the requirements set forth in appendix
flashing lights and gates and the gates A of this part or the conditions con-
are fully lowered; or tained within the Associate Adminis-
(2) There are no conflicting highway trator’s decision to approve the quiet
movements approaching the public zone in accordance with section
highway-rail grade crossing. 222.39(b) of this part.
(e) Where State law requires the (c) Nothing in this part restricts the
sounding of a locomotive audible warn- use of the locomotive horn for purposes
ing device other than the locomotive other than highway-rail crossing safety
horn at public highway-rail grade (e.g., to announce the approach of a
crossings, that locomotive audible train to roadway workers in accord-
warning device shall be sounded in ac- ance with a program adopted under
cordance with paragraphs (b) and (d) of part 214 of this chapter, or where re-
this section. quired for other purposes under rail-
road operating rules).
299
§ 222.25 49 CFR Ch. II (10–1–11 Edition)
§ 222.25 How does this rule affect pri- § 222.27 How does this rule affect pe-
vate highway-rail grade crossings? destrian grade crossings?
This rule does not require the routine This rule does not require the routine
sounding of locomotive horns at pri- sounding of locomotive horns at pedes-
vate highway-rail grade crossings. trian grade crossings. However, where
However, where State law requires the State law requires the sounding of a lo-
sounding of a locomotive horn at pri- comotive horn at pedestrian grade
vate highway-rail grade crossings, the crossings, the locomotive horn shall be
locomotive horn shall be sounded in ac- sounded in accordance with § 222.21 of
cordance with § 222.21 of this part. this part. Where State law requires the
Where State law requires the sounding sounding of a locomotive audible warn-
ing device other than the locomotive
of a locomotive audible warning device
horn at pedestrian grade crossings,
other than the locomotive horn at pri-
that locomotive audible warning device
vate highway-rail grade crossings, that
shall be sounded in accordance with
locomotive audible warning device §§ 222.21(b) and (d) of this part.
shall be sounded in accordance with (a) Pedestrian grade crossings lo-
§§ 222.21(b) and (d) of this part. cated within the boundaries of a quiet
(a) Private highway-rail grade cross- zone must be included in the quiet
ings located within the boundaries of a zone.
quiet zone must be included in the (b) Pedestrian grade crossings that
quiet zone. are located in New Quiet Zones or New
(b)(1) Private highway-rail grade Partial Quiet Zones must be evaluated
crossings that are located in New Quiet by a diagnostic team and equipped or
Zones or New Partial Quiet Zones and treated in accordance with the rec-
allow access to the public, or which ommendations of such diagnostic team.
provide access to active industrial or (c) The public authority shall provide
commercial sites, must be evaluated by the State agency responsible for grade
a diagnostic team and equipped or crossing safety and all affected rail-
treated in accordance with the rec- roads an opportunity to participate in
ommendations of such diagnostic team. diagnostic team reviews of pedestrian
(2) The public authority shall provide grade crossings.
the State agency responsible for grade (d) Advance warning signs. (1) Each
crossing safety and all affected rail- approach to every pedestrian grade
roads an opportunity to participate in crossing within a New Quiet Zone shall
the diagnostic team review of private be equipped with a sign that advises
highway-rail grade crossings. the pedestrian that train horns are not
sounded at the crossing. Such sign
(c)(1) At a minimum, each approach
shall conform to the standards con-
to every private highway-rail grade
tained in the MUTCD.
crossing within a New Quiet Zone or
(2) Each approach to every pedestrian
New Partial Quiet Zone shall be
grade crossing within a New Partial
marked by a crossbuck and a ‘‘STOP’’ Quiet Zone shall be equipped with a
sign, which are compliant with MUTCD sign that advises the pedestrian that
standards unless otherwise prescribed train horns are not sounded at the
by State law, and shall be equipped crossing or that train horns are not
with advance warning signs in compli- sounded at the crossing between the
ance with § 222.35(c) of this part. hours of 10 p.m. and 7 a.m., whichever
(2) At a minimum, each approach to is applicable. Such sign shall conform
every private highway-rail grade cross- to the standards contained in the
ing within a Pre-Rule Quiet Zone or MUTCD.
Pre-Rule Partial Quiet Zone shall, by (3) Each approach to every pedestrian
June 24, 2008, be marked by a crossbuck grade crossing within a Pre-Rule Quiet
and a ‘‘STOP’’ sign, which are compli- Zone shall be equipped by June 24, 2008
ant with MUTCD standards unless oth- with a sign that advises the pedestrian
erwise prescribed by State law, and that train horns are not sounded at the
shall be equipped with advance warning crossing. Such sign shall conform to
signs in compliance with § 222.35(c) of the standards contained in the
this part. MUTCD.
300
(4) Each approach to every pedestrian public highway-rail grade crossing at

grade crossing within a Pre-Rule Par- which locomotive horns are routinely
tial Quiet Zone shall be equipped by sounded within one-half mile of the
June 24, 2008 with a sign that advises New Quiet Zone or New Partial Quiet
the pedestrian that train horns are not Zone.
sounded at the crossing or that train (iii) New Quiet Zones and New Par-
horns are not sounded at the crossing tial Quiet Zones established along the
for a specified period of time, which- same rail line within a single political
ever is applicable. Such sign shall con- jurisdiction shall be separated by at
form to the standards contained in the least one public highway-rail grade
MUTCD. crossing, unless a New Quiet Zone or
New Partial Quiet Zone is being added
Subpart C—Exceptions to the Use onto an existing quiet zone.
of the Locomotive Horn (2)(i) The length of a Pre-Rule Quiet
Zone or Pre-Rule Partial Quiet Zone
§ 222.31 [Reserved] may continue unchanged from that
which existed as of October 9, 1996.
SILENCED HORNS AT INDIVIDUAL (ii) With the exception of combining
CROSSINGS adjacent Pre-Rule Quiet Zones or Pre-
Rule Partial Quiet Zones, the addition
§ 222.33 Can locomotive horns be si-
lenced at an individual public high- of any public highway-rail grade cross-
way-rail grade crossing which is ing to a Pre-Rule Quiet Zone or Pre-
not within a quiet zone? Rule Partial Quiet Zone shall end the
(a) A railroad operating over an indi- grandfathered status of that quiet zone
vidual public highway-rail crossing and transform it into a New Quiet Zone
may, at its discretion, cease the sound- or New Partial Quiet Zone that must
ing of the locomotive horn if the loco- comply with all requirements applica-
motive speed is 15 miles per hour or ble to New Quiet Zones and New Par-
less and train crew members, or appro- tial Quiet Zones.
priately equipped flaggers, as defined (iii) The deletion of any public high-
in 49 CFR 234.5, flag the crossing to way-rail grade crossing from a Pre-
provide warning of approaching trains Rule Quiet Zone or Pre-Rule Partial
to motorists. Quiet Zone, with the exception of a
(b) This section does not apply where grade separation or crossing closure,
active grade crossing warning devices must result in a quiet zone of at least
have malfunctioned and use of the horn one-half mile in length in order to re-
is required by 49 CFR 234.105, 234.106, or tain Pre-Rule Quiet Zone or Pre-Rule
234.107. Partial Quiet Zone status.
(3) A quiet zone may include grade
SILENCED HORNS AT GROUPS OF crossings on a segment of rail line
CROSSINGS—QUIET ZONES crossing more than one political juris-
diction.
§ 222.35 What are the minimum re- (b) Active grade crossing warning de-
quirements for quiet zones? vices. (1) Each public highway-rail
The following requirements apply to grade crossing in a New Quiet Zone es-
quiet zones established in conformity tablished under this part must be
with this part. equipped, no later than the quiet zone
(a) Minimum length. (1)(i) Except as implementation date, with active
provided in paragraph (a)(1)(ii) of this grade crossing warning devices com-
section, the minimum length of a New prising both flashing lights and gates
Quiet Zone or New Partial Quiet Zone which control traffic over the crossing
established under this part shall be and that conform to the standards con-
one-half mile along the length of rail- tained in the MUTCD. Such warning
road right-of-way. devices shall be equipped with constant
(ii) The one-half mile minimum warning time devices, if reasonably
length requirement shall be waived for practical, and power-out indicators.
any New Quiet Zone or New Partial (2) With the exception of public high-
Quiet Zone that is added onto an exist- way-rail grade crossings that will be
ing quiet zone, provided there is no temporarily closed in accordance with
301
§ 222.37 49 CFR Ch. II (10–1–11 Edition)
appendix A of this part, each public shall conform to the standards con-
highway-rail grade crossing in a New tained in the MUTCD.
Partial Quiet Zone established under (4) Each highway approach to every
this part must be equipped, no later public and private highway-rail grade
than the quiet zone implementation crossing within a Pre-Rule Partial
date, with active grade crossing warn- Quiet Zone shall be equipped by June
ing devices comprising both flashing 24, 2008 with an advance warning sign
lights and gates which control traffic that advises the motorist that train
over the crossing and that conform to horns are not sounded at the crossing
the standards contained in the or that train horns are not sounded at
MUTCD. Such warning devices shall be the crossing for a specified period of
equipped with constant warning time time, whichever is applicable. Such
devices, if reasonably practical, and sign shall conform to the standards
power-out indicators. contained in the MUTCD.
(3) Pre-Rule Quiet Zones and Pre- (5) This paragraph (c) does not apply
Rule Partial Quiet Zones must retain, to public and private highway-rail
and may upgrade, the grade crossing grade crossings equipped with wayside
safety warning system which existed as horns that conform to the require-
of December 18, 2003. Any upgrade in- ments set forth in § 222.59 and appendix
volving the installation or renewal of E of this part.
an automatic warning device system (d) Bells. (1) Each public highway-rail
shall include constant warning time grade crossing in a New Quiet Zone or
devices, where reasonably practical, New Partial Quiet Zone that is sub-
and power-out indicators. In no event jected to pedestrian traffic and
may the grade crossing safety warning equipped with one or more automatic
system, which existed as of December bells shall retain those bells in working
18, 2003, be downgraded. Risk reduction condition.
resulting from upgrading to flashing (2) Each public highway-rail grade
lights or gates may be credited in cal- crossing in a Pre-Rule Quiet Zone or
Pre-Rule Partial Quiet Zone that is
culating the Quiet Zone Risk Index.
subjected to pedestrian traffic and
(c) Advance warning signs. (1) Each
equipped with one or more automatic
highway approach to every public and
bells shall retain those bells in working
private highway-rail grade crossing condition.
within a New Quiet Zone shall be (e) All private highway-rail grade
equipped with an advance warning sign crossings within the quiet zone must be
that advises the motorist that train treated in accordance with this section
horns are not sounded at the crossing. and § 222.25 of this part.
Such sign shall conform to the stand- (f) All pedestrian grade crossings
ards contained in the MUTCD. within a quiet zone must be treated in
(2) Each highway approach to every accordance with § 222.27 of this part.
public and private highway-rail grade (g) All public highway-rail grade
crossing within a New Partial Quiet crossings within the quiet zone must be
Zone shall be equipped with an advance in compliance with the requirements of
warning sign that advises the motorist the MUTCD.
that train horns are not sounded at the
crossing or that train horns are not § 222.37 Who may establish a quiet
sounded at the crossing between the zone?
hours of 10 p.m. and 7 a.m., whichever (a) A public authority may establish
is applicable. Such sign shall conform quiet zones that are consistent with
to the standards contained in the the provisions of this part. If a pro-
MUTCD. posed quiet zone includes public high-
(3) Each highway approach to every way-rail grade crossings under the au-
public and private highway-rail grade thority and control of more than one
crossing within a Pre-Rule Quiet Zone public authority (such as a county road
shall be equipped by June 24, 2008 with and a State highway crossing the rail-
an advance warning sign that advises road tracks at different crossings),
the motorist that train horns are not both public authorities must agree to
sounded at the crossing. Such sign establishment of the quiet zone, and
302
must jointly, or by delegation provided below, the Nationwide Significant Risk

to one of the authorities, take such ac- Threshold, as follows:
tions as are required by this part. (i) If the Quiet Zone Risk Index is al-
(b) A public authority may establish ready at, or below, the Nationwide Sig-
quiet zones irrespective of State laws nificant Risk Threshold without being
covering the subject matter of sound- reduced by implementation of SSMs; or
ing or silencing locomotive horns at (ii) If SSMs are implemented which
public highway-rail grade crossings. are sufficient to reduce the Quiet Zone
Nothing in this part, however, is meant Risk Index to a level at, or below, the
to affect any other applicable role of Nationwide Significant Risk Thresh-
State agencies or the Federal Highway old.
Administration in decisions regarding (3) A quiet zone may be established if
funding or construction priorities for SSMs are implemented which are suffi-
grade crossing safety projects, selec- cient to reduce the Quiet Zone Risk
tion of traffic control devices, or engi- Index to a level at or below the Risk
neering standards for roadways or traf- Index With Horns.
fic control devices. (b) Public authority application to
(c) A State agency may provide ad- FRA. (1) A public authority may apply
ministrative and technical services to to the Associate Administrator for ap-
public authorities by advising them, proval of a quiet zone that does not
acting on their behalf, or acting as a meet the standards for public author-
central contact point in dealing with ity designation under paragraph (a) of
FRA; however, any public authority el- this section, but in which it is proposed
igible to establish a quiet zone under that one or more safety measures be
this part may do so. implemented. Such proposed quiet zone
may include only ASMs, or a combina-
§ 222.38 Can a quiet zone be created in tion of ASMs and SSMs at various
the Chicago Region? crossings within the quiet zone. Note
that an engineering improvement
Public authorities that are eligible to which does not fully comply with the
establish quiet zones under this part requirements for an SSM under appen-
may create New Quiet Zones or New dix A of this part, is considered to be
Partial Quiet Zones in the Chicago Re- an ASM. The public authority’s appli-
gion, provided the New Quiet Zone or cation must:
New Partial Quiet Zone does not in- (i) Contain an accurate, complete and
clude any highway-rail grade crossing current Grade Crossing Inventory
described in § 222.3(c) of this part. Form for each public, private and pe-
destrian grade crossing within the pro-
§ 222.39 How is a quiet zone estab-
lished? posed quiet zone;
(ii) Contain sufficient detail con-
(a) Public authority designation. This cerning the present safety measures at
paragraph (a) describes how a quiet each public, private and pedestrian
zone may be designated by a public au- grade crossing proposed to be included
thority without the need for formal ap- in the quiet zone to enable the Asso-
plication to, and approval by, FRA. If a ciate Administrator to evaluate their
public authority complies with either effectiveness;
paragraph (a)(1), (a)(2), or (a)(3) of this (iii) Contain detailed information
section, and complies with the infor- about diagnostic team reviews of any
mation and notification provisions of crossing within the proposed quiet
§ 222.43 of this part, a public authority zone, including a membership list and a
may designate a quiet zone without the list of recommendations made by the
necessity for FRA review and approval. diagnostic team;
(1) A quiet zone may be established (iv) Contain a statement describing
by implementing, at every public high- efforts taken by the public authority
way-rail grade crossing within the to address comments submitted by
quiet zone, one or more SSMs identi- each railroad operating the public
fied in appendix A of this part. highway-rail grade crossings within
(2) A quiet zone may be established if the quiet zone, the State agency re-
the Quiet Zone Risk Index is at, or sponsible for highway and road safety,
303
§ 222.41 49 CFR Ch. II (10–1–11 Edition)
and the State agency responsible for statements from each railroad oper-
grade crossing safety in response to the ating over the public highway-rail
Notice of Intent. This statement shall grade crossings within the quiet zone,
also list any objections to the proposed the highway or traffic control author-
quiet zone that were raised by the rail- ity or law enforcement authority hav-
road(s) and State agencies; ing jurisdiction over vehicular traffic
(v) Contain detailed information as at grade crossings within the quiet
to which safety improvements are pro- zone, the State agency responsible for
posed to be implemented at each pub- grade crossing safety, and the State
lic, private, or pedestrian grade cross- agency responsible for highway and
ing within the proposed quiet zone; road safety stating that the railroad,
(vi) Contain a commitment to imple- vehicular traffic authority and State
ment the proposed safety improve- agencies have waived their rights to
ments within the proposed quiet zone; provide comments on the public au-
and thority application, the 60-day com-
(vii) Demonstrate through data and ment period under paragraph (b)(3)(ii)
analysis that the proposed implemen- of this section shall be waived.
tation of these measures will reduce (4)(i) After reviewing any comments
the Quiet Zone Risk Index to a level at, submitted under paragraph (b)(3)(ii) of
or below, either the Risk Index With this section, the Associate Adminis-
Horns or the Nationwide Significant trator will approve the quiet zone if, in
Risk Threshold. the Associate Administrator’s judg-
(2) If the proposed quiet zone con- ment, the public authority is in com-
tains newly established public or pri- pliance with paragraphs (b)(1) and
vate highway-rail grade crossings, the (b)(2) of this section and has satisfac-
public authority’s application for ap- torily demonstrated that the SSMs and
proval must also include five-year pro- ASMs proposed by the public authority
jected vehicle and rail traffic counts result in a Quiet Zone Risk Index that
for each newly established grade cross- is either:
ing; (A) At or below the Risk Index With
(3) 60-day comment period. (i) The pub- Horns or
lic authority application for FRA ap- (B) At or below the Nationwide Sig-
proval of the proposed quiet zone shall nificant Risk Threshold.
be provided, by certified mail, return (ii) The Associate Administrator may
receipt requested, to: all railroads op- include in any decision of approval
erating over the public highway-rail such conditions as may be necessary to
grade crossings within the quiet zone; ensure that the proposed safety im-
the highway or traffic control or law provements are effective. If the Asso-
enforcement authority having jurisdic- ciate Administrator does not approve
tion over vehicular traffic at grade the quiet zone, the Associate Adminis-
crossings within the quiet zone; the trator will describe, in the decision,
landowner having control over any pri- the basis upon which the decision was
vate highway-rail grade crossings with- made. Decisions issued by the Asso-
in the quiet zone; the State agency re- ciate Administrator on quiet zone ap-
sponsible for highway and road safety; plications shall be provided to all par-
the State agency responsible for grade ties listed in paragraph (b)(3)(i) of this
crossing safety; and the Associate Ad- section and may be reviewed as pro-
ministrator. vided in §§ 222.57(b) and (d) of this part.
(ii) Except as provided in paragraph (c) Appendix C of this part contains
(b)(3)(iii) of this section, any party that guidance on how to create a quiet zone.
receives a copy of the public authority
application may submit comments on § 222.41 How does this rule affect Pre-
the public authority application to the Rule Quiet Zones and Pre-Rule Par-
Associate Administrator during the 60- tial Quiet Zones?
day period after the date on which the (a) Pre-Rule Quiet Zones that will be
public authority application was established by automatic approval. (1) A
mailed. Pre-Rule Quiet Zone may be estab-
(iii) If the public authority applica- lished by automatic approval and re-
tion for FRA approval contains written main in effect, subject to § 222.51, if the
304
Pre-Rule Quiet Zone is in compliance riod within which the locomotive horn
with §§ 222.35 (minimum requirements was routinely sounded shall not be con-
for quiet zones) and 222.43 of this part sidered ‘‘relevant collisions’’; or
(notice and information requirements) (iv) The Quiet Zone Risk Index is at,
and: or below, the Risk Index with Horns.
(i) The Pre-Rule Quiet Zone has at (2) The public authority shall provide
every public highway-rail grade cross- Notice of Quiet Zone Establishment, in
ing within the quiet zone one or more accordance with § 222.43 of this part, no
SSMs identified in appendix A of this later than December 24, 2005.
part; or (c) Pre-Rule Quiet Zones and Pre-Rule
(ii) The Quiet Zone Risk Index is at, Partial Quiet Zones that will not be estab-
or below, the Nationwide Significant lished by automatic approval. (1) If a Pre-
Risk Threshold, as last published by Rule Quiet Zone or Pre-Rule Partial
FRA in the FEDERAL REGISTER; or Quiet Zone will not be established by
(iii) The Quiet Zone Risk Index is automatic approval under paragraph
above the Nationwide Significant Risk (a) or (b) of this section, existing re-
Threshold, as last published by FRA in strictions may, at the public
the FEDERAL REGISTER, but less than authority’s discretion, remain in place
twice the Nationwide Significant Risk until June 24, 2008, if a Notice of Quiet
Threshold and there have been no rel- Zone Continuation is provided in ac-
evant collisions at any public highway- cordance with § 222.43 of this part.
rail grade crossing within the quiet (2)(i) Existing restrictions on the rou-
zone since April 27, 2000 or tine sounding of the locomotive horn
(iv) The Quiet Zone Risk Index is at, may remain in place until June 24,
or below, the Risk Index with Horns. 2010, if:
(2) The public authority shall provide (A) Notice of Intent is mailed, in ac-
Notice of Quiet Zone Establishment, in cordance with § 222.43 of this part, by
accordance with § 222.43 of this part, no February 24, 2008; and
later than December 24, 2005. (B) A detailed plan for quiet zone im-
(b) Pre-Rule Partial Quiet Zones that provements is filed with the Associate
will be established by automatic approval. Administrator by June 24, 2008. The de-
(1) A Pre-Rule Partial Quiet Zone may tailed plan shall include a detailed ex-
be established by automatic approval planation of, and timetable for, the
and remain in effect, subject to § 222.51, safety improvements that will be im-
if the Pre-Rule Partial Quiet Zone is in plemented at each public, private and
compliance with §§ 222.35 (minimum re- pedestrian grade crossing located with-
quirements for quiet zones) and 222.43 in the Pre-Rule Quiet Zone or Pre-Rule
of this part (notice and information re- Partial Quiet Zone which are necessary
quirements) and: to comply with §§ 222.25, 222.27, 222.35
(i) The Pre-Rule Partial Quiet Zone and 222.39 of this part.
has at every public highway-rail grade (ii) In the event that the safety im-
crossing within the quiet zone one or provements planned for the quiet zone
more SSMs identified in appendix A of require approval of FRA under
this part; or § 222.39(b) of this part, the public au-
(ii) The Quiet Zone Risk Index is at, thority should apply for such approval
or below, the Nationwide Significant prior to December 24, 2007, to ensure
Risk Threshold, as last published by that FRA has ample time in which to
FRA in the FEDERAL REGISTER; or review such application prior to the
(iii) The Quiet Zone Risk Index is end of the extension period.
above the Nationwide Significant Risk (3) Locomotive horn restrictions may
Threshold, as last published by FRA in continue for an additional three years
the FEDERAL REGISTER, but less than beyond June 24, 2010, if:
twice the Nationwide Significant Risk (i) Prior to June 24, 2008, the appro-
Threshold and there have been no rel- priate State agency provides to the As-
evant collisions at any public highway- sociate Administrator: A comprehen-
rail grade crossing within the quiet sive State-wide implementation plan
zone since April 27, 2000. With respect and funding commitment for imple-
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
305
§ 222.42 49 CFR Ch. II (10–1–11 Edition)
Zones which, when implemented, would (i) Notice of Intent is mailed, in ac-
enable them to qualify as quiet zones cordance with § 222.43 of this part;
under this part; and (ii) The quiet zone complies with the
(ii) Prior to June 24, 2009, either safe- standards set forth in § 222.39 of this
ty improvements are initiated at a por- part;
tion of the crossings within the quiet (iii) The quiet zone complies with the
zone, or the appropriate State agency New Quiet Zone standards set forth in
has participated in quiet zone improve- §§ 222.25, 222.27, and 222.35 of this part;
ments in one or more Pre-Rule Quiet (iv) Notice of Quiet Zone Establish-
Zones or Pre-Rule Partial Quiet Zones ment is mailed, in accordance with
elsewhere within the State. § 222.43 of this part, by June 3, 2006.
(4) A public authority may establish (b) Conversion of Intermediate Partial
a Pre-Rule Quiet Zone or Pre-Rule Par- Quiet Zones into 24-hour New Quiet
tial Quiet Zone upon compliance with: Zones. An Intermediate Partial Quiet
(A) The Pre-Rule Quiet Zone or Pre- Zone may be converted into a 24-hour
Rule Partial Quiet Zone requirements New Quiet Zone if:
contained within §§ 222.25, 222.27, and (1) Notice of Intent is mailed, in ac-
222.35 of this part; cordance with § 222.43 of this part;
(B) The quiet zone standards set (2) The quiet zone complies with the
forth in § 222.39 of this part; and standards set forth in § 222.39 of this
(C) All applicable notification and fil- part;
ing requirements contained within this (3) The quiet zone is brought into
paragraph (c) and § 222.43 of this part. compliance with the New Quiet Zone
(d) Pre-Rule Partial Quiet Zones that requirements set forth in §§ 222.25,
will be converted to 24-hour New Quiet 222.27, and 222.35 of this part; and
Zones. A Pre-Rule Partial Quiet Zone (4) Notice of Quiet Zone Establish-
may be converted into a 24-hour New ment is mailed, in accordance with
Quiet Zone, if: § 222.43 of this part, by June 3, 2006.
(1) The quiet zone is brought into
compliance with the New Quiet Zone § 222.43 What notices and other infor-
requirements set forth in §§ 222.25, mation are required to create or
222.27, and 222.35 of this part; continue a quiet zone?
(2) The quiet zone is brought into (a)(1) The public authority shall pro-
compliance with the quiet zone stand- vide written notice, by certified mail,
ards set forth in § 222.39 of this part; return receipt requested, of its intent
and to create a New Quiet Zone or New
(3) The public authority complies Partial Quiet Zone under § 222.39 of this
with all applicable notification and fil- part or to implement new SSMs or
ing requirements contained within this ASMs within a Pre-Rule Quiet Zone or
paragraph (c) and § 222.43 of this part. Pre-Rule Partial Quiet Zone under
§ 222.41(c) or (d) of this part. Such noti-
§ 222.42 How does this rule affect In- fication shall be provided to: All rail-
termediate Quiet Zones and Inter- roads operating over the public high-
mediate Partial Quiet Zones? way-rail grade crossings within the
(a)(1) Existing restrictions may, at quiet zone; the State agency respon-
the public authority’s discretion, re- sible for highway and road safety; and
main in place within the Intermediate the State agency responsible for grade
Quiet Zone or Intermediate Partial crossing safety.
Quiet Zone until June 24, 2006, if the (2) The public authority shall provide
public authority provides Notice of written notification, by certified mail,
Quiet Zone Continuation, in accord- return receipt requested, to continue a
ance with § 222.43 of this part. Pre-Rule Quiet Zone or Pre-Rule Par-
(2) A public authority may continue tial Quiet Zone under § 222.41 of this
locomotive horn sounding restrictions part or to continue an Intermediate
beyond June 24, 2006 by establishing a Quiet Zone or Intermediate Partial
New Quiet Zone or New Partial Quiet Quiet Zone under § 222.42 of this part.
Zone. A public authority may establish Such notification shall be provided to:
a New Quiet Zone or New Partial Quiet All railroads operating over the public
Zone if: highway-rail grade crossings within
306
the quiet zone; the highway or traffic Inventory Number and street or high-
control or law enforcement authority way name, if applicable.
having jurisdiction over vehicular traf- (ii) A statement of the time period
fic at grade crossings within the quiet within which restrictions would be im-
zone; the landowner having control posed on the routine sounding of the
over any private highway-rail grade locomotive horn (i.e., 24 hours or from
crossings within the quiet zone; the 10 p.m. until 7 a.m.).
State agency responsible for highway (iii) A brief explanation of the public
and road safety; the State agency re- authority’s tentative plans for imple-
sponsible for grade crossing safety; and menting improvements within the pro-
the Associate Administrator. posed quiet zone.
(3) The public authority shall pro- (iv) The name and title of the person
vided written notice, by certified mail, who will act as point of contact during
return receipt requested, of the estab- the quiet zone development process and
lishment of a quiet zone under § 222.39 the manner in which that person can
or § 222.41 of this part. Such notifica- be contacted.
tion shall be provided to: All railroads (v) A list of the names and addresses
operating over the public highway-rail of each party that will receive notifica-
grade crossings within the quiet zone; tion in accordance with paragraph
the highway or traffic control or law (a)(1) of this section.
enforcement authority having jurisdic- (3) 60-day comment period. (i) A party
tion over vehicular traffic at grade that receives a copy of the public
crossings within the quiet zone; the authority’s Notice of Intent may sub-
landowner having control over any pri- mit information or comments about
vate highway-rail grade crossings with- the proposed quiet zone to the public
in the quiet zone; the State agency re- authority during the 60-day period
sponsible for highway and road safety; after the date on which the Notice of
the State agency responsible for grade Intent was mailed.
crossing safety; and the Associate Ad- (ii) The 60-day comment period estab-
ministrator. lished under paragraph (b)(3)(i) of this
section may terminate when the public
(b) Notice of Intent—(1) Timing. (i) The
authority obtains from each railroad
Notice of Intent shall be mailed at
operating over public highway-rail
least 60 days before the mailing of the
grade crossings within the proposed
Notice of Quiet Zone Establishment,
quiet zone, the State agency respon-
unless the public authority obtains
sible for grade crossing safety, and the
written comments and/or ‘‘no-com-
State agency responsible for highway
ment’’ statements from each railroad
and road safety:
operating over public highway-rail (A) Written comments; or
grade crossings within the quiet zone, (B) Written statements that the rail-
the State agency responsible for grade road and State agency do not have any
crossing safety, and the State agency comments on the Notice of Intent (‘‘no-
responsible for highway and road safe- comment statements’’).
ty, in accordance with paragraph (c) Notice of Quiet Zone Continuation—
(b)(3)(ii) of this section. (1) Timing. (i) In order to prevent the
(ii) The Notice of Intent shall be resumption of locomotive horn sound-
mailed no later than February 24, 2008 ing on June 24, 2005, the Notice of Quiet
for all Pre-Rule Quiet Zones and Pre- Zone Continuation under § 222.41 or
Rule Partial Quiet Zones governed by § 222.42 of this part shall be served no
§§ 222.41(c) and (d) of this part, in order later than June 3, 2005.
to continue existing locomotive horn (ii) If the Notice of Quiet Zone Con-
sounding restrictions beyond June 24, tinuation under § 222.41 or § 222.42 of
2008 without interruption. this part is mailed after June 3, 2005,
(2) Required Contents. The Notice of the Notice of Quiet Zone Continuation
Intent shall include the following: shall state on which date locomotive
(i) A list of each public, private, and horn use at grade crossings within the
pedestrian grade crossing within the quiet zone shall cease, but in no event
quiet zone, identified by both U.S. DOT shall that date be earlier than 21 days
National Highway-Rail Grade Crossing after the date of mailing.
307
§ 222.43 49 CFR Ch. II (10–1–11 Edition)
(2) Required contents. The Notice of ‘‘no-comment’’ statements have been

Quiet Zone Continuation shall include received from each railroad operating
the following: over public highway-rail grade cross-
(i) A list of each public, private, and ings within the proposed quiet zone,
pedestrian grade crossing within the the State agency responsible for grade
quiet zone, identified by both U.S. DOT crossing safety, and the State agency
National Highway-Rail Grade Crossing responsible for highway and road safe-
Inventory Number and street or high- ty, in accordance with paragraph
way name. (b)(3)(ii) of this section.
(ii) A specific reference to the regu- (2) Required contents. The Notice of
latory provision that provides the basis Quiet Zone Establishment shall include
for quiet zone continuation, citing as the following:
appropriate, § 222.41 or § 222.42 of this (i) A list of each public, private, and
part. pedestrian grade crossing within the
(iii) A statement of the time period quiet zone, identified by both U.S. DOT
within which restrictions on the rou- National Highway-Rail Grade Crossing
tine sounding of the locomotive horn Inventory Number and street or high-
will be imposed (i.e., 24 hours or night- way name, if applicable.
time hours only.) (ii) A specific reference to the regu-
(iv) An accurate and complete Grade latory provision that provides the basis
Crossing Inventory Form for each pub-
for quiet zone establishment, citing as
lic, private, and pedestrian grade cross-
appropriate, § 222.39(a)(1), 222.39(a)(2)(i),
ing within the quiet zone that reflects
222.39(a)(2)(ii), 222.39(a)(3), 222.39(b),
conditions currently existing at the
§ 222.41(a)(1)(i), 222.41(a)(1)(ii),
crossing.
222.41(a)(1)(iii), 222.41(a)(1)(iv),
(v) The name and title of the person
222.41(b)(1)(i), 222.41(b)(1)(ii),
responsible for monitoring compliance
222.41(b)(1)(iii), or 222.41(b)(1)(iv) of this
with the requirements of this part and
part.
the manner in which that person can
be contacted. (A) If the Notice contains a specific
(vi) A list of the names and addresses reference to § 222.39(a)(2)(i),
of each party that will receive notifica- 222.39(a)(2)(ii), 222.39(a)(3),
tion in accordance with paragraph § 222.41(a)(1)(ii), 222.41(a)(1)(iii),
(a)(2) of this section. 222.41(a)(1)(iv), 222.41(b)(1)(ii),
(vii) A statement signed by the chief 222.41(b)(1)(iii), or 222.41(b)(1)(iv) of this
executive officer of each public author- part, it shall include a copy of the FRA
ity participating in the continuation of Web page that contains the quiet zone
the quiet zone, in which the chief exec- data upon which the public authority
utive officer certifies that the informa- is relying (http://www.fra.dot.gov/us/con-
tion submitted by the public authority tent/1337).
is accurate and complete to the best of (B) If the Notice contains a specific
his/her knowledge and belief. reference to § 222.39(b) of this part, it
(d) Notice of Quiet Zone Establish- shall include a copy of FRA’s notifica-
ment—(1) Timing. (i) The Notice of tion of approval.
Quiet Zone Establishment shall provide (iii) If a diagnostic team review was
the date upon which the quiet zone will required under § 222.25 or § 222.27 of this
be established, but in no event shall part, the Notice shall include a state-
the date be earlier than 21 days after ment affirming that the State agency
the date of mailing. responsible for grade crossing safety
(ii) If the public authority was re- and all affected railroads were provided
quired to provide a Notice of Intent, in an opportunity to participate in the di-
accordance with paragraph (a)(1) of agnostic team review. The Notice shall
this section, the Notice of Quiet Zone also include a list of recommendations
Establishment shall not be mailed less made by the diagnostic team.
than 60 days after the date on which (iv) A statement of the time period
the Notice of Intent was mailed, unless within which restrictions on the rou-
the Notice of Quiet Zone Establish- tine sounding of the locomotive horn
ment contains a written statement af- will be imposed (i.e., 24 hours or from
firming that written comments and/or 10 p.m. until 7 a.m.).
308
(v) An accurate and complete Grade formation submitted by the public au-
Crossing Inventory Form for each pub- thority is accurate and complete to the
lic, private, and pedestrian grade cross- best of his/her knowledge and belief.
ing within the quiet zone that reflects
the conditions existing at the crossing § 222.45 When is a railroad required to
before any new SSMs or ASMs were im- cease routine sounding of loco-
plemented. motive horns at crossings?
(vi) An accurate, complete and cur- On the date specified in a Notice of
rent Grade Crossing Inventory Form Quiet Zone Continuation or Notice of
for each public, private, and pedestrian Quiet Zone Establishment that com-
grade crossing within the quiet zone plies with the requirements set forth in
that reflects SSMs and ASMs in place § 222.43 of this part, a railroad shall re-
upon establishment of the quiet zone. frain from, or cease, routine sounding
SSMs and ASMs that cannot be fully of the locomotive horn at all public,
described on the Inventory Form shall private and pedestrian grade crossings
be separately described. identified in the Notice.
(vii) If the public authority was re-
quired to provide a Notice of Intent, in § 222.47 What periodic updates are re-
accordance with paragraph (a)(1) of quired?
this section, the Notice of Quiet Zone (a) Quiet zones with SSMs at each pub-
Establishment shall contain a written lic crossing. This paragraph addresses
statement affirming that the Notice of quiet zones established pursuant to
Intent was provided in accordance with §§ 222.39(a)(1), 222.41(a)(1)(i), and
paragraph (a)(1) of this section. This 222.41(b)(1)(i) (quiet zones with an SSM
statement shall also state the date on implemented at every public crossing
which the Notice of Intent was mailed. within the quiet zone) of this part. Be-
(viii) If the public authority was re- tween 41⁄2 and 5 years after the date of
quired to provide a Notice of Intent, in the quiet zone establishment notice
accordance with paragraph (a)(1) of provided by the public authority under
this section, and the Notice of Intent § 222.43 of this part, and between 41⁄2 and
was mailed less than 60 days before the 5 years after the last affirmation under
mailing of the Notice of Quiet Zone Es- this section, the public authority must:
tablishment, the Notice of Quiet Zone (1) Affirm in writing to the Associate
Establishment shall also contain a Administrator that the SSMs imple-
written statement affirming that writ- mented within the quiet zone continue
ten comments and/or ‘‘no-comment’’ to conform to the requirements of ap-
statements have been received from pendix A of this part. Copies of such af-
each railroad operating over public firmation must be provided by certified
highway-rail grade crossings within mail, return receipt requested, to the
the proposed quiet zone, the State parties identified in § 222.43(a)(3) of this
agency responsible for grade crossing part; and
safety, and the State agency respon- (2) Provide to the Associate Adminis-
sible for highway and road safety, in trator an up-to-date, accurate, and
accordance with paragraph (b)(3)(ii) of complete Grade Crossing Inventory
this section. Form for each public highway-rail
(ix) The name and title of the person grade crossing, private highway-rail
responsible for monitoring compliance grade crossing, and pedestrian crossing
with the requirements of this part and within the quiet zone.
the manner in which that person can (b) Quiet zones which do not have a
be contacted. supplementary safety measure at each
(x) A list of the names and addresses public crossing. This paragraph address-
of each party that shall be notified in es quiet zones established pursuant to
accordance with paragraph (a)(3) of §§ 222.39(a)(2) and (a)(3), 222.39(b),
this section. 222.41(a)(1)(ii), (a)(1)(iii), and (a)(1)(iv),
(xi) A statement signed by the chief and222.41(b)(1)(ii), (b)(1)(iii), and
executive officer of each public author- (b)(1)(iv) (quiet zones which do not
ity participating in the establishment have an SSM at every public crossing
of the quiet zone, in which the chief ex- within the quiet zone) of this part. Be-
ecutive officer shall certify that the in- tween 21⁄2 and 3 years after the date of
309
§ 222.49 49 CFR Ch. II (10–1–11 Edition)
the quiet zone establishment notice ceding calendar year. FRA will not
provided by the public authority under conduct annual risk reviews for quiet
§ 222.43 of this part, and between 21⁄2 and zones established by having an SSM at
3 years after the last affirmation under every public crossing within the quiet
this section, the public authority must: zone or for quiet zones established by
(1) Affirm in writing to the Associate reducing the Quiet Zone Risk Index to
Administrator that all SSMs and ASMs the Risk Index With Horns.
implemented within the quiet zone (2) Actions to be taken by public au-
continue to conform to the require- thority to retain quiet zone. If the Quiet
ments of appendices A and B of this Zone Risk Index is above the Nation-
part or the terms of the Quiet Zone ap- wide Significant Risk Threshold, the
proval. Copies of such notification quiet zone will terminate six months
must be provided to the parties identi- from the date of receipt of notification
fied in § 222.43(a)(3) of this part by cer- from FRA that the Quiet Zone Risk
tified mail, return receipt requested; Index exceeds the Nationwide Signifi-
and cant Risk Threshold, unless the public
(2) Provide to the Associate Adminis- authority takes the following actions:
trator an up-to-date, accurate, and (i) Within six months after the date
complete Grade Crossing Inventory of receipt of notification from FRA
Form for each public highway-rail that the Quiet Zone Risk Index exceeds
grade crossing, private highway-rail the Nationwide Significant Risk
grade crossing, and pedestrian grade Threshold, provide to the Associate Ad-
crossing within the quiet zone.
ministrator a written commitment to
§ 222.49 Who may file Grade Crossing lower the potential risk to the trav-
Inventory Forms? eling public at the crossings within the
quiet zone to a level at, or below, the
(a) Grade Crossing Inventory Forms
Nationwide Significant Risk Threshold
required to be filed with the Associate
or the Risk Index With Horns. Included
Administrator in accordance with
in the commitment statement shall be
§§ 222.39, 222.43 and 222.47 of this part
a discussion of the specific steps to be
may be filed by the public authority if,
taken by the public authority to in-
for any reason, such forms are not
crease safety at the crossings within
timely submitted by the State and rail-
road. the quiet zone; and
(b) Within 30 days after receipt of a (ii) Within three years after the date
written request of the public authority, of receipt of notification from FRA
the railroad owning the line of railroad that the Quiet Zone Risk Index exceeds
that includes public or private highway the Nationwide Significant Risk
rail grade crossings within the quiet Threshold, complete implementation of
zone or proposed quiet zone shall pro- SSMs or ASMs sufficient to reduce the
vide to the State and public authority Quiet Zone Risk Index to a level at, or
sufficient current information regard- below, the Nationwide Significant Risk
ing the grade crossing and the rail- Threshold, or the Risk Index With
road’s operations over the grade cross- Horns, and receive approval from the
ing to enable the State and public au- Associate Administrator, under the
thority to complete the Grade Crossing procedures set forth in § 222.39(b) of this
Inventory Form. part, for continuation of the quiet
zone. If the Quiet Zone Risk Index is
§ 222.51 Under what conditions will reduced to the Risk Index With Horns,
quiet zone status be terminated? the quiet zone will be considered to
(a) New Quiet Zones—Annual risk re- have been established pursuant to
view. (1) FRA will annually calculate § 222.39(a)(3) of this part and subsequent
the Quiet Zone Risk Index for each annual risk reviews will not be con-
quiet zone established pursuant to ducted for that quiet zone.
§§ 222.39(a)(2) and 222.39(b) of this part, (iii) Failure to comply with para-
and in comparison to the Nationwide graph (a)(2)(i) of this section shall re-
Significant Risk Threshold. FRA will sult in the termination of the quiet
notify each public authority of the zone six months after the date of re-
Quiet Zone Risk Index for the pre- ceipt of notification from FRA that the
310
Quiet Zone Risk Index exceeds the Na- zone within the preceding five calendar
tionwide Significant Risk Threshold. years, the quiet zone will terminate six
Failure to comply with paragraph months after the date of receipt of no-
(a)(2)(ii) of this section shall result in tification from FRA of the Nationwide
the termination of the quiet zone three Significant Risk Threshold level, un-
years after the date of receipt of notifi- less the public authority takes the ac-
cation from FRA that the Quiet Zone tions specified in paragraph (b)(4) of
Risk Index exceeds the Nationwide Sig- this section.
nificant Risk Threshold. (3) Pre-Rule Quiet Zones and Pre-Rule
(b) Pre-Rule Quiet Zones—Annual risk Partial Quiet Zones authorized under
review. (1) FRA will annually calculate §§ 222.41(a)(1)(iii) and 222.41(b)(1)(iii). (i)
the Quiet Zone Risk Index for each If a Pre-Rule Quiet Zone or Pre-Rule
Pre-Rule Quiet Zone and Pre-Rule Par- Partial Quiet Zone originally qualified
tial Quiet Zone that qualified for auto- for automatic approval because the
matic approval pursuant to Quiet Zone Risk Index was above the
§§ 222.41(a)(1)(ii), 222.41(a)(1)(iii), Nationwide Significant Risk Thresh-
222.41(b)(1)(ii), and 222.41(b)(1)(iii) of old, but below twice the Nationwide
this part. FRA will notify each public Significant Risk Threshold, and no rel-
authority of the Quiet Zone Risk Index evant collisions had occurred within
for the preceding calendar year. FRA the five-year qualifying period, the
will also notify each public authority if quiet zone may continue unchanged if
a relevant collision occurred at a grade the Quiet Zone Risk Index as last cal-
crossing within the quiet zone during culated by FRA remains below twice
the preceding calendar year. the Nationwide Significant Risk
(2) Pre-Rule Quiet Zones and Pre-Rule Threshold and no relevant collisions
Partial Quiet Zones authorized under occurred at a public grade crossing
§§ 222.41(a)(1)(ii) and 222.41(b)(1)(ii). (i) If within the quiet zone during the pre-
a Pre-Rule Quiet Zone or Pre-Rule Par- ceding calendar year.
tial Quiet Zone originally qualified for (ii) If the Quiet Zone Risk Index as
automatic approval because the Quiet last calculated by FRA is at, or above,
Zone Risk Index was at, or below, the twice the Nationwide Significant Risk
Nationwide Significant Risk Thresh- Threshold, or if a relevant collision oc-
old, the quiet zone may continue un- curred at a public grade crossing with-
changed if the Quiet Zone Risk Index in the quiet zone during the preceding
as last calculated by the FRA remains calendar year, the quiet zone will ter-
at, or below, the Nationwide Signifi- minate six months after the date of re-
cant Risk Threshold. ceipt of notification from FRA that the
(ii) If the Quiet Zone Risk Index as Quiet Zone Risk Index is at, or exceeds
last calculated by FRA is above the twice the Nationwide Significant Risk
Nationwide Significant Risk Thresh- Threshold or that a relevant collision
old, but is lower than twice the Nation- occurred at a crossing within the quiet
wide Significant Risk Threshold and no zone, unless the public authority takes
relevant collisions have occurred at the actions specified in paragraph (b)(4)
crossings within the quiet zone within of this section.
the five years preceding the annual (4) Actions to be taken by the public au-
risk review, then the quiet zone may thority to retain a quiet zone. (i) Within
continue as though it originally re- six months after the date of FRA noti-
ceived automatic approval pursuant to fication, the public authority shall pro-
§ 222.41(a)(1)(iii) or 222.41(b)(1)(iii) of vide to the Associate Administrator a
this part. written commitment to lower the po-
(iii) If the Quiet Zone Risk Index as tential risk to the traveling public at
last calculated by FRA is at, or above, the crossings within the quiet zone by
twice the Nationwide Significant Risk reducing the Quiet Zone Risk Index to
Threshold, or if the Quiet Zone Risk a level at, or below, the Nationwide
Index is above the Nationwide Signifi- Significant Risk Threshold or the Risk
cant Risk Threshold, but is lower than Index With Horns. Included in the com-
twice the Nationwide Significant Risk mitment statement shall be a discus-
Threshold and a relevant collision oc- sion of the specific steps to be taken by
curred at a crossing within the quiet the public authority to increase safety
311
§ 222.51 49 CFR Ch. II (10–1–11 Edition)
at the public crossings within the quiet (ii) Documentation relied upon to es-
zone; and tablish the quiet zone contains sub-
(ii) Within three years of the date of stantial errors that may have an ad-
FRA notification, the public authority verse impact on public safety; or
shall complete implementation of (iii) Significant risk with respect to
SSMs or ASMs sufficient to reduce the loss of life or serious personal injury
Quiet Zone Risk Index to a level at, or exists within the quiet zone.
below, the Nationwide Significant Risk (3) After providing an opportunity for
Threshold, or the Risk Index With comment, the Associate Administrator
Horns, and receive approval from the may require that additional safety
Associate Administrator, under the measures be taken or that the quiet
procedures set forth in § 222.39(b) of this zone be terminated. The Associate Ad-
part, for continuation of the quiet ministrator will provide a copy of his/
zone. If the Quiet Zone Risk Index is her decision to the public authority
reduced to a level that fully com- and all parties listed in paragraph (c)(2)
pensates for the absence of the train of this section. The public authority
horn, the quiet zone will be considered may appeal the Associate Administra-
to have been established pursuant to tor’s decision in accordance with
§ 222.39(a)(3) of this part and subsequent § 222.57(c) of this part. Nothing in this
annual risk reviews will not be con- section is intended to limit the Admin-
ducted for that quiet zone. istrator’s emergency authority under
(iii) Failure to comply with para- 49 U.S.C. 20104 and 49 CFR part 211.
graph (b)(4)(i) of this section shall re- (d) Termination by the public authority.
sult in the termination of the quiet (1) Any public authority that partici-
zone six months after the date of re- pated in the establishment of a quiet
ceipt of notification from FRA. Failure zone under the provisions of this part
may, at any time, withdraw its quiet
to comply with paragraph (b)(4)(ii) of
zone status.
this section shall result in the termi-
(2) A public authority may withdraw
nation of the quiet zone three years
its quiet zone status by providing writ-
after the date of receipt of notification
ten notice of termination, by certified
from FRA.
mail, return receipt requested, to all
(c) Review at FRA’s initiative. (1) The railroads operating the public highway-
Associate Administrator may, at any rail grade crossings within the quiet
time, review the status of any quiet zone, the highway or traffic control au-
zone. thority or law enforcement authority
(2) If the Associate Administrator having control over vehicular traffic at
makes any of the following prelimi- the crossings within the quiet zone, the
nary determinations, the Associate Ad- landowner having control over any pri-
ministrator will provide written notice vate crossings within the quiet zone,
to the public authority, all railroads the State agency responsible for grade
operating over public highway-rail crossing safety, the State agency re-
grade crossings within the quiet zone, sponsible for highway and road safety,
the highway or traffic control author- and the Associate Administrator.
ity or law enforcement authority hav- (3)(i) If the quiet zone that is being
ing control over vehicular traffic at the withdrawn was part of a multi-jurisdic-
crossings within the quiet zone, the tional quiet zone, the remaining quiet
landowner having control over any pri- zones may remain in effect, provided
vate crossings within the quiet zone, the public authorities responsible for
the State agency responsible for grade the remaining quiet zones provide
crossing safety, and the State agency statements to the Associate Adminis-
responsible for highway and road safe- trator certifying that the Quiet Zone
ty and will publish a notice of the de- Risk Index for each remaining quiet
termination in the FEDERAL REGISTER: zone is at, or below, the Nationwide
(i) Safety systems and measures im- Significant Risk Threshold or the Risk
plemented within the quiet zone do not Index With Horns. These statements
fully compensate for the absence of the shall be provided, no later than six
locomotive horn due to a substantial months after the date on which the no-
increase in risk; tice of quiet zone termination was
312
mailed, to all parties listed in para- owner having control over any private
graph (d)(2) of this section. crossings within the quiet zone, the
(ii) If any remaining quiet zone has a State agency responsible for grade
Quiet Zone Risk Index in excess of the crossing safety, the State agency re-
Nationwide Significant Risk Threshold sponsible for highway and road safety,
and the Risk Index With Horns, the and the Associate Administrator.
public authority responsible for the (2) Notwithstanding paragraph (e)(1)
quiet zone shall submit a written com- of this section, if a quiet zone is termi-
mitment, to all parties listed in para- nated under the provisions of this sec-
graph (d)(2) of this section, to reduce tion, FRA shall also provide written
the Quiet Zone Risk Index to a level at notification to all parties listed in
or below the Nationwide Significant paragraph (e)(1) of this section.
Risk Threshold or the Risk Index With (f) Requirement to sound the locomotive
Horns within three years. Included in horn. Upon receipt of notification of
the commitment statement shall be a quiet zone termination pursuant to
discussion of the specific steps to be paragraph (e) of this section, railroads
taken by the public authority to re- shall, within seven days, and in accord-
duce the Quiet Zone Risk Index. This ance with the provisions of this part,
commitment statement shall be pro- sound the locomotive horn when ap-
vided to all parties listed in paragraph proaching and passing through every
(d)(2) of this section no later than six public highway-rail grade crossing
months after the date on which the no- within the former quiet zone.
tice of quiet zone termination was
mailed. § 222.53 What are the requirements for
(iii) Failure to comply with para- supplementary and alternative safe-
graphs (d)(3)(i) and (d)(3)(ii) of this sec- ty measures?
tion shall result in the termination of (a) Approved SSMs are listed in ap-
the remaining quiet zone(s) six months pendix A of this part. Approved SSMs
after the date on which the notice of can qualify for quiet zone risk reduc-
quiet zone termination was mailed by tion credit in the manner specified in
the withdrawing public authority in appendix A of this part.
accordance with paragraph (d)(2) of (b) Additional ASMs that may be in-
this section. cluded in a request for FRA approval of
(iv) Failure to complete implementa- a quiet zone under § 222.39(b) of this
tion of SSMs and/or ASMs to reduce part are listed in appendix B of this
the Quiet Zone Risk Index to a level at, part. Modified SSMs can qualify for
or below, the Nationwide Significant quiet zone risk reduction credit in the
Risk Index or the Risk Index With manner specified in appendix B of this
Horns, in accordance with the written part.
commitment provided under paragraph (c) The following do not, individually
(d)(3)(ii) of this section, shall result in or in combination, constitute SSMs or
the termination of quiet zone status ASMs: Standard traffic control device
three years after the date on which the arrangements such as reflectorized
written commitment was received by crossbucks, STOP signs, flashing
FRA. lights, or flashing lights with gates
(e) Notification of termination. (1) In that do not completely block travel
the event that a quiet zone is termi- over the line of railroad, or traffic sig-
nated under the provisions of this sec- nals.
tion, it shall be the responsibility of
the public authority to immediately § 222.55 How are new supplementary
provide written notification of the ter- or alternative safety measures ap-
mination by certified mail, return re- proved?
ceipt requested, to all railroads oper- (a) The Associate Administrator may
ating over public highway-rail grade add new SSMs and standards to appen-
crossings within the quiet zone, the dix A of this part and new ASMs and
highway or traffic control authority or standards to appendix B of this part
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
313
§ 222.57 49 CFR Ch. II (10–1–11 Edition)
locomotive horn in the prevention of The Associate Administrator may im-

collisions and casualties at public pose any conditions or limitations on
highway-rail grade crossings. use of the SSMs or ASMs which the As-
(b) Interested parties may apply for sociate Administrator deems necessary
approval from the Associate Adminis- in order to provide the level of safety
trator to demonstrate proposed new at least equivalent to that provided by
SSMs or ASMs to determine whether the locomotive horn.
they are effective substitutes for the (f) If the Associate Administrator ap-
locomotive horn in the prevention of proves a new SSM or ASM, the Asso-
collisions and casualties at public ciate Administrator will: Notify the
highway-rail grade crossings. applicant, if any; publish notice of such
(c) The Associate Administrator action in the FEDERAL REGISTER; and
may, after notice and opportunity for add the measure to the list of approved
comment, order railroad carriers oper- SSMs or ASMs.
ating over a public highway-rail grade (g) A public authority or other inter-
crossing or crossings to temporarily ested party may appeal to the Adminis-
cease the sounding of locomotive horns trator from a decision by the Associate
at such crossings to demonstrate pro- Administrator granting or denying an
posed new SSMs or ASMs, provided application for approval of a proposed
that such proposed new SSMs or ASMs SSM or ASM, or the conditions or limi-
have been subject to prior testing and tations imposed on its use, in accord-
evaluation. In issuing such order, the ance with § 222.57 of this part.
Associate Administrator may impose
any conditions or limitations on such § 222.57 Can parties seek review of the
use of the proposed new SSMs or ASMs Associate Administrator’s actions?
which the Associate Administrator (a) A public authority or other inter-
deems necessary in order to provide the ested party may petition the Adminis-
level of safety at least equivalent to trator for review of any decision by the
that provided by the locomotive horn. Associate Administrator granting or
(d) Upon completion of a demonstra- denying an application for approval of
tion of proposed new SSMs or ASMs, a new SSM or ASM under § 222.55 of this
interested parties may apply to the As- part. The petition must be filed within
sociate Administrator for their ap- 60 days of the decision to be reviewed,
proval. Applications for approval shall specify the grounds for the requested
be in writing and shall include the fol- relief, and be served upon the following
lowing: parties: All railroads ordered to tempo-
(1) The name and address of the ap- rarily cease sounding of the locomotive
plicant; horn over public highway-rail grade
(2) A description and design of the crossings for the demonstration of the
proposed new SSM or ASM; proposed new SSM or ASM , the high-
(3) A description and results of the way or traffic control authority or law
demonstration project in which the enforcement authority having control
proposed SSMs or ASMs were tested; over vehicular traffic at the crossings
(4) Estimated costs of the proposed affected by the new SSM/ASM dem-
new SSM or ASM; and onstration, the State agency respon-
(5) Any other information deemed sible for grade crossing safety, the
necessary. State agency responsible for highway
(e) If the Associate Administrator is and road safety, and the Associate Ad-
satisfied that the proposed safety ministrator. Unless the Administrator
measure fully compensates for the ab- specifically provides otherwise, and
sence of the warning provided by the gives notice to the petitioner or pub-
locomotive horn, the Associate Admin- lishes a notice in the FEDERAL REG-
istrator will approve its use as an SSM ISTER, the filing of a petition under
to be used in the same manner as the this paragraph does not stay the effec-
measures listed in appendix A of this tiveness of the action sought to be re-
part, or the Associate Administrator viewed. The Administrator may reaf-
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
314
the petitioner and other interested par- tively final. A copy of this decision
ties in writing or by publishing a no- shall be served upon all parties listed
tice in the FEDERAL REGISTER. in § 222.51(c)(2) of this part.
(b) A public authority may request (d) A railroad may request reconsid-
reconsideration of a decision by the As- eration of a decision by the Associate
sociate Administrator to deny an appli- Administrator to approve an applica-
cation by that authority for approval tion for approval of a proposed quiet
of a quiet zone, or to require additional zone under § 222.39(b) of this part by fil-
safety measures, by filing a petition for ing a petition for reconsideration with
reconsideration with the Associate Ad- the Associate Administrator. The peti-
ministrator. The petition must specify tion must specify the grounds for as-
the grounds for asserting that the As- serting that the Associate Adminis-
sociate Administrator improperly exer- trator improperly exercised his/her
cised his/her judgment in finding that judgment in finding that the proposed
the proposed SSMs and ASMs would SSMs and ASMs would result in a
not result in a Quiet Zone Risk Index Quiet Zone Risk Index that would be at
that would be at or below the Risk or below the Risk Index With Horns or
Index With Horns or the Nationwide the Nationwide Significant Risk
Significant Risk Threshold. The peti- Threshold. The petition shall be filed
tion shall be filed within 60 days of the within 60 days of the date of the deci-
date of the decision to be reconsidered sion to be reconsidered, and be served
and be served upon all parties listed in upon all parties listed in § 222.39(b)(3) of
§ 222.39(b)(3) of this part. Upon receipt this part. Upon receipt of a timely and
of a timely and proper petition, the As- proper petition, the Associate Adminis-
sociate Administrator will provide the trator will provide the petitioner an
petitioner an opportunity to submit opportunity to submit additional mate-
additional materials and to request an rials and to request an informal hear-
informal hearing. Upon review of the ing. Upon review of the additional ma-
additional materials and completion of terials and completion of any hearing
any hearing requested, the Associate requested, the Associate Administrator
Administrator shall issue a decision on shall issue a decision that will be ad-
the petition that will be administra- ministratively final.
tively final.
(c) A public authority may request § 222.59 When may a wayside horn be
reconsideration of a decision by the As- used?
sociate Administrator to terminate
quiet zone status by filing a petition (a)(1) A wayside horn conforming to
for reconsideration with the Associate the requirements of appendix E of this
Administrator. The petition must be part may be used in lieu of a loco-
filed within 60 days of the date of the motive horn at any highway-rail grade
decision, specify the grounds for the re- crossing equipped with an active warn-
quested relief, and be served upon all ing system consisting of, at a min-
parties listed in § 222.51(c)(2) of this imum, flashing lights and gates.
part. Unless the Associate Adminis- (2) A wayside horn conforming to the
trator publishes a notice in the FED- requirements of appendix E of this part
ERAL REGISTER that specifically stays may be installed within a quiet zone.
the effectiveness of his/her decision, For purposes of calculating the length
the filing of a petition under this para- of a quiet zone, the presence of a way-
graph will not stay the termination of side horn at a highway-grade crossing
quiet zone status. Upon receipt of a within a quiet zone shall be considered
timely and proper petition, the Asso- in the same manner as a grade crossing
ciate Administrator will provide the treated with an SSM. A grade crossing
petitioner an opportunity to submit equipped with a wayside horn shall not
additional materials and to request an be considered in calculating the Quiet
informal hearing. Upon review of the Zone Risk Index or Crossing Corridor
additional materials and completion of Risk Index.
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
315
notice that a wayside horn is being in- the grade crossing on the operational
stalled to all railroads operating over date specified in the notice required by
the public highway-rail grade crossings paragraph (c) of this section.
within the quiet zone, the highway or
traffic control authority or law en- APPENDIX A TO PART 222—APPROVED
forcement authority having control SUPPLEMENTARY SAFETY MEASURES
over vehicular traffic at the crossings A. Requirements and Effectiveness Rates for
within the quiet zone, the landowner Supplementary Safety Measures
having control over any private cross- This section provides a list of approved
ings within the quiet zone, the State supplementary safety measures (SSMs) that
agency responsible for grade crossing may be installed at highway-rail grade cross-
safety, the State agency responsible for ings within quiet zones for risk reduction
highway and road safety, and the Asso- credit. Each SSM has been assigned an effec-
ciate Administrator. This notice shall tiveness rate, which may be subject to ad-
provide the date on which the wayside justment as research and demonstration
horn will be operational and identify projects are completed and data is gathered
and refined. Sections B and C govern the
the grade crossing at which the way-
process through which risk reduction credit
side horn shall be installed by both the for pre-existing SSMs can be determined.
U.S. DOT National Highway-Rail Grade 1. Temporary Closure of a Public Highway-
Crossing Inventory Number and street Rail Grade Crossing: Close the crossing to
or highway name. The railroad or pub- highway traffic during designated quiet peri-
lic authority shall provide notification ods. (This SSM can only be implemented
of the operational date at least 21 days within Partial Quiet Zones.)
in advance. Effectiveness: 1.0.
Because an effective closure system pre-
(c) A railroad or public authority in- vents vehicle entrance onto the crossing, the
stalling a wayside horn at a grade probability of a collision with a train at the
crossing located outside a quiet zone crossing is zero during the period the cross-
shall provide written notice that a ing is closed. Effectiveness would therefore
wayside horn is being installed to all equal 1. However, analysis should take into
railroads operating over the public consideration that traffic would need to be
highway-rail grade crossing, the high- redistributed among adjacent crossings or
grade separations for the purpose of esti-
way or traffic control authority or law
mating risk following the silencing of train
enforcement authority having control horns, unless the particular ‘‘closure’’ was
over vehicular traffic at the crossing, accomplished by a grade separation.
the State agency responsible for grade Required:
crossing safety, the State agency re- a. The closure system must completely
sponsible for highway and road safety, block highway traffic on all approach lanes
and the Associate Administrator. This to the crossing.
notice shall provide the date on which b. The closure system must completely
block adjacent pedestrian crossings.
the wayside horn will be operational c. Public highway-rail grade crossings lo-
and identify the grade crossing at cated within New Partial Quiet Zones shall
which the wayside horn shall be in- be closed from 10 p.m. until 7 a.m. every day.
stalled by both the U.S. DOT National Public highway-rail grade crossings located
Highway-Rail Grade Crossing Inven- within Pre-Rule Partial Quiet Zones may
tory Number and street or highway only be closed during one period each 24
name. The railroad or public authority hours.
d. Barricdes and signs used for closure of
shall provide notification of the oper-
the roadway shall conform to the standards
ational date at least 21 days in ad- contained in the MUTCD.
vance. e. Daily activation and deactivation of the
(d) A railroad operating over a grade system is the responsibility of the public au-
crossing equipped with an operational thority responsible for maintenance of the
wayside horn installed within a quiet street or highway crossing the railroad
zone pursuant to this section shall tracks. The public authority may provide for
cease routine locomotive horn use at third party activation and deactivation;
however, the public authority shall remain
the grade crossing. A railroad oper-
fully responsible for compliance with the re-
ating over a grade crossing that is quirements of this part.
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.
316
g. The closure system shall be equipped the highway-rail crossing must be spanned
with a monitoring device that contains an by gates, thus denying to the highway user
indicator which is visible to the train crew the option of circumventing the conven-
prior to entering the crossing. The indicator tional approach lane gates by switching into
shall illuminate whenever the closure device the opposing (oncoming) traffic lane in order
is deployed. to enter the crossing and cross the tracks.
Recommended: b. Crossing warning systems must be acti-
Signs for alternate highway traffic routes vated by use of constant warning time de-
should be erected in accordance with MUTCD vices unless existing conditions at the cross-
and State and local standards and should in- ing would prevent the proper operation of
form pedestrians and motorists that the the constant warning time devices.
streets are closed, the period for which they c. Crossing warning systems must be
are closed, and that alternate routes must be equipped with power-out indicators.
used. NOTE: Requirements b and c apply only to
2. Four-Quadrant Gate System: Install gates New Quiet Zones or New Partial Quiet Zones.
at a crossing sufficient to fully block high- Constant warning time devices and power-
way traffic from entering the crossing when out indicators are not required to be added
the gates are lowered, including at least one to existing warning systems in Pre-Rule
gate for each direction of traffic on each ap- Quiet Zones and Pre-Rule Partial Quiet
proach. Zones. However, if existing automatic warn-
Effectiveness:
ing device systems in Pre-Rule Quiet Zones
Four-quadrant gates only, no presence de-
and Pre-Rule Partial Quiet Zones are re-
tection: .82.
newed, or new automatic warning device sys-
Four-quadrant gates only, with presence
tems are installed, power-out indicators and
detection: .77.
constant warning time devices are required,
Four-quadrant gates with traffic of at least
unless existing conditions at the crossing
60 feet (with or without presence detection):
.92. would prevent the proper operation of the
NOTE: The higher effectiveness rate for constant warning devices.
four-quadrant gates without presence detec- d. The gap between the ends of the en-
tion does not mean that they are inherently trance and exit gates (on the same side of
safer than four-quadrant gates with presence the railroad tracks) when both are in the
detection. Four-quadrant gates with pres- fully lowered, or down, position must be less
ence detection have been assigned a lower ef- than two feet if no median is present. If the
fectiveness rate because motorists may learn highway approach is equipped with a median
to delay the lowering of the exit gates by or a channelization device between the ap-
driving onto the opposing lane of traffic im- proach and exit lanes, the lowered gates
mediately after an opposing car has driven must reach to within one foot of the median
over the grade crossing. Since the presence or channelization device, measured hori-
detection will keep the exit gate raised, zontally across the road from the end of the
other motorists at the crossing who observe lowered gate to the median or channelization
this scenario may also be tempted to take device or to a point over the edge of the me-
advantage of the raised exit gate by driving dian or channelization device. The gate and
around the lowered entrance gates, thus in- the median top or channelization device do
creasing the potential for a crossing colli- not have to be at the same elevation.
sion. e. ‘‘Break-away’’ channelization devices
It should, however, be noted that there are must be frequently monitored to replace bro-
site-specific circumstances (such as nearby ken elements.
highway intersections that could cause traf- Recommendations for new installations only:
fic to back up and stop on the grade cross- f. Gate timing should be established by a
ing), under which the use of presence detec- qualified traffic engineer based on site spe-
tion would be advisable. For this reason, the cific determinations. Such determination
various effectiveness rates assigned to four- should consider the need for and timing of a
quadrant gate systems should not be the sole delay in the descent of the exit gates (fol-
determining factor as to whether presence lowing descent of the conventional entrance
detection would be advisable. A site-specific gates). Factors to be considered may include
study should be performed to determine the available storage space between the gates
best application for each proposed installa- that is outside the fouling limits of the
tion. Please refer to paragraphs (f) and (g) track(s) and the possibility that traffic flows
for more information. may be interrupted as a result of nearby
Required: intersections.
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
317
and/or in the surface between the rails clos- for a quiet zone under § 222.39(b), ‘‘Public au-
est to the field. Among the factors that thority application to FRA.’’ Such arrange-
should be considered are the presence of ment may qualify for a risk reduction credit
intersecting roadways near the crossing, the in calculation of the Quiet Zone Risk Index.
priority that the traffic crossing the railroad Similarly, if a public authority finds that it
is given at such intersections, the types of is feasible to only provide channelization on
traffic control devices at those intersections, one approach to the crossing, it may also
and the presence and timing of traffic signal apply to FRA for approval under § 222.39(b).
preemption. Such an arrangement may also qualify for a
h. Highway approaches on one or both sides risk reduction credit in calculation of the
of the highway-rail crossing may be provided Quiet Zone Risk Index.
with medians or channelization devices be- d. Crossing warning systems must be acti-
tween the opposing lanes. Medians should be vated by use of constant warning time de-
defined by a non-traversable curb or travers- vices unless existing conditions at the cross-
able curb, or by reflectorized channelization ing would prevent the proper operation of
devices, or by both. the constant warning time devices.
i. Remote monitoring (in addition to e. Crossing warning systems must be
power-out indicators, which are required) of equipped with power-out indicators. Note:
the status of these crossing systems is pref- Requirements d and e apply only to New
erable. This is especially important in those Quiet Zones and New Partial Quiet Zones.
areas in which qualified railroad signal de- Constant warning time devices and power-
partment personnel are not readily avail- out indicators are not required to be added
able. to existing warning systems in Pre-Rule
3. Gates With Medians or Channelization De- Quiet Zones or Pre-Rule Partial Quiet Zones.
vices: Install medians or channelization de- However, if existing automatic warning de-
vices on both highway approaches to a public vice systems in Pre-Rule Quiet Zones and
highway-rail grade crossing denying to the Pre-Rule Partial Quiet Zones are renewed, or
highway user the option of circumventing new automatic warning device systems are
the approach lane gates by switching into installed, power-out indicators and constant
the opposing (oncoming) traffic lane and warning time devices are required, unless ex-
driving around the lowered gates to cross the isting conditions at the crossing would pre-
tracks. vent the proper operation of the constant
Effectiveness: warning devices.
Channelization devices—.75. f. The gap between the lowered gate and
Non-traversable curbs with or without the curb or channelization device must be
channelization devices— .80. one foot or less, measured horizontally
Required: across the road from the end of the lowered
a. Opposing traffic lanes on both highway gate to the curb or channelization device or
approaches to the crossing must be separated to a point over the curb edge or channeliza-
by either: (1) medians bounded by non-tration device. The gate and the curb top or
versable curbs or (2) channelization devices. channelization device do not have to be at
b. Medians or channelization devices must the same elevation.
extend at least 100 feet from the gate arm, or g. ‘‘Break-away’’ channelization devices
if there is an intersection within 100 feet of must be frequently monitored to replace bro-
the gate, the median or channelization de- ken elements.
vice must extend at least 60 feet from the 4. One Way Street with Gate(s): Gate(s) must
gate arm. be installed such that all approaching high-
c. Intersections of two or more streets, or way lanes to the public highway-rail grade
a street and an alley, that are within 60 feet crossing are completely blocked.
of the gate arm must be closed or relocated. Effectiveness: .82.
Driveways for private, residential properties Required:
(up to four units) within 60 feet of the gate a. Gate arms on the approach side of the
arm are not considered to be intersections crossing should extend across the road to
under this part and need not be closed. How- within one foot of the far edge of the pave-
ever, consideration should be given to taking ment. If a gate is used on each side of the
steps to ensure that motorists exiting the road, the gap between the ends of the gates
driveways are not able to move against the when both are in the lowered, or down, posi-
flow of traffic to circumvent the purpose of tion must be no more than two feet.
the median and drive around lowered gates. b. If only one gate is used, the edge of the
This may be accomplished by the posting of road opposite the gate mechanism must be
‘‘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.
318
d. Crossing warning systems must be C. Credit for Pre-Existing SSMs in Pre-Rule
equipped with power-out indicators. Quiet Zones and Pre-Rule Partial Quiet Zones
NOTE: Requirements c and d apply only to
A community that has implemented a pre-
New Quiet Zones and New Partial Quiet existing SSM at a public grade crossing can
Zones. Constant warning time devices and receive risk reduction credit by inflating the
power-out indicators are not required to be Risk Index With Horns as follows:
added to existing warning systems in Pre- 1. Calculate the current risk index for the
Rule Quiet Zones or Pre-Rule Partial Quiet grade crossing that is equipped with a quali-
Zones. If automatic warning systems are, fying, pre-existing SSM. (See appendix D.
however, installed or renewed in a Pre-Rule FRA’s web-based Quiet Zone Calculator may
Quiet or Pre-Rule Partial Quiet Zone, power- be used to complete this calculation.)
out indicators and constant warning time de- 2. Reduce the current risk index for the
vices shall be installed, unless existing con- grade crossing to reflect the risk reduction
ditions at the crossing would prevent the that would have been achieved if the loco-
proper operation of the constant warning motive horn was routinely sounded at the
time devices. crossing. The following list sets forth the es-
5. Permanent Closure of a Public Highway- timated risk reduction for certain types of
Rail Grade Crossing: Permanently close the crossings:
crossing to highway traffic. a. Risk indices for passive crossings shall
Effectiveness: 1.0. be reduced by 43%;
Required: b. Risk indices for grade crossings equipped
a. The closure system must completely with automatic flashing lights shall be re-
block highway traffic from entering the duced by 27%; and
grade crossing. c. Risk indices for gated crossings shall be
b. Barricades and signs used for closure of reduced by 40%.
the roadway shall conform to the standards 3. Adjust the risk index by accounting for
contained in the MUTCD. the increased risk that was avoided by im-
c. The closure system must be tamper and plementing the pre-existing SSM at the pub-
vandal resistant to the same extent as other lic grade crossing. This adjustment can be
traffic control devices. made by dividing the risk index by one
d. Since traffic will be redistributed among minus the SSM effectiveness rate. (For ex-
ample, the risk index for a crossing equipped
adjacent crossings, the traffic counts for ad-
with pre-existing channelization devices
jacent crossings shall be increased to reflect
would be divided by .25.)
the diversion of traffic from the closed cross-
4. Adjust the risk indices for the other
ing.
crossings that are included in the Pre-Rule
B. Credit for Pre-Existing SSMs in New Quiet Quiet Zone or Pre-Rule Partial Quiet Zone
Zones and New Partial Quiet Zones by reducing the current risk index to reflect
the risk reduction that would have been
A community that has implemented a pre- achieved if the locomotive horn was rou-
existing SSM at a public grade crossing can tinely sounded at each crossing. Please refer
receive risk reduction credit by inflating the to step two for the list of approved risk re-
Risk Index With Horns as follows: duction percentages by crossing type.
1. Calculate the current risk index for the 5. Add the new risk indices for each cross-
grade crossing that is equipped with a quali- ing located within the proposed quiet zone
fying, pre-existing SSM. (See appendix D. and divide by the number of crossings. The
FRA’s web-based Quiet Zone Calculator may resulting risk index will be the new Risk
be used to complete this calculation.) Index With Horns for the quiet zone.
2. Adjust the risk index by accounting for
the increased risk that was avoided by im- APPENDIX B TO PART 222—ALTERNATIVE
plementing the pre-existing SSM at the pub- SAFETY MEASURES
lic grade crossing. This adjustment can be
Introduction
made by dividing the risk index by one
minus the SSM effectiveness rate. (For ex- A public authority seeking approval of a
ample, the risk index for a crossing equipped quiet zone under public authority applica-
with pre-existing channelization devices tion to FRA (§ 222.39(b)) may include ASMs
would be divided by .25.) listed in this appendix in its proposal. This
3. Add the current risk indices for the appendix addresses three types of ASMs:
other public grade crossings located within Modified SSMs, Non-Engineering ASMs, and
the proposed quiet zone and divide by the Engineering ASMs. Modified SSMs are SSMs
number of crossings. The resulting risk index that do not fully comply with the provisions
listed in appendix A. As provided in section
will be the new Risk Index With Horns for
I.B. of this appendix, public authorities can
the proposed quiet zone.
obtain risk reduction credit for pre-existing
319
modified SSMs under the final rule. Non-en- 2. Obtain FRA approval of the estimated
gineering ASMs consist of programmed en- effectiveness rate for the pre-existing modi-
forcement, public education and awareness, fied SSM. Estimated effectiveness rates may
and photo enforcement programs that may be based upon adjustments from the SSM ef-
be used to reduce risk within a quiet zone. fectiveness rates provided in appendix A or
Engineering ASMs consist of engineering im- actual field data derived from crossing sites.
provements that address underlying geo- 3. Adjust the risk index by accounting for
metric conditions, including sight distance, the increased risk that was avoided by im-
that are the source of increased risk at plementing the pre-existing modified SSM at
crossings. the public grade crossing. This adjustment
can be made by dividing the risk index by
I. MODIFIED SSMS one minus the FRA-approved modified SSM
effectiveness rate.
A. Requirements and Effectiveness Rates for
4. Add the current risk indices for the
Modified SSMs
other public grade crossings located within
1. If there are unique circumstances per- the proposed quiet zone and divide by the
taining to a specific crossing or number of number of crossings. The resulting risk index
crossings which prevent SSMs from being will be the new Risk Index With Horns for
fully compliant with all of the SSM require- the proposed quiet zone.
ments listed in appendix A, those SSM re-
quirements may be adjusted or revised. In C. Credit for Pre-Existing Modified SSMs in
that case, the SSM, as modified by the public Pre-Rule Quiet Zones and Pre-Rule Partial
authority, will be treated as an ASM under Quiet Zones
this appendix B, and not as a SSM under ap- A community that has implemented a pre-
pendix A. After reviewing the estimated safe- existing modified SSM at a public grade
ty effect of the modified SSM and the pro- crossing can receive risk reduction credit by
posed quiet zone, FRA will approve the pro- inflating the Risk Index With Horns as fol-
posed quiet zone if FRA finds that the Quiet lows:
Zone Risk Index will be reduced to a level at 1. Calculate the current risk index for the
or below either the Risk Index With Horns or grade crossing that is equipped with a pre-
the Nationwide Significant Risk Threshold. existing modified SSM. (See appendix D.
2. The public authority must provide esti- FRA’s web-based Quiet Zone Calculator may
mates of effectiveness. These estimates may be used to complete this calculation.)
be based upon adjustments from the effec- 2. Reduce the current risk index for the
tiveness levels provided in appendix A or grade crossing to reflect the risk reduction
from actual field data derived from the that would have been achieved if the loco-
crossing sites. The specific crossing and ap- motive horn was routinely sounded at the
plied mitigation measure will be assessed to crossing. The following list sets forth the es-
determine the effectiveness of the modified timated risk reduction for certain types of
SSM. FRA will continue to develop and crossings:
make available effectiveness estimates and a. Risk indices for passive crossings shall
data from experience under the final rule. be reduced by 43%;
3. If one or more of the requirements asso- b. Risk indices for grade crossings equipped
ciated with an SSM as listed in appendix A with automatic flashing lights shall be re-
is revised or deleted, data or analysis sup- duced by 27%; and
porting the revision or deletion must be pro- c. Risk indices for gated crossings shall be
vided to FRA for review. The following engi- reduced by 40%.
neering types of ASMs may be included in a 3. Obtain FRA approval of the estimated
proposal for approval by FRA for creation of effectiveness rate for the pre-existing modi-
a quiet zone: (1) Temporary Closure of a Pub- fied SSM. Estimated effectiveness rates may
lic Highway-Rail Grade Crossing, (2) Four- be based upon adjustments from the SSM ef-
Quadrant Gate System, (3) Gates With Medi- fectiveness rates provided in appendix A or
ans or Channelization Devices, and (4) One- actual field data derived from crossing sites.
Way Street With Gate(s). 4. Adjust the risk index by accounting for
the increased risk that was avoided by im-
B. Credit for Pre-Existing Modified SSMs in plementing the pre-existing modified SSM at
New Quiet Zones and New Partial Quiet Zones the public grade crossing. This adjustment
A community that has implemented a pre- can be made by dividing the risk index by
existing modified SSM at a public grade one minus the FRA-approved modified SSM
crossing can receive risk reduction credit by effectiveness rate.
inflating the Risk Index With Horns as fol- 5. Adjust the risk indices for the other
lows: crossings that are included in the Pre-Rule
1. Calculate the current risk index for the Quiet Zone or Pre-Rule Partial Quiet Zone
grade crossing that is equipped with a pre- by reducing the current risk index to reflect
existing modified SSM. (See appendix D. the risk reduction that would have been
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
320
to step two for the list of approved risk re- c. The public authority shall retain records
duction percentages by crossing type. pertaining to monitoring and sampling ef-
6. Add the new risk indices for each cross- forts at the grade crossing for a period of not
ing located within the proposed quiet zone less than five years. These records shall be
and divide by the number of crossings. The made available, upon request, to FRA as pro-
resulting risk index will be the new Risk vided by 49 U.S.C. 20107.
Index With Horns for the quiet zone. 3. Photo Enforcement: This ASM entails
automated means of gathering valid photo-
II. NON-ENGINEERING ASMS graphic or video evidence of traffic law viola-
A. The following non-engineering ASMs tions at a public highway-rail grade crossing
may be used in the creation of a Quiet Zone: together with follow-through by law enforce-
(The method for determining the effective- ment and the judiciary.
ness of the non-engineering ASMs, the imple- Requirements:
mentation of the quiet zone, subsequent a. State law authorizing use of photo-
monitoring requirements, and dealing with graphic or video evidence both to bring
an unacceptable effectiveness rate is pro- charges and sustain the burden of proof that
vided in paragraph B.) a violation of traffic laws concerning public
1. Programmed Enforcement: Community and highway-rail grade crossings has occurred,
law enforcement officials commit to a sys- accompanied by commitment of administra-
tematic and measurable crossing monitoring tive, law enforcement and judicial officers to
and traffic law enforcement program at the enforce the law;
public highway-rail grade crossing, alone or b. Sanction includes sufficient minimum
in combination with the Public Education fine (e.g., $100 for a first offense, ‘‘points’’ to-
and Awareness ASM. ward license suspension or revocation) to
Required: deter violations;
a. Subject to audit, a statistically valid c. Means to reliably detect violations (e.g.,
baseline violation rate must be established loop detectors, video imaging technology);
through automated or systematic manual d. Photographic or video equipment de-
monitoring or sampling at the subject cross- ployed to capture images sufficient to docu-
ing(s); and ment the violation (including the face of the
b. A law enforcement effort must be de- driver, if required to charge or convict under
fined, established and continued along with state law).
continual or regular monitoring that pro- NOTE: This does not require that each
vides a statistically valid violation rate that crossing be continually monitored. The ob-
indicates the effectiveness of the law en- jective of this option is deterrence, which
forcement effort. may be accomplished by moving photo/video
c. The public authority shall retain records equipment among several crossing locations,
pertaining to monitoring and sampling ef- as long as the motorist perceives the strong
forts at the grade crossing for a period of not possibility that a violation will lead to sanc-
less than five years. These records shall be tions. Each location must appear identical to
made available, upon request, to FRA as pro- the motorist, whether or not surveillance
vided by 49 U.S.C. 20107. equipment is actually placed there at the
2. Public Education and Awareness: Conduct, particular time. Surveillance equipment
alone or in combination with programmed should be in place and operating at each
law enforcement, a program of public edu- crossing at least 25 percent of each calendar
cation and awareness directed at motor vehi- quarter.
cle drivers, pedestrians and residents near e. Appropriate integration, testing and
the railroad to emphasize the risks associ- maintenance of the system to provide evi-
ated with public highway-rail grade cross- dence supporting enforcement;
ings and applicable requirements of state f. Public awareness efforts designed to re-
and local traffic laws at those crossings. inforce photo enforcement and alert motor-
Requirements: ists to the absence of train horns;
a. Subject to audit, a statistically valid g. Subject to audit, a statistically valid
baseline violation rate must be established baseline violation rate must be established
through automated or systematic manual through automated or systematic manual
monitoring or sampling at the subject cross- monitoring or sampling at the subject cross-
ing(s); and ing(s); and
b. A sustainable public education and h. A law enforcement effort must be de-
awareness program must be defined, estab- fined, established and continued along with
lished and continued along with continual or continual or regular monitoring.
regular monitoring that provides a statis- i. The public authority shall retain records
tically valid violation rate that indicates the pertaining to monitoring and sampling ef-
effectiveness of the public education and forts at the grade crossing for a period of not
awareness effort. This program shall be pro- less than five years. These records shall be
vided and supported primarily through local made available, upon request, to FRA as pro-
resources. vided by 49 U.S.C. 20107.
321
B. The effectiveness of an ASM will be de- the Quiet Zone Risk Index. If and when the
termined as follows: Quiet Zone Risk Index for the proposed quiet
1. Establish the quarterly (three months) zone has been reduced to a level at, or below,
baseline violation rates for each crossing in the Risk Index With Horns or the Nationwide
the proposed quiet zone. Significant Risk Threshold, the public au-
a. A violation in this context refers to a thority may apply to FRA for approval of
motorist not complying with the automatic the proposed quiet zone. Upon receiving writ-
warning devices at the crossing (not stopping ten approval of the quiet zone application
for the flashing lights and driving over the from FRA, the public authority may then
crossing after the gate arms have started to proceed with notifications and implementa-
descend, or driving around the lowered gate tion of the quiet zone.
arms). A violation does not have to result in 7. Violation rates must be monitored for
a traffic citation for the violation to be con- the next two calendar quarters and every
sidered. second quarter thereafter. If, after five years
b. Violation data may be obtained by any from the implementation of the quiet zone,
method that can be shown to provide a sta- the violation rate for any quarter has never
tistically valid sample. This may include the exceeded the violation rate that was used to
use of video cameras, other technologies determine the effectiveness rate that was ap-
(e.g., inductive loops), or manual observa- proved by FRA, violation rates may be mon-
tions that capture driver behavior when the itored for one quarter per year.
automatic warning devices are operating. 8. In the event that the violation rate is
c. If data is not collected continuously dur- ever greater than the violation rate used to
ing the quarter, sufficient detail must be determine the effectiveness rate that was ap-
provided in the application in order to vali- proved by FRA, the public authority may
date that the methodology used results in a continue the quiet zone for another quarter.
statistically valid sample. FRA recommends If, in the second quarter the violation rate is
that at least a minimum of 600 samples (one still greater than the rate used to determine
sample equals one gate activation) be col- the effectiveness rate that was approved by
lected during the baseline and subsequent FRA, a new effectiveness rate must be cal-
quarterly sample periods. culated and the Quiet Zone Risk Index re-
d. The sampling methodology must take calculated using the new effectiveness rate.
measures to avoid biases in their sampling If the new Quiet Zone Risk Index indicates
technique. Potential sampling biases could that the ASM no longer fully compensates
include: Sampling on certain days of the for the lack of a train horn, or that the risk
week but not others; sampling during certain level is equal to, or exceeds the National Sig-
times of the day but not others; sampling nificant Risk Threshold, the procedures for
immediately after implementation of an dealing with unacceptable effectiveness after
ASM while the public is still going through establishment of a quiet zone should be fol-
an adjustment period; or applying one sam- lowed.
ple method for the baseline rate and another III. ENGINEERING ASMS
for the new rate.
e. The baseline violation rate should be ex- A. Engineering improvements, other than
pressed as the number of violations per gate modified SSMs, may be used in the creation
activations in order to normalize for unequal of a Quiet Zone. These engineering improve-
gate activations during subsequent data col- ments, which will be treated as ASMs under
lection periods. this appendix, may include improvements
f. All subsequent quarterly violation rate that address underlying geometric condi-
calculations must use the same methodology tions, including sight distance, that are the
as stated in this paragraph unless FRA au- source of increased risk at the crossing.
thorizes another methodology. B. The effectiveness of an Engineering
2. The ASM should then be initiated for ASM will be determined as follows:
each crossing. Train horns are still being 1. Establish the quarterly (three months)
sounded during this time period. baseline violation rate for the crossing at
3. In the calendar quarter following initi- which the Engineering ASM will be applied.
ation of the ASM, determine a new quarterly a. A violation in this context refers to a
violation rate using the same methodology motorist not complying with the automatic
as in paragraph (1) above. warning devices at the crossing (not stopping
4. Determine the violation rate reduction for the flashing lights and driving over the
for each crossing by the following formula: crossing after the gate arms have started to
descend, or driving around the lowered gate
Violation rate reduction = (new rate ¥ base- arms). A violation does not have to result in
line rate)/baseline rate a traffic citation for the violation to be con-
5. Determine the effectiveness rate of the sidered.
ASM for each crossing by multiplying the b. Violation data may be obtained by any
violation rate reduction by .78. method that can be shown to provide a sta-
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.
322
inductive loops), or manual observations greater than the violation rate used to deter-
that capture driver behavior when the auto- mine the effectiveness rate that was ap-
matic warning devices are operating. proved by FRA, the public authority may
c. If data is not collected continuously dur- continue the quiet zone for a third calendar
ing the quarter, sufficient detail must be quarter. However, if the third calendar quar-
provided in the application in order to vali- ter violation rate is also greater than the
date that the methodology used results in a rate used to determine the effectiveness rate
statistically valid sample. FRA recommends that was approved by FRA, a new effective-
that at least a minimum of 600 samples (one ness rate must be calculated and the Quiet
sample equals one gate activation) be col- Zone Risk Index re-calculated using the new
lected during the baseline and subsequent effectiveness rate. If the new Quiet Zone
quarterly sample periods. Risk Index exceeds the Risk Index With
d. The sampling methodology must take Horns and the Nationwide Significant Risk
measures to avoid biases in their sampling Threshold, the procedures for dealing with
technique. Potential sampling biases could unacceptable effectiveness after establish-
include: Sampling on certain days of the ment of a quiet zone should be followed.
week but not others; sampling during certain
times of the day but not others; sampling APPENDIX C TO PART 222—GUIDE TO
immediately after implementation of an
ESTABLISHING QUIET ZONES
ASM while the public is still going through
an adjustment period; or applying one sam- Introduction
ple method for the baseline rate and another
for the new rate. This Guide to Establishing Quiet Zones
e. The baseline violation rate should be ex- (Guide) is divided into five sections in order
pressed as the number of violations per gate to address the variety of methods and condi-
activations in order to normalize for unequal tions that affect the establishment of quiet
gate activations during subsequent data col- zones under this rule.
lection periods. Section I of the Guide provides an overview
f. All subsequent quarterly violation rate of the different ways in which a quiet zone
calculations must use the same methodology may be established under this rule. This in-
as stated in this paragraph unless FRA au- cludes a brief discussion on the safety
thorizes another methodology. thresholds that must be attained in order for
2. The Engineering ASM should be initi- train horns to be silenced and the relative
ated at the crossing. Train horns are still merits of each. It also includes the two gen-
being sounded during this time period. eral methods that may be used to reduce risk
3. In the calendar quarter following initi- in the proposed quiet zone, and the different
ation of the Engineering ASM, determine a impacts that the methods have on the quiet
new quarterly violation rate using the same zone implementation process. This section
methodology as in paragraph (1) above. also discusses Partial (e.g. night time only
4. Determine the violation rate reduction quiet zones) and Intermediate Quiet Zones.
for the crossing by the following formula: An Intermediate Quiet Zone is one where
Violation rate reduction = (new rate ¥ base- horn restrictions were in place after October
line rate)/baseline rate 9, 1996, but as of December 18, 2003.
5. Using the Engineering ASM effectiveness Section II of the Guide provides informa-
rate, determine the Quiet Zone Risk Index. If tion on establishing New Quiet Zones. A New
and when the Quiet Zone Risk Index for the Quiet Zone is one at which train horns are
proposed quiet zone has been reduced to a currently being sounded at crossings. The
risk level at or below the Risk Index With Public Authority Designation and Public Au-
Horns or the Nationwide Significant Risk thority Application to FRA methods will be
Threshold, the public authority may apply discussed in depth.
to FRA for approval of the quiet zone. Upon Section III of the Guide provides informa-
receiving written approval of the quiet zone tion on establishing Pre-Rule Quiet Zones. A
application from FRA, the public authority Pre-Rule Quiet Zone is one where train horns
may then proceed with notifications and im- were not routinely sounded as of October 9,
plementation of the quiet zone. 1996 and December 18, 2003. The differences
6. Violation rates must be monitored for between New and Pre-Rule Quiet Zones will
the next two calendar quarters. Unless oth- be explained. Public Authority Designation
erwise provided in FRA’s notification of and Public Authority Application to FRA
quiet zone approval, if the violation rate for methods also apply to Pre-Rule Quiet Zones.
these two calendar quarters does not exceed Section IV of the Guide deals with the re-
the violation rate that was used to deter- quired notifications that must be provided
mine the effectiveness rate that was ap- by public authorities when establishing both
proved by FRA, the public authority can New and continuing Pre-Rule or Inter-
cease violation rate monitoring. mediate Quiet Zones.
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.
323
SECTION I—OVERVIEW qualified, then the public authority will have
to take additional measures, and may incur
In order for a quiet zone to be qualified
additional costs that might not have been
under this rule, it must be shown that the
budgeted, to once again lower the Quiet Zone
lack of the train horn does not present a sig-
Risk Index to at least the Nationwide Sig-
nificant risk with respect to loss of life or se-
nificant Risk Threshold in order to retain
rious personal injury, or that the significant
the quiet zone. Therefore, while the initial
risk has been compensated for by other
cost to implement a quiet zone under the
means. The rule provides four basic ways in
second or third scenario may be lower than
which a quiet zone may be established. Cre-
the other options, these scenarios also carry
ation of both New Quiet Zones and Pre-Rule
a degree of uncertainty about the quiet
Quiet Zones are based on the same general
zone’s continued existence.
guidelines; however, there are a number of
(3) The use of the first or fourth scenarios
differences that will be noted in the discus-
reduces the risk level to at least the level
sion on Pre-Rule Quiet Zones.
that would exist if train horns were sounding
A. Qualifying Conditions in the quiet zone. These methods may have
higher initial costs because more safety
(1) One of the following four conditions or measures may be necessary in order to
scenarios must be met in order to show that achieve the needed risk reduction. Despite
the lack of the train horn does not present a the possibility of greater initial costs, there
significant risk, or that the significant risk are several benefits to these methods. The
has been compensated for by other means: installation of SSMs at every crossing will
a. One or more SSMs as identified in ap- provide the greatest safety benefit of any of
pendix A are installed at each public cross- the methods that may be used to initiate a
ing in the quiet zone; or quiet zone. With both of these methods (first
b. The Quiet Zone Risk Index is equal to, and fourth scenarios), the public authority
or less than, the Nationwide Significant Risk will never need to be concerned about the
Threshold without implementation of addi- Nationwide Significant Risk Threshold, an-
tional safety measures at any crossings in nual reviews of the Quiet Zone Risk Index, or
the quiet zone; or failing to be qualified because the Quiet
c. Additional safety measures are imple- Zone Risk Index is higher than the Nation-
mented at selected crossings resulting in the wide Significant Risk Threshold. Public au-
Quiet Zone Risk Index being reduced to a thorities are strongly encouraged to care-
level equal to, or less than, the Nationwide fully consider both the pros and cons of all of
Significant Risk Threshold; or the methods and to choose the method that
d. Additional safety measures are taken at will best meet the needs of its citizens by
selected crossings resulting in the Quiet providing a safer and quieter community.
Zone Risk Index being reduced to at least (4) For the purposes of this Guide, the term
the level of the Risk Index With Horns (that ‘‘Risk Index with Horns’’ is used to represent
is, the risk that would exist if train horns the level of risk that would exist if train
were sounded at every public crossing in the horns were sounded at every public crossing
quiet zone). in the proposed quiet zone. If a public au-
(2) It is important to consider the implica- thority decides that it would like to fully
tions of each approach before deciding which compensate for the lack of a train horn and
one to use. If a quiet zone is qualified based not install SSMs at each public crossing in
on reference to the Nationwide Significant the quiet zone, it must reduce the Quiet
Risk Threshold (i.e. the Quiet Zone Risk Zone Risk Index to a level that is equal to,
Index is equal to, or less than, the Nation- or less than, the Risk Index with Horns. The
wide Significant Risk Threshold—see the Risk Index with Horns is similar to the Na-
second and third scenarios above), then an tionwide Significant Risk Threshold in that
annual review will be done by FRA to deter- both are targets that must be reached in
mine if the Quiet Zone Risk Index remains order to establish a quiet zone under the
equal to, or less than, the Nationwide Sig- rule. Quiet zones that are established by re-
nificant Risk Threshold. Since the Nation- ducing the Quiet Zone Risk Index to at least
wide Significant Risk Threshold and the the level of the Nationwide Significant Risk
Quiet Zone Risk Index may change from year Threshold will be reviewed annually by FRA
to year, there is no guarantee that the quiet to determine if they still qualify under the
zone will remain qualified. The cir- rule to retain the quiet zone. Quiet zones
cumstances that cause the disqualification that are established by reducing the Quiet
may not be subject to the control of the pub- Zone Risk Index to at least the level of the
lic authority. For example, an overall na- Risk Index with Horns will not be subject to
tional improvement in safety at gated cross- annual reviews.
ings may cause the Nationwide Significant (5) The use of FRA’s web-based Quiet Zone
Risk Threshold to fall. This may cause the Calculator is recommended to aid in the de-
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
324
variety of options in determining which of Quiet Zone Establishment and the quiet
SSMs make the most sense. It will also per- zone may be implemented. The use of non-
form the necessary calculations used to de- engineering ASMs will require continued
termine the existing risk level and whether monitoring and analysis throughout the ex-
enough risk has been mitigated in order to istence of the quiet zone to ensure that risk
create a quiet zone under this rule. continues to be reduced.
3. Calculating Risk Reduction—The fol-
B. Risk Reduction Methods lowing should be noted when calculating risk
FRA has established two general methods reductions in association with the establish-
to reduce risk in order to have a quiet zone ment of a quiet zone. This information per-
qualify under this rule. The method chosen tains to both New Quiet Zones and Pre-Rule
impacts the manner in which the quiet zone Quiet Zones and to the Public Authority
is implemented. Designation and Public Authority Applica-
1. Public Authority Designation (SSMs)—The tion to FRA methods.
Public Authority Designation method Crossing closures: If any public crossing
(§ 222.39(a)) involves the use of SSMs (see ap- within the quiet zone is proposed to be
pendix A) at some or all crossings within the closed, include that crossing when calcu-
quiet zone. The use of only SSMs to reduce lating the Risk Index with Horns. The effec-
risk will allow a public authority to des- tiveness of a closure is 1.0. However, be sure
ignate a quiet zone without approval from to increase the traffic counts at other cross-
FRA. If the public authority installs SSMs ings within the quiet zone and recalculate
at every crossing within the quiet zone, it the risk indices for those crossings that will
need not demonstrate that they will reduce handle the traffic diverted from the closed
the risk sufficiently in order to qualify under crossing. It should be noted that crossing
the rule since FRA has already assessed the closures that are already in existence are not
ability of the SSMs to reduce risk. In other considered in the risk calculations.
words, the Quiet Zone Calculator does not
Example: A proposed New Quiet Zone con-
need to be used. However, if only SSMs are
tains four crossings: A, B, C and D streets. A,
installed within the quiet zone, but not at
B and D streets are equipped with flashing
every crossing, the public authority must
lights and gates. C Street is a passive
calculate that sufficient risk reduction will
crossbuck crossing with a traffic count of 400
be accomplished by the SSMs. Once the im-
vehicles per day. It is decided that C Street
provements are made, the public authority
will be closed as part of the project. Compute
must make the required notifications (which
includes a copy of the report generated by the risk indices for all four streets. The cal-
the Quiet Zone Calculator showing that the culation for C Street will utilize flashing
risk in the quiet zone has been sufficiently lights and gates as the warning device. Cal-
reduced), and the quiet zone may be imple- culate the Crossing Corridor Risk Index by
mented. FRA does not need to approve the averaging the risk indices for all four of the
plan as it has already assessed the ability of crossings. This value will also be the Risk
the SSMs to reduce risk. Index with Horns since train horns are cur-
2. Public Authority Application to FRA rently being sounded. To calculate the Quiet
(ASMs)—The Public Authority Application Zone Risk Index, first re-calculate the risk
to FRA method (§ 222.39(b)) involves the use indices for B and D streets by increasing the
ASMs (see appendix B). ASMs include modi- traffic count for each crossing by 200. (As-
fied SSMs that do not fully comply with the sume for this example that the public au-
provisions found in appendix A (e.g., shorter thority decided that the traffic from C
than required traffic channelization devices), Street would be equally divided between B
non-engineering ASMs (e.g., programmed and D streets.) Increase the risk indices for
law enforcement), and engineering ASMs A, B and D streets by 66.8% and divide the
(i.e., engineering improvements other than sum of the three remaining crossings by
modified SSMs). If the use of ASMs (or a four. This is the initial Quiet Zone Risk
combination of ASMs and SSMs) is elected Index and accounts for the risk reduction
to reduce risk, then the public authority caused by closing C Street.
must provide a Notice of Intent and then Grade Separation: Grade separated cross-
apply to FRA for approval of the quiet zone. ings that were in existence before the cre-
The application must contain sufficient data ation of a quiet zone are not included in any
and analysis to confirm that the proposed of the calculations. However, any public
ASMs do indeed provide the necessary risk crossings within the quiet zone that are pro-
reduction. FRA will review the application posed to be treated by grade separation
and will issue a formal approval if it deter- should be treated in the same manner as
mines that risk is reduced to a level that is crossing closures. Highway traffic that may
necessary in order to comply with the rule. be diverted from other crossings within the
Once FRA approval has been received and quiet zone to the new grade separated cross-
the safety measures fully implemented, the ing should be considered when computing the
public authority would then provide a Notice Quiet Zone Risk Index.
325
Example: A proposed New Quiet Zone con- that is equipped with flashing lights and
tains four crossings: A, B, C and D streets. gates and has medians 100 feet in length on
All streets are equipped with flashing lights both sides of the crossing. The medians con-
and gates. C Street is a busy crossing with a form to the requirements in appendix A and
traffic count of 25,000 vehicles per day. It is qualify as a Pre-Existing SSM. The risk
decided that C Street will be grade separated index as calculated for the crossing is 20,000.
as part of the project and the existing at- To calculate the Risk Index With Horns for
grade crossing closed. Compute the risk indi- this crossing, first reduce the risk index by
ces for all four streets. Calculate the Cross- 40 percent to reflect the risk reduction that
ing Corridor Risk Index, which will also be would be achieved if train horns were rou-
the Risk Index with Horns, by averaging the tinely sounded (20,000 × 0.6 = 12,000). Next, di-
risk indices for all four of the crossings. To vide the resulting risk index by difference
calculate the Quiet Zone Risk Index, first re- between one and the effectiveness rate of the
calculate the risk indices for B and D streets
pre-existing SSM (12,000 ÷ (1 ¥ 0.75) = 48,000).
by decreasing the traffic count for each
This value (48,000) would then be averaged
crossing by 1,200. (The public authority de-
with the adjusted risk indices of the other
cided that 2,400 motorists will decide to use
crossings to determine the pre-rule quiet
the grade separation at C Street in order to
zone’s Risk Index With Horns. To calculate
avoid possible delays caused by passing
trains.) Increase the risk indices for A, B and the Quiet Zone Risk Index, the original risk
D streets by 66.8% and divide the sum of the index (20,000) is then averaged into the risk
three remaining crossings by four. This is original indices of the other crossings. The
the initial Quiet Zone Risk Index and ac- resulting average is the Quiet Zone Risk
counts for the risk reduction caused by the Index.
grade separation at C Street. Pre-Existing Modified SSMs: Risk reduction
Pre-Existing SSMs: Risk reduction credit credit may be taken by a public authority
may be taken by a public authority for a for a modified SSM that was previously im-
SSM that was previously implemented and is plemented and is currently in place in the
currently in place in the quiet zone. If an ex- quiet zone. Modified SSMs are Alternative
isting improvement meets the criteria for a Safety Measures which must be approved by
SSM as provided in appendix A, the improve- FRA. If an existing improvement is approved
ment is deemed a Pre-Existing SSM. Risk re- by FRA as a modified SSM as provided in ap-
duction credit is obtained by inflating the pendix B, the improvement is deemed a Pre-
Risk Index With Horns to show what the risk Existing Modified SSM. Risk reduction cred-
would have been at the crossing if the pre-exit is obtained by inflating the Risk Index
isting SSM had not been implemented. With Horns to show what the risk would
Crossing closures and grade separations that have been at the crossing if the pre-existing
occurred prior to the implementation of the SSM had not been implemented. The effec-
quiet zone are not Pre-Existing SSMs and do tiveness rate of the modified SSM will be de-
not receive any risk reduction credit. termined by FRA. The public authority may
Example 1. A proposed New Quiet Zone has provide information to FRA to be used in de-
one crossing that is equipped with flashing termining the effectiveness rate of the modi-
lights and gates and has medians 100 feet in fied SSM. Once an effectiveness rate has
length on both sides of the crossing. The me- been determined, follow the procedure pre-
dians conform to the requirements in appen- viously discussed for Pre-Existing SSMs to
dix A and qualify as a Pre-Existing SSM. The determine the risk values that will be used
risk index as calculated for the crossing is in the quiet zone calculations.
10,000. To calculate the Risk Index With Wayside Horns: Crossings with wayside
Horns for this crossing, you divide the risk horn installations will be treated as a one for
index by difference between one and the ef- one substitute for the train horn and are not
fectiveness rate of the pre-existing SSM to be included when calculating the Crossing
(10,000 ÷ (1–0.75) = 40,000). This value (40,000) Corridor Risk Index, the Risk Index with
would then be averaged in with the risk indi- Horns or the Quiet Zone Risk Index.
ces of the other crossings to determine the
proposed quiet zone’s Risk Index With Horns. Example: A proposed New Quiet Zone con-
To calculate the Quiet Zone Risk Index, the tains four crossings: A, B, C and D streets.
original risk index is increased by 66.8% to All streets are equipped with flashing lights
account for the additional risk attributed to and gates. It is decided that C Street will
the absence of the train horn (10,000 × 1.668 = have a wayside horn installed. Compute the
16,680). This value (16,680) is then averaged risk indices for A, B and D streets. Since C
into the risk indices of the other crossings Street is being treated with a wayside horn,
that have also been increased by 66.8%. The it is not included in the calculation of risk.
resulting average is the Quiet Zone Risk Calculate the Crossing Corridor Risk Index
Index. by averaging the risk indices for A, B and D
Example 2. A Pre-Rule Quiet Zone con- streets. This value is also the Risk Index
sisting of four crossings has one crossing with Horns. Increase the risk indices for A, B
326
and D streets by 66.8% and average the re- tial Quiet Zones will be able to keep train
sults. This is the initial Quiet Zone Risk horns silenced until June 24, 2006, provided
Index for the proposed quiet zone. notification is made per § 222.43. This will en-
able public authority to have additional
C. Partial Quiet Zones time to make the improvement necessary to
A Partial Quiet Zone is a quiet zone in come into compliance with the rule. Inter-
which locomotive horns are not routinely mediate Quiet Zones must conform to all the
sounded at public crossings for a specified requirements for New Quiet Zones by June
period of time each day. For example, a quiet 24, 2006. Other than having the horn silenced
zone during only the nighttime hours would for an additional year, Intermediate Quiet
be a partial quiet zone. Partial quiet zones Zones are treated exactly like New Quiet
may be either New or Pre-Rule and follow Zones.
the same rules as 24 hour quiet zones. New
SECTION II—NEW QUIET ZONES
Partial Quiet Zones must be in effect during
the hours of 10 p.m. to 7 a.m. All New Partial FRA has established several approaches
Quiet Zones must comply with all of the re- that may be taken in order to establish a
quirements for New Quiet Zones. For exam- New Quiet Zone under this rule. Please see
ple, all public grade crossings that are open the preceding discussions on ‘‘Qualifying
during the time that horns are silenced must Conditions’’ and ‘‘Risk Reduction Methods’’
be equipped with flashing lights and gates to assist in the decision-making process on
that are equipped with constant warning which approach to take. This following dis-
time (where practical) and power out indica- cussion provides the steps necessary to es-
tors. Risk is calculated in exactly the same tablish New Quiet Zones and includes both
manner as for New Quiet Zones. The Quiet the Public Authority Designation and Public
Zone Risk Index is calculated for the entire Authority Application to FRA methods. It
24-hour period, even though the train horn must be remembered that in a New Quiet
will only be silenced during the hours of 10 Zone all public crossings must be equipped
p.m. to 7 a.m. with flashing lights and gates. The require-
A Pre-Rule Partial Quiet Zone is a partial ments are the same regardless of whether a
quiet zone at which train horns were not 24-hour or partial quiet zone is being created.
sounding as of October 9, 1996 and on Decem-
ber 18, 2003. All of the regulations that per- A. Requirements for Both Public Authority
tain to Pre-Rule Quiet Zones also pertain to Designation and Public Authority Application
Pre-Rule Partial Quiet Zones. The Quiet The following steps are necessary when es-
Zone Risk Index is calculated for the entire tablishing a New Quiet Zone. This informa-
24-hour period for Pre-Rule Partial Quiet tion pertains to both the Public Authority
Zones, even though train horns are only si- Designation and Public Authority Applica-
lenced during the nighttime hours. Pre-Rule tion to FRA methods.
Partial Quiet Zones may qualify for auto- 1. The public authority must provide a
matic approval in the same manner as Pre- written Notice of Intent (§ 222.43(a)(1) and
Rule Quiet Zones with one exception. If the § 222.43(b)) to the railroads that operate over
Quiet Zone Risk Index is less than twice the the proposed quiet zone, the State agency re-
National Significant Risk Threshold, and sponsible for highway and road safety and
there have been no relevant collisions during the State agency responsible for grade cross-
the time period when train horns are si- ing safety. The purpose of this Notice of In-
lenced, then the Pre-Rule Partial Quiet Zone tent is to provide an opportunity for the rail-
is automatically qualified. In other words, a roads and the State agencies to provide com-
relevant collision that occurred during the ments and recommendations to the public
period of time that train horns were sounded authority as it is planning the quiet zone.
will not disqualify a Pre-Rule Partial Quiet They will have 60 days to provide these com-
Zone that has a Quiet Zone Risk Index that ments to the public authority. The quiet
is less than twice the National Significant zone cannot be created unless the Notice of
Risk Index. Pre-Rule Partial Quiet Zones Intent has been provided. FRA encourages
must provide the notification as required in public authorities to provide the required
§ 222.43 in order to keep train horns silenced. Notice of Intent early in the quiet zone de-
A Pre-Rule Partial Quiet Zone may be con- velopment process. The railroads and State
verted to a 24 hour New Quiet Zone by com- agencies can provide an expertise that very
plying with all of the New Quiet Zone regula- well may not be present within the public
tions. authority. FRA believes that it will be very
useful to include these organizations in the
D. Intermediate Quiet Zones
planning process. For example, including
An Intermediate Quiet Zone is one where railroads and State agencies in the inspec-
horn restrictions were in place after October tions of the crossing will help ensure accu-
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
327
equipped with constant warning time and cy responsible for grade crossing safety and
power out indicators. Pedestrian crossings all affected railroads to participate in the di-
and private crossings with public access, in- agnostic review. (§§ 222.25(b) and (c))
dustrial or commercial use that are within 7. Each highway approach to every public
the quiet zone must have a diagnostic team and private crossing must have an advance
review and be treated according to the warning sign (in accordance with the
team’s recommendations. Railroads and the MUTCD) that advises motorists that train
State agency responsible for grade crossing horns are not sounded at the crossing, unless
safety must be invited to the diagnostic the public or private crossing is equipped
team review. Note: Please see Section IV for with a wayside horn. (§ 222.35(c))
details on the requirements of a Notice of In- 8. Each pedestrian crossing must be re-
tent. viewed by a diagnostic team and equipped or
2. Determine all public, private and pedes- treated in accordance with the recommenda-
trian at-grade crossings that will be included tion of the diagnostic team. The public au-
within the quiet zone. Also, determine any thority must invite the State agency respon-
existing grade-separated crossings that fall sible for grade crossing safety and all af-
within the quiet zone. Each crossing must be fected railroads to participate in the diag-
identified by the U.S. DOT Crossing Inven- nostic review. At a minimum, each approach
tory number and street or highway name. If to every pedestrian crossing must be
a crossing does not have a U.S. DOT Crossing equipped with a sign that conforms to the
Inventory number, then contact FRA’s Of- MUTCD and advises pedestrians that train
fice of Safety (202–493–6299) for assistance. horns are not sounded at the crossing.
3. Ensure that the quiet zone will be at (§ 222.27)
least one-half mile in length. (§ 222.35(a)(1)) If
more than one New Quiet Zone or New Par- B. New Quiet Zones—Public Authority
tial Quiet Zone will be created within a sin- Designation
gle political jurisdiction, ensure that each
New Quiet Zone or New Partial Quiet Zone Once again it should be remembered that
will be separated by at least one public high- all public crossings must be equipped with
way-rail grade crossing. (§ 222.35(a)(1)(iii)) automatic warning devices consisting of
4. A complete and accurate Grade Crossing flashing lights and gates in accordance with
Inventory Form must be on file with FRA § 222.35(b). In addition, one of the following
for all crossings (public, private and pedes- conditions must be met in order for a public
trian) within the quiet zone. An inspection of authority to designate a new quiet zone
each crossing in the proposed quiet zone without FRA approval:
should be performed and the Grade Crossing a. One or more SSMs as identified in ap-
Inventory Forms updated, as necessary, to pendix A are installed at each public crossing
reflect the current conditions at each cross- in the quiet zone (§ 222.39(a)(1)); or
ing. b. The Quiet Zone Risk Index is equal to,
5. Every public crossing within the quiet or less than, the Nationwide Significant Risk
zone must be equipped with active warning Threshold without SSMs installed at any
devices comprising both flashing lights and crossings in the quiet zone (§ 222.39(a)(2)(i));
gates. The warning devices must be equipped or
with power out indicators. Constant warning c. SSMs are installed at selected crossings,
time circuitry is also required unless exist- resulting in the Quiet Zone Risk Index being
ing conditions would prevent the proper op- reduced to a level equal to, or less than, the
eration of the constant warning time cir- Nationwide Significant Risk Threshold
cuitry. FRA recommends that these auto- (§ 222.39(a)(2)(ii)); or
matic warning devices also be equipped with d. SSMs are installed at selected crossings,
at least one bell to provide an audible warn- resulting in the Quiet Zone Risk Index being
ing to pedestrians. If the warning devices are reduced to a level of risk that would exist if
already equipped with a bell (or bells), the the horn were sounded at every crossing in
bells may not be removed or deactivated. the quiet zone (i.e., the Risk Index with
The plans for the quiet zone may be made as- Horns) (§ 222.39(a)(3)).
suming that flashing lights and gates are at Steps necessary to establish a New Quiet
all public crossings; however the quiet zone Zone using the Public Authority Application
may not be implemented until all public to FRA method:
crossings are actually equipped with the 1. If one or more SSMs as identified in ap-
flashing lights and gates. (§§ 222.35(b)(1) and pendix A are installed at each public cross-
222.35(b)(2)) ing in the quiet zone, the requirements for a
6. Private crossings must have cross-bucks public authority designation quiet zone will
and ‘‘STOP’’ signs on both approaches to the have been met. It is not necessary for the
crossing. Private crossings with public ac- same SSM to be used at each crossing. How-
cess, industrial or commercial use must have ever, before any improvements are imple-
a diagnostic team review and be treated ac- mented, the public authority must provide a
cording to the team’s recommendations. The Notice of Intent, which will trigger a 60-day
public authority must invite the State agen- comment period. During the 60-day comment
328
period, railroads operating within the pro- for a crossing. Reduce the inflated risk index
posed quiet zone and State agencies respon- calculated in Step 4 for that crossing by the
sible for grade crossing, highway and road effectiveness rate of the chosen SSM. (See
safety may submit comments on the pro- appendix A for the effectiveness rates for the
posed quiet zone improvements to the public various SSMs). Recalculate the Quiet Zone
authority. Once the necessary improvements Risk Index by averaging the revised inflated
have been installed, Notice of Quiet Zone Es- risk index with the inflated risk indices for
tablishment shall be provided and the quiet the other public crossings. If this new Quiet
zone implemented in accordance with the Zone Risk Index is equal to, or less than, the
rule. If SSMs are not installed at each public Nationwide Significant Risk Threshold, the
crossing, proceed on to Step 2 and use the quiet zone would qualify for public authority
risk reduction method. designation. If the Quiet Zone Risk Index is
2. To begin, calculate the risk index for still higher than the Nationwide Significant
each public crossing within the quiet zone Risk Threshold, treat another public cross-
(See appendix D. FRA’s web-based Quiet ing with an appropriate SSM and repeat the
Zone Calculator may be used to do this cal- process until the Quiet Zone Risk Index is
culation). If flashing lights and gates have to equal to, or less than, the Nationwide Sig-
be installed at any public crossings, cal- nificant Risk Threshold. Once this result is
culate the risk indices for such crossings as obtained, the quiet zone will qualify for es-
if lights and gates were installed. (NOTE: tablishment by public authority designation.
Flashing lights and gates must be installed Early in the quiet zone development process,
prior to initiation of the quiet zone.) If the a Notice of Intent should be provided by the
Inventory record does not reflect the actual public authority, which will trigger a 60-day
conditions at the crossing, be sure to use the comment period. During this 60-day com-
conditions that currently exist when calcu- ment period, railroads operating within the
lating the risk index. Note: Private crossings proposed quiet zone and State agencies re-
and pedestrian crossings are not included sponsible for grade crossing, highway and
when computing the risk for the proposed road safety may provide comments on the
quiet zone. proposed quiet zone improvements described
3. The Crossing Corridor Risk Index is then in the Notice of Intent. Once all the nec-
calculated by averaging the risk index for essary safety improvements have been im-
each public crossing within the proposed plemented, Notice of Quiet Zone Establish-
quiet zone. Since train horns are routinely ment must be provided. With this approach,
being sounded for crossings in the proposed FRA will annually recalculate the Nation-
quiet zone, this value is also the Risk Index wide Significant Risk Threshold and the
with Horns. Quiet Zone Risk Index. If the Quiet Zone
4. In order to calculate the initial Quiet Risk Index for the quiet zone rises above the
Zone Risk Index, first adjust the risk index Nationwide Significant Risk Threshold, FRA
at each public crossing to account for the in- will notify the public authority so that ap-
creased risk due to the absence of the train propriate measures can be taken. (See
horn. The absence of the horn is reflected by § 222.51(a)).
an increased risk index of 66.8% at gated 7. If the public authority wishes to reduce
crossings. The initial Quiet Zone Risk Index the risk of the quiet zone to the level of risk
is then calculated by averaging the increased that would exist if the horn were sounded at
risk index for each public crossing within the every crossing within the quiet zone, the
proposed quiet zone. At this point the Quiet public authority should calculate the initial
Zone Risk Index will equal the Risk Index Quiet Zone Risk Index as in Step 4. The ob-
with Horns multiplied by 1.668. jective is to now reduce the Quiet Zone Risk
5. Compare the Quiet Zone Risk Index to Index to the level of the Risk Index with
the Nationwide Significant Risk Threshold. Horns by adding SSMs at the crossings. The
If the Quiet Zone Risk Index is equal to, or difference between the Quiet Zone Risk
less than, the Nationwide Significant Risk Index and the Risk Index with Horns is the
Threshold, then the public authority may de- amount of risk that will have to be reduced
cide to designate a quiet zone and provide in order to fully compensate for lack of the
the Notice of Intent, followed by the Notice train horn. The use of the Quiet Zone Calcu-
of Quiet Zone Establishment. With this ap- lator will aid in determining which SSMs
proach, FRA will annually recalculate the may be used to reduce the risk sufficiently.
Nationwide Significant Risk Threshold and Follow the procedure stated in Step 6, except
the Quiet Zone Risk Index. If the Quiet Zone that the Quiet Zone Risk Index must be
Risk Index for the quiet zone rises above the equal to, or less than, the Risk Index with
Nationwide Significant Risk Threshold, FRA Horns instead of the Nationwide Significant
will notify the Public Authority so that ap- Risk Threshold. Once this risk level is at-
propriate measures can be taken. (See tained, the quiet zone will qualify for estab-
§ 222.51(a)). lishment by public authority designation.
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
329
comment period. During this 60-day com- lights and gates in accordance with
ment period, railroads operating within the § 222.35(b).
proposed quiet zone and State agencies re- 1. Gather the information previously men-
sponsible for grade crossing, highway and tioned in the section on ‘‘Requirements for
road safety may provide comments on the both Public Authority Designation and Pub-
proposed quiet zone improvements described lic Authority Application.’’
in the Notice of Intent. Once all the nec- 2. Calculate the risk index for each public
essary safety improvements have been im- crossing as directed in Step 2—Public Au-
plemented, Notice of Quiet Zone Establish- thority Designation.
ment must be provided. One important dis- 3. Calculate the Crossing Corridor Risk
tinction with this option is that the public Index, which is also the Risk Index with
authority will never need to be concerned Horns, as directed in Step 3—Public Author-
with the Nationwide Significant Risk ity Designation.
Threshold or the Quiet Zone Risk Index. The 4. Calculate the initial Quiet Zone Risk
rule’s intent is to make the quiet zone as Index as directed in Step 4—Public Author-
safe as if the train horns were sounding. If ity Designation.
this is accomplished, the public authority 5. Begin to reduce the Quiet Zone Risk
may designate the crossings as a quiet zone Index through the use of ASMs and SSMs.
and need not be concerned with possible fluc- Follow the procedure provided in Step 6—
tuations in the Nationwide Significant Risk Public Authority Designation until the
Threshold or annual risk reviews. Quiet Zone Risk Index has been reduced to
equal to, or less than, either the Nationwide
C. New Quiet Zones—Public Authority
Significant Risk Threshold or the Risk Index
Application to FRA
with Horns. (Remember that the public au-
A public authority must apply to FRA for thority may choose which level of risk re-
approval of a quiet zone under three condi- duction is the most appropriate for its com-
tions. First, if any of the SSMs selected for munity.) Effectiveness rates for ASMs should
the quiet zone do not fully conform to the be provided as follows:
design standards set forth in appendix A. a. Modified SSMs—Estimates of effective-
These are referred to as modified SSMs in ness for modified SSMs may be based upon
appendix B. Second, when programmed law adjustments from the effectiveness rates
enforcement, public education and awareness provided in appendix A or from actual field
programs, or photo enforcement is used to data derived from the crossing sites. The ap-
reduce risk in the quiet zone, these are re- plication must provide an estimated effec-
ferred to as non-engineering ASMs in appen- tiveness rate and the rationale for the esti-
dix B. It should be remembered that non-en- mate.
gineering ASMs will require periodic moni- b. Non-engineering ASMs—Effectiveness
toring as long as the quiet zone is in exist- rates are to be calculated in accordance with
ence. Third, when engineering ASMs are used the provisions of appendix B, paragraph II B.
to reduce risk. Please see appendix B for de- c. Engineering ASMs—Effectiveness rates
tailed explanations of ASMs and the periodic are to be calculated in accordance with the
monitoring of non-engineering ASMs. provisions of appendix B, paragraph III B.
The public authority is strongly encour- 6. Once it has been determined through
aged to submit the application to FRA for analysis that the Quiet Zone Risk Index will
review and comment before the appendix B be reduced to a level equal to, or less than,
treatments are initiated. This will enable either the Nationwide Significant Risk
FRA to provide comments on the proposed Threshold or the Risk Index with Horns, the
ASMs to help guide the application process. public authority must provide a Notice of In-
If non-engineering ASMs or engineering tent. The mailing of the Notice of Intent will
ASMs are proposed, the public authority also trigger a 60-day comment period, during
may wish to confirm with FRA that the which railroads operating within the pro-
methodology it plans to use to determine the posed quiet zone and State agencies respon-
effectiveness rates of the proposed ASMs is sible for grade crossing, highway and road
appropriate. A quiet zone that utilizes a safety may provide comments on the pro-
combination of SSMs from appendix A and posed quiet zone improvements. After re-
ASMs from appendix B must make a Public viewing any comments received, the public
Authority Application to FRA. A complete authority may make application to FRA for
and thoroughly documented application will a quiet zone under § 222.39(b). FRA will re-
help to expedite the approval process. view the application to determine the appro-
The following discussion is meant to pro- priateness of the proposed effectiveness
vide guidance on the steps necessary to es- rates, and whether or not the proposed appli-
tablish a new quiet zone using the Public Au- cation demonstrates that the quiet zone
thority Application to FRA method. Once meets the requirements of the rule. When
again it should be remembered that all pub- submitting the application to FRA for ap-
lic crossings must be equipped with auto- proval, the application must contain the fol-
matic warning devices consisting of flashing lowing (§ 222.39(b)(1)):
330
a. Sufficient detail concerning the present ment to ‘‘take into account the interest of
safety measures at all crossings within the communities that have in effect restrictions
proposed quiet zone. This includes current on the sounding of a locomotive horn at
and accurate crossing inventory forms for highway-rail grade crossings. * * *’’ (49
each public, private, and pedestrian grade U.S.C. 20153(i)) It also recognizes the histor-
crossing. ical experience of train horns not being
b. Detailed information on the safety im- sounded at Pre-Rule Quiet Zones.
provements that are proposed to be imple-
mented at public, private and pedestrian Overview
grade crossings within the proposed quiet Pre-Rule Quiet Zones that are not estab-
zone. lished by automatic approval (see discussion
c. Membership and recommendations of that follows) must meet the same require-
the diagnostic team (if any) that reviewed ments as New Quiet Zones as provided in
the proposed quiet zone. § 222.39. In other words, risk must be reduced
d. Statement of efforts taken to address through the use of SSMs or ASMs so that the
comments submitted by affected railroads, Quiet Zone Risk Index for the quiet zone has
the State agency responsible for grade cross- been reduced to either the risk level which
ing safety, and the State agency responsible would exist if locomotive horns sounded at
for highway and road safety, including a list all crossings in the quiet zone (i.e. the Risk
of any objections raised by the railroads or Index with Horns) or to a risk level equal to,
State agencies. or less than, the Nationwide Significant Risk
e. A commitment to implement the pro- Threshold. There are four differences in the
posed safety measures. requirements between Pre-Rule Quiet Zones
f. Demonstrate through data and analysis and New Quiet Zones that must be noted.
that the proposed measures will reduce the (1) First, since train horns have not been
Quiet Zone Risk Index to a level equal to, or routinely sounded in the Pre-Rule Quiet
less than, either the Nationwide Significant Zone, it is not necessary to increase the risk
Risk Threshold or the Risk Index with indices of the public crossings to reflect the
Horns. additional risk caused by the lack of a train
g. A copy of the application must be pro- horn. Since the train horn has already been
vided to: All railroads operating over the silenced, the added risk caused by the lack of
public highway-rail grade crossings within a horn is reflected in the actual collision his-
the quiet zone; the highway or traffic control tory at the crossings. Collision history is an
or law enforcement authority having juris- important part in the calculation of the se-
diction over vehicular traffic at grade cross- verity risk indices. In other words, the Quiet
ings within the quiet zone; the landowner Zone Risk Index is calculated by averaging
having control over any private crossings the existing risk index for each public cross-
within the quiet zone; the State agency re- ing without the need to increase the risk
sponsible for highway and road safety; the index by 66.8%. For Pre-Rule Quiet Zones,
State agency responsible for grade crossing the Crossing Corridor Risk Index and the ini-
safety; and the Associate Administrator. tial Quiet Zone Risk Index have the same
(§ 222.39(b)(3)) value.
7. Upon receiving written approval from (2) Second, since train horns have been si-
FRA of the quiet zone application, the public lenced at the crossings, it will be necessary
authority may then provide the Notice of to mathematically determine what the risk
Quiet Zone Establishment and implement level would have been at the crossings if
the quiet zone. If the quiet zone is qualified train horns had been routinely sounded.
by reducing the Quiet Zone Risk Index to a These revised risk levels then will be used to
level at, or below, the Nationwide Signifi- calculate the Risk Index with Horns. This
cant Risk Threshold, FRA will annually re- calculation is necessary to determine how
calculate the Nationwide Significant Risk much risk must be eliminated in order to
Threshold and the Quiet Zone Risk Index. If compensate for the lack of the train horn.
the Quiet Zone Risk Index for the quiet zone This will allow the public authority to have
rises above the Nationwide Significant Risk the choice to reduce the risk to at least the
Threshold, FRA will notify the public au- level of the Nationwide Significant Risk
thority so that appropriate measures can be Threshold or to fully compensate for the
taken. (See § 222.51(a)) lack of the train horn.
NOTE: The provisions stated above for To calculate the Risk Index with Horns,
crossing closures, grade separations, wayside the first step is to divide the existing sever-
horns, pre-existing SSMs and pre-existing ity risk index for each crossing by the appro-
modified SSMs apply for Public Authority priate value as shown in Table 1. This proc-
Application to FRA as well. ess eliminates the risk that was caused by
the absence of train horns. The table takes
SECTION III—PRE-RULE QUIET ZONES
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- the type of warning device at the crossing.
331
(Note: FRA’s web-based Quiet Zone Calcu- be equipped with constant warning time de-
lator will perform this computation auto- vices or power out indicators; however, when
matically for Pre-Rule Quiet Zones.) The the warning devices are upgraded, constant
Risk Index with Horns is the average of the warning time and power out indicators will
revised risk indices. The difference between be required if reasonably practical
the calculated Risk Index with Horns and (§ 222.35(b)(3)). Advance warning signs that
the Quiet Zone Risk Index is the amount of notify the motorist that train horns are not
risk that would have to be reduced in order sounded do not have to be installed on each
to fully compensate for the lack of train approach to public, private, and pedestrian
horns. grade crossings within the quiet zone until
June 24, 2008. (§§ 222.27(d) and 222.35(c)) Simi-
TABLE 1—RISK INDEX DIVISOR VALUES larly, STOP signs and crossbucks do not
have to be installed on each approach to pri-
Passive Flashing Lights vate crossings within the quiet zone until
lights & gates June 24, 2008. (§ 222.25(c)).
U.S ................................. 1.749 1.309 1.668 A. Requirements for Both Public Authority Des-
ignation and Public Authority Application—
(3) The third difference is that credit is Pre-Rule Quiet Zones
given for the risk reduction that is brought
about through the upgrading of the warning The following is necessary when estab-
devices at public crossings (§ 222.35(b)(3)). For lishing a Pre-Rule Quiet Zone. This informa-
New Quiet Zones, all crossings must be tion pertains to Automatic Approval, the
equipped with automatic warning devices Public Authority Designation and Public Au-
consisting of flashing lights and gates. Cross- thority Application to FRA methods.
ings without gates must have gates in- 1. Determine all public, private and pedes-
stalled. The severity risk index for that trian at-grade crossings that will be included
crossing is then calculated to establish the within the quiet zone. Also determine any
risk index that is used in the Risk Index with existing grade separated crossings that fall
Horns. The Risk Index with Horns is then in- within the quiet zone. Each crossing must be
identified by the U.S. DOT Crossing Inven-
creased by 66.8% to adjust for the lack of the
tory number and street name. If a crossing
train horn. The adjusted figure is the initial
does not have a U.S. DOT crossing number,
Quiet Zone Risk Index. There is no credit re-
then contact FRA for assistance.
ceived for the risk reduction that is attrib-
2. Document the length of the quiet zone.
utable to warning device upgrades in New
It is not necessary that the quiet zone be at
Quiet Zones.
least one-half mile in length. Pre-Rule Quiet
For Pre-Rule Quiet Zones, the Risk Index
Zones may be shorter than one-half mile.
with Horns is calculated from the initial risk However, the addition of a new crossing that
indices which use the warning devices that is not a part of an existing Pre-Rule Quiet
are currently installed. If a public authority Zone to a quiet zone nullifies its pre-rule sta-
elects to upgrade an existing warning device tus, and the resulting New Quiet Zone must
as part of its quiet zone plan, the accident be at least one-half mile. The deletion of a
prediction value for that crossing will be re- crossing from a Pre-Rule Quiet Zone (except
calculated based on the upgraded warning through closure or grade separation) must
device. (Once again, FRA’s web-based Quiet result in a quiet zone that is at least one-
Zone Calculator can do the actual computa- half mile in length. It is the intent of the
tion.) The new accident prediction value is rule to allow adjacent Pre-Rule Quiet Zones
then used in the severity risk index formula to be combined into one large pre-rule quiet
to determine the risk index for the crossing. zone if the respective public authorities de-
This adjusted risk index is then used to com- sire to do so. (§ 222.35(a)(2))
pute the new Quiet Zone Risk Index. This 3. A complete and accurate Grade Crossing
computation allows the risk reduction at- Inventory Form must be on file with FRA
tributed to the warning device upgrades to for all crossings (public, private and pedes-
be used in establishing a quiet zone. trian) within the quiet zone. An inspection of
(4) The fourth difference is that Pre-Rule each crossing in the proposed quiet zone
Quiet Zones have different minimum re- should be performed and the Grade Crossing
quirements under § 222.35. A Pre-Rule Quiet Inventory Forms updated, as necessary, to
Zone may be less than one-half mile in reflect the current conditions at each cross-
length if that was its length as of October 9, ing.
1996 (§ 222.35(a)(2)). A Pre-Rule Quiet Zone 4. Pre-Rule Quiet Zones must retain, and
does not have to have automatic warning de- may upgrade, the existing grade crossing
vices consisting of flashing lights and gates safety warning systems. Unlike New Quiet
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
332
with power out indicators and constant Additionally, the Pre-Rule Quiet Zone
warning time circuitry. If warning devices must be in compliance with the minimum re-
are upgraded to flashing lights, or flashing quirements for quiet zones (§ 222.35) and the
lights and gates, the upgraded equipment notification requirements in § 222.43.
must include, as is required for New Quiet The following discussion is meant to pro-
Zones, power out indicators and constant vide guidance on the steps necessary to de-
warning time devices (if reasonably prac- termine if a Pre-Rule Quiet Zone qualifies
tical). (§ 222.35(b)(3)) for automatic approval.
5. By June 24, 2008, private crossings must 1. All of the items listed in Requirements for
have cross-bucks and ‘‘STOP’’ signs on both Both Public Authority Designation and Public
approaches to the crossing. (§ 222.25(c)) Authority Application—Pre-Rule Quiet Zones
6. By June 24, 2008, each approach to a pub- previously mentioned are to be accom-
lic, private, and pedestrian crossing must be plished. Remember that a Pre-Rule Quiet
equipped with an advance warning sign that Zone may be less than one-half mile in
conforms to the MUTCD and advises pedes- length if that was its length as of October 9,
trians and motorists that train horns are not 1996. Also, a Pre-Rule Quiet Zone does not
sounded at the crossing. (§§ 222.27(d), have to have automatic warning devices con-
222.35(c)) sisting of flashing lights and gates at every
7. It will be necessary for the public au- public crossing.
thority to provide a Notice of Quiet Zone 2. If one or more SSMs as identified in ap-
Continuation in order to prevent the resump- pendix A are installed at each public cross-
tion of locomotive horn sounding when the ing in the quiet zone, the quiet zone qualifies
rule becomes effective. A detailed discussion and the public authority may provide the
of the requirements of § 222.43(c) is provided Notice of Quiet Zone Establishment. If the
in Section IV of this appendix. The Notice of Pre-Rule Quiet Zone does not qualify by this
Quiet Zone Continuation must be provided to step, proceed on to the next step.
the appropriate parties by all Pre-Rule Quiet 3. Calculate the risk index for each public
Zones that have not established quiet zones crossing within the quiet zone (See appendix
D.) Be sure that the risk index is calculated
by automatic approval. This should be done
using the formula appropriate for the type of
no later than June 3, 2005 to ensure that
warning device that is actually installed at
train horns will not start being sounded on
the crossing. Unlike New Quiet Zones, it is
June 24, 2005. A Pre-Rule Quiet Zone may
not necessary to calculate the risk index
provide a Notice of Quiet Zone Continuation
using flashing lights and gates as the warn-
before it has determined whether or not it
ing device at every public crossing. (FRA’s
qualifies for automatic approval. Once it has
web-based Quiet Zone Calculator may be
been determined that the Pre-Rule Quiet
used to simplify the calculation process). If
Zone will be established by automatic ap-
the Inventory record does not reflect the ac-
proval, the Public Authority must provide tual conditions at the crossing, be sure to
the Notice of Quiet Zone Establishment. use the conditions that currently exist when
This must be accomplished no later than De- calculating the risk index.
cember 24, 2005. If the Pre-Rule Quiet Zone 4. The Quiet Zone Risk Index is then cal-
will not be established by automatic ap- culated by averaging the risk index for each
proval, the Notice of Quiet Zone Continu- public crossing within the proposed quiet
ation will enable the train horns to be si- zone. (Note: The initial Quiet Zone Risk
lenced until June 24, 2008. (Please refer to Index and the Crossing Corridor Risk Index
§ 222.41(c) for more information.) are the same for Pre-Rule Quiet Zones.)
B. Pre-Rule Quiet Zones—Automatic Approval 5. Compare the Quiet Zone Risk Index to
the Nationwide Significant Risk Threshold.
In order for a Pre-Rule Quiet Zone to be es- If the Quiet Zone Risk Index is equal to, or
tablished under this rule (§ 222.41(a)), one of less than, the Nationwide Significant Risk
the following conditions must be met: Threshold, then the quiet zone qualifies, and
a. One or more SSMs as identified in ap- the public authority may provide the Notice
pendix A are installed at each public crossing of Quiet Zone Establishment. With this ap-
in the quiet zone; proach, FRA will annually recalculate the
b. The Quiet Zone Risk Index is equal to, Nationwide Significant Risk Threshold and
or less than, the Nationwide Significant Risk the Quiet Zone Risk. If the Quiet Zone Risk
Threshold; Index for the quiet zone is found to be above
c. The Quiet Zone Risk Index is above the the Nationwide Significant Risk Threshold,
Nationwide Significant Risk Threshold but FRA will notify the public authority so that
less than twice the Nationwide Significant appropriate measures can be taken (See
Risk Threshold and there have been no rel- § 222.51(b)). If the Pre-Rule Quiet Zone is not
evant collisions at any public grade crossing established by this step, proceed on to the
within the quiet zone for the preceding five next step.
years; or 6. If the Quiet Zone Risk Index is above the
d. The Quiet Zone Risk Index is equal to, Nationwide Significant Risk Threshold but
or less than, the Risk Index With Horns. less than twice the Nationwide Significant
333
Risk Threshold and there have been no rel- thority. The Notice of Intent must be pro-
evant collisions at any public grade crossing vided, if new SSMs or ASMs will be imple-
within the quiet zone for the preceding five mented within the quiet zone. FRA encour-
years, then the quiet zone qualifies for auto- ages public authorities to provide the re-
matic approval. However, in order to qualify quired Notice of Intent early in the quiet
on this basis, the public authority must pro- zone development process. The railroads and
vide a Notice of Quiet Zone Establishment State agencies can provide an expertise that
by December 24, 2005. (Note: A relevant colli- very well may not be present within the pub-
sion means a collision at a highway-rail lic authority. FRA believes that it will be
grade crossing between a train and a motor very useful to include these organizations in
vehicle, excluding the following: a collision the planning process. For example, including
resulting from an activation failure of an ac- them in the inspections of the crossing will
tive grade crossing warning system; a colli- help ensure accurate Inventory information
sion in which there is no driver in the motor for the crossings. Note: Please see Section IV
vehicle; or a collision where the highway ve- for details on the requirements of a Notice of
hicle struck the side of the train beyond the Intent.
fourth locomotive unit or rail car.) With this 2. All of the items listed in ‘‘Requirements
approach, FRA will annually recalculate the for Both Public Authority Designation and
Nationwide Significant Risk Threshold and Public Authority Application—Pre-Rule
the Quiet Zone Risk. If the Quiet Zone Risk Quiet Zones’’ previously mentioned are to be
Index for the quiet zone is above two times accomplished. Remember that a Pre-Rule
the Nationwide Significant Risk Threshold, Quiet Zone may be less than one-half mile in
or a relevant collision has occurred during length if that was its length as of October 9,
the preceding year, FRA will notify the pub- 1996. Also, a Pre-Rule Quiet Zone does not
lic authority so that appropriate measures have to have automatic warning devices con-
can be taken (See § 222.51(b)). sisting of flashing lights and gates at every
If the Pre-Rule Quiet Zone is not estab- public crossing.
lished by automatic approval, continuation 3. Calculate the risk index for each public
of the quiet zone may require implementa- crossing within the quiet zone as in Step 3—
tion of SSMs or ASMs to reduce the Quiet Pre-Rule Quiet Zones—Automatic Approval.
4. The Crossing Corridor Risk Index is then
Zone Risk Index for the quiet zone to a risk
calculated by averaging the risk index for
level equal to, or below, either the risk level
each public crossing within the proposed
which would exist if locomotive horns sound-
quiet zone. Since train horns are not being
ed at all crossings in the quiet zone (i.e. the
sounded for crossings, this value is actually
Risk Index with Horns) or the Nationwide
the initial Quiet Zone Risk Index.
Significant Risk Threshold. This is the same
5. Calculate Risk Index with Horns by the
methodology used to create New Quiet Zones
following:
with the exception of the four differences a. For each public crossing, divide the risk
previously noted. A review of the previous index that was calculated in Step 2 by the
discussion on the two methods used to estab- appropriate value in Table 1. This produces
lish quiet zones may prove helpful in deter- the risk index that would have existed had
mining which would be the most beneficial the train horn been sounded.
to use for a particular Pre-Rule Quiet Zone. b. Average these reduced risk indices to-
C. Pre-Rule Quiet Zones—Public Authority gether. The resulting average is the Risk
Designation Index with Horns.
6. Begin to reduce the Quiet Zone Risk
The following discussion is meant to pro- Index through the use of SSMs or by upgrad-
vide guidance on the steps necessary to es- ing existing warning devices. Follow the pro-
tablish a Pre-Rule Quiet Zone using the Pub- cedure provided in Step 6—Public Authority
lic Authority Designation method. Designation until the Quiet Zone Risk Index
1. The public authority must provide a No- has been reduced to a level equal to, or less
tice of Intent (§§ 222.43(a)(1) and 222.43(b)) to than, either the Nationwide Significant Risk
the railroads that operate within the pro- Threshold or the Risk Index with Horns. A
posed quiet zone, the State agency respon- public authority may elect to upgrade an ex-
sible for highway and road safety and the isting warning device as part of its Pre-Rule
State agency responsible for grade crossing Quiet Zone plan. When upgrading a warning
safety. This notice must be mailed by Feb- device, the accident prediction value for that
ruary 24, 2008, in order to continue existing crossing must be re-calculated for the new
locomotive horn restrictions beyond June 24, warning device. Determine the new risk
2008 without interruption. The purpose of index for the upgraded crossing by using the
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
334
Zone Risk Index has been reduced to a level mented within the quiet zone. FRA encour-
equal to, or less than, either the Nationwide ages public authorities to provide the re-
Significant Risk Threshold or the Risk Index quired Notice of Intent early in the quiet
with Horns, the quiet zone may be estab- zone development process. The railroads and
lished by the Public Authority Designation State agencies can provide an expertise that
method, and the public authority may pro- very well may not be present within the pub-
vide the Notice of Quiet Zone Establishment lic authority. FRA believes that it will be
once all the necessary improvements have very useful to include these organizations in
been installed. If the quiet zone is estab- 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 Detailed Plan.
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 (See appendix
isting locomotive horn restrictions may con- D. FRA’s web-based Quiet Zone Calculator
tinue until June 24, 2010. (If a comprehensive may be used to simplify the calculation
State-wide implementation plan and funding process). If the Inventory record does not re-
commitment are also provided and safety flect the actual conditions at the crossing,
improvements are initiated within at least be sure to use the conditions that currently
one Pre-Rule Quiet Zone or Pre-Rule Partial exist when calculating the risk index.
Quiet Zone, existing locomotive horn restric- 4. The Crossing Corridor Risk Index is then
tions may continue until June 24, 2013.) (See calculated by averaging the risk index for
each public crossing within the proposed
§ 222.41(c) for more information.)
quiet zone. Since train horns are not being
NOTE: The provisions stated above for sounded for crossings, this value is actually
crossing closures, grade separations, wayside the initial Quiet Zone Risk Index.
horns, pre-existing SSMs and pre-existing 5. Calculate Risk Index with Horns by the
modified SSMs apply for Public Authority following:
Application to FRA as well. a. For each public crossing, divide its risk
index that was calculated in Step 2 by the
D. Pre-Rule Quiet Zones—Public Authority
appropriate value in Table 1. This produces
Application to FRA
the risk index that would have existed had
The following discussion is meant to pro- the train horn been sounded.
vide guidance on the steps necessary to es- b. Average these reduced risk indices to-
tablish a Pre-Rule Quiet Zone using the Pub- gether. The resulting average is the Risk
lic Authority Application to FRA method. Index with Horns.
1. The public authority must provide a No- 6. Begin to reduce the Quiet Zone Risk
tice of Intent (§§ 222.43(a)(1) and 222.43(b)) to Index through the use of ASMs and/or SSMs.
the railroads that operate within the pro- Follow the procedure provided in Step 6—
posed quiet zone, the State agency respon- New Quiet Zones Public Authority Designa-
sible for highway and road safety and the tion—until the Quiet Zone Risk Index has
State agency responsible for grade crossing been reduced to a level equal to, or less than,
safety. This notice must be mailed by Feb- either the Nationwide Significant Risk
ruary 24, 2008, in order to continue existing Threshold or the Risk Index with Horns. A
locomotive horn restrictions beyond June 24, public authority may elect to upgrade an ex-
2008 without interruption. The purpose of isting warning device as part of its Pre-Rule
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
335
able to do the actual computations.) This tion over vehicular traffic at grade crossings
new risk index is then used to compute the within the quiet zone; the landowner having
new Quiet Zone Risk Index. Effectiveness control over any private crossings within the
rates for ASMs should be provided as follows: quiet zone; the State agency responsible for
a. Modified SSMs—Estimates of effective- highway and road safety; the State agency
ness for modified SSMs may be based upon responsible for grade crossing safety; and the
adjustments from the benchmark levels pro- Associate Administrator. (§ 222.39(b)(3))
vided in appendix A or from actual field data 8. Upon receiving written approval from
derived from the crossing sites. The applica- FRA of the quiet zone application, the public
tion must provide an estimated effectiveness authority may then provide the Notice of
rate and the rationale for the estimate. Quiet Zone Establishment and implement
b. Non-engineering ASMs—Effectiveness the quiet zone. If the quiet zone is estab-
rates are to be calculated in accordance with lished by reducing the Quiet Zone Risk Index
the provisions of appendix B, section II B. to a level equal to, or less than, the Nation-
c. Engineering ASMs—Effectiveness rates wide Significant Risk Threshold, FRA will
are to be calculated in accordance with the annually recalculate the Nationwide Signifi-
provisions of appendix B, section III B. cant Risk Threshold and the Quiet Zone
7. Once it has been determined through Risk. If the Quiet Zone Risk Index for the
analysis that the Quiet Zone Risk Index will quiet zone is above the Nationwide Signifi-
be reduced to a level equal to, or less than, cant Risk Threshold, FRA will notify the
either the Nationwide Significant Risk public authority so that appropriate meas-
Threshold or the Risk Index with Horns, the ures can be taken (See § 222.51(b)).
public authority may make application to
NOTE: The provisions stated above for
FRA for a quiet zone under § 222.39(b). FRA
crossing closures, grade separations, wayside
will review the application to determine the
horns, pre-existing SSMs and pre-existing
appropriateness of the proposed effectiveness
rates, and whether or not the proposed appli- modified SSMs apply for Public Authority
cation demonstrates that the quiet zone Application to FRA as well.
meets the requirements of the rule. When SECTION IV—REQUIRED NOTIFICATIONS
submitting the application to FRA for ap-
proval, it should be remembered that the ap- A. Introduction
plication must contain the following
(§ 222.39(b)(1)): The public authority is responsible for pro-
a. Sufficient detail concerning the present viding notification to parties that will be af-
safety measures at all crossings within the fected by the quiet zone. There are several
proposed quiet zone to enable the Associate different types of notifications and a public
Administrator to evaluate their effective- authority may have to make more than one
ness. This includes current and accurate notification during the entire process of
crossing Inventory forms for each public, pri- complying with the regulation. The notifica-
vate and pedestrian grade crossing. tion process is to ensure that interested par-
b. Detailed information on the safety im- ties are made aware in a timely manner of
provements, including upgraded warning de- the establishment or continuation of quiet
vices that are proposed to be implemented at zones. It will also provide an opportunity for
public, private, and pedestrian grade cross- State agencies and affected railroads to pro-
ings within the proposed quiet zone. vide input to the public authority during the
c. Membership and recommendations of development of quiet zones. Specific infor-
the diagnostic team (if any) that reviewed mation is to be provided so that the cross-
the proposed quiet zone. ings in the quiet zone can be identified. Pro-
d. Statement of efforts taken to address viding the appropriate notification is impor-
comments submitted by affected railroads, tant because once the rule becomes effective,
the State agency responsible for grade cross- railroads will be obligated to sound train
ing safety, and the State agency responsible horns when approaching all public crossings
for highway and road safety, including a list unless notified in accordance with the rule
of any objections raised by the railroads or that a New Quiet Zone has been established
State agencies. or that a Pre-Rule or Intermediate Quiet
e. A commitment to implement the pro- Zone is being continued.
posed safety measures.
B. Notice of Intent—§ 222.43(b)
f. Demonstrate through data and analysis
that the proposed measures will reduce the The purpose of the Notice of Intent is to
Quiet Zone Risk Index to a level at, or below, provide notice to the railroads and State
either the Nationwide Significant Risk agencies that the public authority is plan-
Threshold or the Risk Index with Horns. ning on creating a New Quiet Zone or imple-
g. A copy of the application must be pro- menting new SSMs or ASMs within a Pre-
vided to all railroads operating over the pub- Rule Quiet Zone. The Notice of Intent pro-
lic highway-rail grade crossings within the vides an opportunity for the railroad and the
quiet zone; the highway or traffic control or State agencies to give input to the public au-
law enforcement authority having jurisdic- thority during the quiet zone development
336
process. The State agencies and railroads Zone Establishment that each of the re-
will be given sixty days to provide informa- quired parties was provided the Notice of In-
tion and comments to the public agency. tent and the date it was mailed. If the quiet
The Notice of Intent must be provided zone is being established within 60 days of
under the following circumstances: the mailing of the Notice of Intent, the pub-
1. A New Quiet Zone or New Partial Quiet lic authority also must affirm each of the
Zone is under consideration. parties have provided written comments or
2. An Intermediate Quiet Zone or Inter- waived its right to provide comments on the
mediate Partial Quiet Zone that will be con- Notice of Intent.
verted into a New Quiet Zone or New Partial
Quiet Zone. Please note that Notice of Intent C. Notice of Quiet Zone Continuation—
must be mailed by April 3, 2006, in order pre- § 222.43(c)
vent the resumption of locomotive horn
sounding on June 24, 2006. The purpose of the Notice of Quiet Zone
3. The implementation of SSMs or ASMs Continuation is to provide a means for the
within a Pre-Rule Quiet Zone or Pre-Rule public authority to formally advise affected
Partial Quiet Zone is under consideration. parties that an existing quiet zone is being
Please note that Notice of Intent must be continued after the effective date of the rule.
mailed by February 24, 2008, in order to con- All Pre-Rule, Pre-Rule Partial, Intermediate
tinue existing restrictions on locomotive and Intermediate Partial Quiet Zones must
horn sounding beyond June 24, 2008 without provide this Notice of Quiet Zone Continu-
interruption. Each public authority that is ation no later than June 3, 2005 to ensure
creating a New Quiet Zone must provide that train horns are not sounded at public
written notice, by certified mail, return re- crossings when the rule becomes effective on
ceipt requested, to the following: June 24, 2005. This will enable railroads to
1. All railroads operating within the pro- properly comply with the requirements of
posed quiet zone the Final Rule.
2. State agency responsible for highway Each public authority that is continuing
and road safety an existing Pre-Rule, Pre-Rule Partial, In-
3. State agency responsible for grade cross- termediate and Intermediate Partial Quiet
ing safety Zone must provide written notice, by cer-
The Notice of Intent must contain the fol- tified mail, return receipt requested, to the
lowing information: following:
1. A list of each public highway-rail grade 1. All railroads operating over the public
crossing, private highway-rail grade cross- highway-rail grade crossings within the
ing, and pedestrian crossings within the pro- quiet zone;
posed quiet zone. The crossings are to be 2. The highway or traffic control or law en-
identified by both the U.S. DOT Crossing In- forcement authority having jurisdiction over
ventory Number and the street or highway vehicular traffic at grade crossings within
name. the quiet zone;
2. A statement of the time period within 3. The landowner having control over any
which the restrictions would be in effect on private crossings within the quiet zone;
the routine sounding of train horns (i.e., 24 4. The State agency responsible for high-
hours or from 10 p.m. to 7 a.m.). way and road safety;
3. A brief explanation of the public
5. The State agency responsible for grade
authority’s tentative plans for implementing
crossing safety; and
improvements within the proposed quiet
6. The Associate Administrator.
zone.
4. The name and title of the person who The Notice of Quiet Zone Continuation
will act as the point of contact during the must contain the following information:
quiet zone development process and how that 1. A list of each public highway-rail grade
person can be contacted. crossing, private highway-rail grade cross-
5. A list of the names and addresses of each ing, and pedestrian crossing within the quiet
party that will receive a copy of the Notice zone, identified by both U.S. DOT National
of Intent. Highway-Rail Grade Crossing Inventory
The parties that receive the Notice of In- Number and street or highway name.
tent will be able to submit information or 2. A specific reference to the regulatory
comments to the public authority for 60 provision that provides the basis for quiet
days. The public authority will not be able zone continuation, citing as appropriate,
to establish the quiet zone during the 60 day § 222.41 or 222.42.
comment period unless each railroad and 3. A statement of the time period within
State agency that receives the Notice of In- which restrictions on the routine sounding of
tent provides either written comments to the locomotive horn will be imposed (i.e., 24
the public authority or a written statement hours or nighttime hours only.)
waiving its right to provide comments on the 4. An accurate and complete Grade Cross-
Notice of Intent. The public authority must ing Inventory Form for each public highway-
provide an affirmation in the Notice of Quiet rail grade crossing, private highway-rail
337
grade crossing, and pedestrian crossing with- 3. The landowner having control over any
in the quiet zone that reflects conditions private crossings within the quiet zone;
currently existing at the crossing. 4. The State agency responsible for high-
5. The name and title of the person respon- way and road safety;
sible for monitoring compliance with the re- 5. The State agency responsible for grade
quirements of this part and the manner in crossing safety; and
which that person can be contacted. 6. The Associate Administrator.
6. A list of the names and addresses of each The Notice of Quiet Establishment must
party that will receive the Notice of Quiet contain the following information:
Zone Continuation. 1. A list of each public highway-rail grade
7. A statement signed by the chief execu- crossing, private highway-rail grade cross-
tive officer of each public authority partici- ing, and pedestrian crossing within the quiet
pating in the continuation of the quiet zone, zone, identified by both U.S. DOT National
in which the chief executive officer certifies Highway-Rail Grade Crossing Inventory
that the information submitted by the public Number and street or highway name.
authority is accurate and complete to the 2. A specific reference to the regulatory
best of his/her knowledge and belief. provision that provides the basis for quiet
Public authorities should remember that zone establishment, citing as appropriate,
this notice is required to ensure that train § 222.39(a)(1), 222.39(a)(2)(i), 222.39(a)(2)(ii),
horns will remain silent. Even if a public au- 222.39(a)(3), 222.39(b), 222.41(a)(1)(i),
thority has not been able to determine 222.41(a)(1)(ii), 222.41(a)(1)(iii), 222.41(a)(1)(iv),
whether its Pre-Rule or Pre-Rule Partial 222.41(b)(1)(i), 222.41(b)(1)(ii), 222.41(b)(1)(iii),
Quiet Zone qualifies for automatic approval or 222.41(b)(1)(iv).
under the rule, it should issue a Notice of (a) If the Notice of Quiet Establishment
Quiet Zone Continuation to keep the train contains a specific reference to
horns silent after the effective date of the § 222.39(a)(2)(i), 222.39(a)(2)(ii), 222.39(a)(3),
rule. 222.41(a)(1)(ii), 222.41(a)(1)(iii), 222.41(a)(1)(iv),
222.41(b)(1)(ii), 222.41(b)(1)(iii), or
E. Notice of Quiet Zone Establishment— 222.41(b)(1)(iv), it shall include a copy of the
§ 222.43(d) FRA web page that contains the quiet zone
The purpose of the Notice of Quiet Zone data upon which the public authority is rely-
Establishment is to provide a means for the ing.
public authority to formally advise affected (b) If the Notice of Quiet Establishment
parties that a quiet zone is being established. contains a specific reference to § 222.39(b), it
shall include a copy of FRA’s notification of
Notice of Quiet Zone Establishment must be
approval.
provided under the following circumstances:
3. If a diagnostic team review was required
1. A New Quiet Zone or New Partial Quiet
under § 222.25 (private crossings) or § 222.27
Zone is being created.
(pedestrian crossings), the Notice of Quiet
2. A Pre-Rule Quiet Zone or a Pre-Rule
Establishment shall include a statement af-
Partial Quiet Zone that qualifies for auto-
firming that the State agency responsible for
matic approval under the rule is being estab-
grade crossing safety and all affected rail-
lished.
roads were provided an opportunity to par-
3. An Intermediate Quiet Zone or Inter-
ticipate in the diagnostic team review. The
mediate Partial Quiet Zone that is creating
Notice of Quiet Establishment shall also in-
a New Quiet Zone under the rule. Please note
clude a list of recommendations made by the
that Notice of Quiet Zone Establishment diagnostic team.
must be provided by June 3, 2006, in order to 4. A statement of the time period within
prevent the resumption of locomotive horn which restrictions on the routine sounding of
sounding on June 24, 2006. the locomotive horn will be imposed (i.e., 24
4. A Pre-Rule Quiet Zone or a Pre-Rule hours or from 10 p.m. until 7 a.m.)
Partial Quiet Zone that was not established 5. An accurate and complete Grade Cross-
by automatic approval and has since imple- ing Inventory Form for each public highway-
mented improvements to establish a quiet rail grade crossing, private highway-rail
zone in accordance to the rule. grade crossing, and pedestrian crossing with-
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.
338
7. If the public authority was required to All of the crossings are equipped with flash-
provide a Notice of Intent: ing lights and gates, and the length of the
(a) The Notice of Quiet Zone Establish- quiet zone is 0.75 mile. There are no private
ment shall contain a statement affirming crossings within the proposed zone.
that the Notice of Intent was provided in ac- (b) The tables that follow show the street
cordance with the rule. This statement shall name in the first column, and the existing
also state the date on which the Notice of In- risk index for each crossing with the horn
tent was mailed. sounding (‘‘Crossing Risk Index w/ Horns’’) in
(b) If the Notice of Quiet Zone Establish- the second. The third column, ‘‘Crossing
ment will be mailed less than 60 days after Risk Index w/o Horns’’, is the risk index for
the date on which the Notice of Intent was each crossing after it has been inflated by
mailed, the Notice of Quiet Zone Establish- 66.8% to account for the lack of train horns.
ment shall also contain a written statement The fourth column, ‘‘SSM Eff’’, is the effec-
affirming that comments and/or written tiveness of the SSM at the crossing. A zero
waiver statements have been received from indicates that no SSM has been applied. The
each railroad operating over public grade last column, ‘‘Crossing Risk Index w/o Horns
crossings within the proposed quiet zone, the Plus SSM’’, is the inflated risk index for the
State agency responsible for grade crossing crossing after being reduced by the imple-
safety, and the State agency responsible for mentation of the SSM. At the bottom of the
highway and road safety. table are two values. The first is the Risk
8. The name and title of the person respon- Index with Horns (‘‘RIWH’’) which represents
sible for monitoring compliance with the re- the average initial amount of risk in the pro-
quirements of this part and the manner in posed quiet zone with the train horn sound-
which that person can be contacted. ing. The second is the Quiet Zone Risk Index
9. A list of the names and addresses of each (‘‘QZRI’’), which is the average risk in the
party that is receiving a copy of the Notice proposed quiet zone taking into consider-
of Quiet Establishment. ation the increased risk caused by the lack
10. A statement signed by the chief execu- of train horns and the reductions in risk at-
tive officer of each public authority partici- tributable to the installation of SSMs. For
pating in the establishment of the quiet this example it is assumed that the Nation-
zone, in which the chief executive officer wide Significant Risk Threshold is 17,030. In
shall certify that the information submitted order for the proposed quiet zone to qualify
by the public authority is accurate and com- under the rule, the Quiet Zone Risk Index
plete to the best of his/her knowledge and be- must be reduced to a level at, or below, the
lief. Nationwide Significant Risk Threshold
(17,030) or the Risk Index with Horns.
SECTION V—EXAMPLES OF QUIET ZONE (c) Table 2 shows the existing conditions in
IMPLEMENTATIONS the proposed quiet zone. SSMs have not yet
been installed. The Risk Index with Horns
Example 1—New Quiet Zone
for the proposed quiet zone is 11,250. The
(a) A public authority wishes to create a Quiet Zone Risk Index without any SSMs is
New Quiet Zone over four public crossings. 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.
339
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
the loss of train horns and will not have to
Index may some day exceed the Nationwide
Significant Risk Threshold. This would re- undergo annual reviews of the Quiet Zone
sult in the quiet zone no longer being quali- Risk Index.
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 risk would have been had train horns been
sounding. This is mathematically done by di-
(a) A public authority wishes to qualify a viding the existing risk index for the three
Pre-Rule Quiet Zone which did not meet the gated crossing by 1.668. The risk at the pas-
requirements for Automatic Approval be- sive crossing at Z Street is divided by 1.749.
cause the Quiet Zone Risk Index is greater (See the above discussion in ‘‘Pre-Rule Quiet
than twice the Nationwide Significant Risk Zones—Establishment Overview’’ for more
Threshold. There are four public crossings in information.) The fourth column, ‘‘SSM
the Pre-Rule Quiet Zone. Three of the cross- Eff’’, is the effectiveness of the SSM at the
ings are equipped with flashing lights and crossing. A zero indicates that no SSM has
gates, and the fourth (Z Street) is passively been applied. The last column, ‘‘Crossing
signed with a STOP sign. The length of the Risk Index w/o Horns Plus SSM’’, is the risk
quiet zone is 0.6 mile, and there are no pri- index without horns for the crossing after
vate crossings within the proposed zone. being reduced for the implementation of the
(b) The tables that follow are very similar SSM. At the bottom of the table are two val-
to the tables in Example 1. The street name ues. The first is the Risk Index with Horns
is shown in the first column, and the exist- (RIWH), which represents the average initial
ing risk index for each crossing (‘‘Crossing amount of risk in the proposed quiet zone
Risk Index w/o Horns’’) in the second. This is with the train horn sounding. The second is
a change from the first example because the the Quiet Zone Risk Index (‘‘QZRI’’), which
risk is calculated without train horns sound- is the average risk in the proposed quiet zone
ing because of the existing ban on whistles. taking into consideration the increased risk
The third column, ‘‘Crossing Risk Index w/ caused by the lack of train horns and reduc-
Horns’’, is the risk index for each crossing tions in risk attributable to the installation
after it has been adjusted to reflect what the of SSMs. Once again it is assumed that the
340
Nationwide Significant Risk Threshold is for the proposed quiet zone is 18,705.83. The
17,030. The Quiet Zone Risk Index must be re- Quiet Zone Risk Index without any SSMs is
duced to either the Nationwide Significant 31,375. Since the Nationwide Significant Risk
Risk Threshold (17,030) or to the Risk Index Threshold is less than the calculated Risk
with Horns in order to qualify under the Index with Horns, the public authority’s goal
rule. will be to reduce the risk to at least value of
(c) Table 5 shows the existing conditions in the Risk Index with Horns. This will qualify
the proposed quiet zone. SSMs have not yet the Pre-Rule Quiet Zone under the rule.
been installed. The Risk Index with Horns
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 equipped with flashing lights and gates. Un-
have flashing lights and gates installed as like New Quiet Zones, upgrades to warning
part of the state’s highway-rail grade cross- devices in Pre-Rule Quiet Zones do con-
ing safety improvement plan (Section 130). tribute to the risk reduction necessary to
While this upgrade is not directly a part of qualify under the rule. Table 6 shows the
the plan to authorize a quiet zone, the public quiet zone corridor after including the warn-
authority may take credit for the risk reducing device upgrade at Z Street. The Quiet
tion achieved by the improvement from a Zone Risk Index has been reduced to 29,500.
passive STOP sign crossing to a crossing
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 Table 8 shows that the Quiet Zone Risk
traffic channelization devices at W Street.
341
Index is now reduced to 14,327.5. This risk re- with Horns. The quiet zone is qualified under
duction fully compensates for the loss of the the rule.
train horn as it is less than the Risk Index
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 (c) The following factors are the deter-
RISK LEVELS minants of the number of predicted colli-
sions per year:
INTRODUCTION 1. average annual daily traffic
2. total number of trains per day
The Nationwide Significant Risk Thresh-
3. number of highway lanes
old, the Crossing Corridor Risk Index, and
the Quiet Zone Risk Index are all measures 4. number of main tracks
of collision risk at public highway-rail grade 5. maximum timetable train speed
crossings that are weighted by the severity 6. whether the highway is paved or not
of the associated casualties. Each crossing 7. number of through trains per day during
can be assigned a risk index. daylight hours
(a) The Nationwide Significant Risk Thresh- (d) The resulting basic prediction is im-
old represents the average severity weighted proved in two ways. It is enriched by the par-
collision risk for all public highway-rail ticular crossing’s collision history for the
grade crossings equipped with lights and previous five years and it is calibrated by re-
gates nationwide where train horns are rou- setting normalizing constants. The normal-
tinely sounded. FRA developed this index to izing constants are reset so that the sum of
serve as a threshold of permissible risk for the predicted accidents in each warning de-
quiet zones established under this rule. vice group (passive, flashing lights, gates)
for the top twenty percent most hazardous
(b) The Crossing Corridor Risk Index rep-
crossings exactly equals the number of acci-
resents the average severity weighted colli-
dents which occurred in a recent period for
sion risk for all public highway-rail grade
the top twenty percent of that group. This
crossings along a defined rail corridor.
adjustment factor allows the formulas to
(c) The Quiet Zone Risk Index represents stay current with collision trends. The cali-
the average severity weighted collision risk bration also corrects for errors such as data
for all public highway-rail grade crossings entry errors. The final output is the pre-
that are part of a quiet zone. dicted number of collisions (PC).
(e) The severity formulas answer the ques-
THE PREDICTION FORMULAS
tion, ‘‘What is the chance that a fatality (or
(a) The Prediction Formulas were devel- casualty) will happen, given that a collision
oped by DOT as a guide for allocating scarce has occurred?’’ The fatality formula cal-
traffic safety budgets at the State level. culates the probability of a fatal collision
They allow users to rank candidate crossings given that a collision occurs (i.e., the prob-
for safety improvements by collision probability of a collision in which a fatality oc-
ability. There are three formulas, one for curs) P(FC|C). Similarly, the casualty for-
each warning device category: mula calculates the probability of a casualty
1. automatic gates with flashing lights; collision given that a collision occurs
2. flashing lights with no gates; and P(CC|C). As casualties consist of both fatali-
ties and injuries, the probability of a non-
3. passive warning devices.
fatal injury collision is found by subtracting
(b) The prediction formulas can be used to the probability of a fatal collision from the
derive the following for each crossing: probability of a casualty collision. To con-
1. the predicted collisions (PC) vert the probability of a fatal or casualty
2. the probability of a fatal collision given collision to the number of expected fatal or
that a collision occurs (P(FC|C)) casualty collisions, that probability is mul-
3. the probability of a casualty collision tiplied by the number of predicted collisions
given that a collision occurs (P(CC|C)) (PC).
342
(f) For the prediction and severity index will be identified as fatal if one or more
formulas, please see the following DOT pub- deaths occurred, regardless of whether inju-
lications: Summary of the DOT Rail-Highway ries were also sustained. Collisions will be
Crossings Resource Allocation Procedure—Re- identified as injury only when injuries, but
vised, June 1987, and the Rail-Highway Cross- no fatalities, resulted.
ing Resource Allocation Procedure: User’s (e) The collisions (incidents) will be sum-
Guide, Third Edition, August 1987. Both docu- marized by year for the five-year period pre-
ments are in the docket for this rulemaking ceding the year in which the risk index is
and also available through the National being updated. The fatality rate for each
Technical Information Service located in year will be calculated by dividing the num-
Springfield, Virginia 22161. ber of fatalities by the number of fatal inci-
dents. The injury rate will be calculated by
RISK INDEX dividing the number of injuries in injury
(a) The risk index is basically the pre- only incidents by the number of injury only
dicted cost to society of the casualties that incidents. FRA will publish updated fatality
are expected to result from the predicted col- and injury rates on an annual basis in the
lisions at a crossing. It incorporates three FEDERAL REGISTER.
outputs of the DOT prediction formulas. The (f) Per guidance from DOT, $3 million is
two components of a risk index are: the value placed on preventing a fatality.
1. Predicted Cost of Fatalities = PC × P(FC|C) The Abbreviated Injury Scale (AIS) devel-
× (Average Number of Fatalities Observed oped by the Association for the Advance-
In Fatal Collisions) × $3 million ment of Automotive Medicine categorizes in-
2. Predicted Cost of Injuries = PC × juries into six levels of severity. Each AIS
(P(CC|C)—P(FC|C)) × (Average Number of level is assigned a value of injury avoidance
Injuries in Collisions Involving Injuries) × as a fraction of the value of avoiding a fatal-
$1,167,000 ity . FRA rates collisions that occur at train
PC, P(CC|C), and P(FC|C) are direct outputs speeds in excess of 25 mph as an AIS level 5
of the DOT prediction formulas. ($2,287,500) and injuries that result from col-
(b) The average number of fatalities ob- lisions involving trains traveling under 25
served in fatal collisions and the average mph as an AIS level 2 ($46,500). About half of
number of injuries in collisions involving in- grade crossing collisions occur at speeds
juries are calculated by FRA as described in greater than 25 mph. Therefore, FRA esti-
paragraphs (c) through (e). mates that the value of preventing the aver-
(c) FRA will match the highway-rail inci- age injury resulting from a grade crossing
dent files for the past five years against a collision is $1,167,000 (the average of an AIS–
data file containing the list of grade cross- 5 injury and an AIS–2 injury).
ings where the train horn was not routinely (g) Notice that the quantity [PC*P(FC|C)]
sounded over that five-year period to iden- represents the expected number of fatal col-
tify two types of collisions involving trains lisions. Similarly, {PC*[P(CC|C)–P(FC|C)]}
and motor vehicles: (1) Those that occurred represents the expected number of injury
at crossings where the train horn was not collisions. These are then multiplied by their
routinely sounded during the period, and (2) respective average number of fatalities and
those that occurred at crossings equipped injuries (from the table above) to develop the
with automatic gates where the train horn number of expected casualties. The final
was routinely sounded. Certain records will parts of the expressions attach the dollar
be excluded, including records pertaining to values for these casualties.
incidents where the driver was not in the (h) The Risk Index for a Crossing is the in-
motor vehicle or where the motor vehicle teger sum of the Predicted Cost of Fatalities
struck the train beyond the fourth loco- and the Predicted Cost of Injuries.
motive or rail car that entered the crossing.
FRA believes that sounding the train horn NATIONWIDE SIGNIFICANT RISK THRESHOLD
would not be very effective at preventing The Nationwide Significant Risk Thresh-
such incidents. 1 old is simply an average of the risk indexes
(d) Collisions in the group containing the for all of the gated public crossings nation-
gated crossings nationwide where horns were wide where train horns are routinely sound-
routinely sounded will then be identified as ed. This value will be recalculated annually
fatal, injury only or no casualty. Collisions and published in a notice in the FEDERAL
REGISTER. For the most recent value of the
1 The data used to make these exclusions is Nationwide Significant Risk Threshold,
contained in blocks 18—Position of Car Unit please visit FRA’s public Web site at http://
in Train; 19—Circumstance: Rail Equipment www.fra.dot.gov.
Struck/Struck by Highway User; 28—Number
CROSSING CORRIDOR RISK INDEX
of Locomotive Units; and 29—Number of Cars
on the current FRA Form 6180–57 Highway- The Crossing Corridor Risk Index is the av-
Rail Grade Crossing Accident/Incident Re- erage of the risk indexes of all the public
port. crossings in a defined rail corridor.
343
Pt. 222, App. E 49 CFR Ch. II (10–1–11 Edition)
QUIET ZONE RISK INDEX from the State agency responsible for grade
crossing safety, and other concerned parties.
The Quiet Zone Risk Index is the average
This diagnostic team, using crossing safety
of the risk indexes of all the public crossings
management principles, should evaluate con-
in a Quiet Zone. It takes into consideration
ditions at a grade crossing to make deter-
the absence of the horn sound and any safety
minations and recommendations concerning
measures that may have been installed.
safety needs at that crossing. The diagnostic
[71 FR 47634, Aug. 17, 2006, as amended at 72 team can evaluate a crossing from many per-
FR 44792, Aug. 9, 2007] spectives and can make recommendations as
to what safety measures authorized by this
APPENDIX E TO PART 222— part might be utilized to compensate for the
REQUIREMENTS FOR WAYSIDE HORNS silencing of the train horns within the pro-
posed quiet zone.
This appendix sets forth the following min-
imum requirements for wayside horn use at ALL CROSSINGS WITHIN A PROPOSED QUIET
highway-rail grade crossings: ZONE
1. Highway-rail crossing must be equipped The diagnostic team should obtain and re-
with constant warning time device, if rea- view the following information about each
sonably practical, and power-out indicator; crossing within the proposed quiet zone:
2. Horn system must be equipped with an 1. Current highway traffic volumes and
indicator or other system to notify the loco- percent of trucks;
motive engineer as to whether the wayside 2. Posted speed limits on all highway ap-
horn is operating as intended in sufficient proaches;
time to enable the locomotive engineer to 3. Maximum allowable train speeds, both
sound the locomotive horn for at least 15 sec- passenger and freight;
onds prior to arrival at the crossing in the 4. Accident history for each crossing under
event the wayside horn is not operating as consideration;
intended; 5. School bus or transit bus use at the
3. The railroad must adopt an operating crossing; and
rule, bulletin or special instruction requiring 6. Presence of U.S. DOT grade crossing in-
that the train horn be sounded if the wayside ventory numbers clearly posted at each of
horn indicator is not visible approaching the the crossings in question.
crossing or if the wayside horn indicator, or The diagnostic team should obtain all in-
an equivalent system, indicates that the sys- ventory information for each crossing and
tem is not operating as intended; should check, while in the field, to see that
4. Horn system must provide a minimum inventory information is up-to-date and ac-
sound level of 92 dB(A) and a maximum of 110 curate. Outdated inventory information
dB(A) when measured 100 feet from the cen- should be updated as part of the quiet zone
terline of the nearest track; development process.
5. Horn system must sound at a minimum When in the field, the diagnostic team
of 15 seconds prior to the train’s arrival at should take note of the physical characteris-
the crossing and while the lead locomotive is tics of each crossing, including the following
traveling across the crossing. It is permis- items:
sible for the horn system to begin to sound 1. Can any of the crossings within the pro-
simultaneously with activation of the flash- posed quiet zone be closed or consolidated
ing lights or descent of the crossing arm; with another adjacent crossing? Crossing
arm elimination should always be the preferred
6. Horn shall be directed toward approach- alternative and it should be explored for
ing traffic. crossings within the proposed quiet zone.
2. What is the number of lanes on each
APPENDIX F TO PART 222—DIAGNOSTIC highway approach? Note the pavement con-
TEAM CONSIDERATIONS dition on each approach, as well as the con-
dition of the crossing itself.
For purposes of this part, a diagnostic 3. Is the grade crossing surface smooth,
team is a group of knowledgeable representa- well graded and free draining?
tives of parties of interest in a highway-rail 4. Does the alignment of the railroad
grade crossing, organized by the public au- tracks at the crossing create any problems
thority responsible for that crossing who, for road users on the crossing? Are the
using crossing safety management prin- tracks in superelevation (are they banked on
ciples, evaluate conditions at a grade cross- a curve?) and does this create a conflict with
ing to make determinations or recommenda- the vertical alignment of the crossing road-
tions for the public authority concerning the way?
safety needs at that crossing. Crossings pro- 5. Note the distance to the nearest inter-
posed for inclusion in a quiet zone should be section or traffic signal on each approach (if
reviewed in the field by a diagnostic team within 500 feet or so of the crossing or if the
composed of railroad personnel, public safety signal or intersection is determined to have
or law enforcement, engineering personnel a potential impact on highway traffic at the
344
Federal Railroad Administration, DOT Pt. 222, App. G
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-
vices in place at each crossing? Flashing In addition to the items discussed in the
lights and gates are required for each public section titled, ‘‘All crossings within a pro-
crossing in a New Quiet Zone. Are all re- posed quiet zone’’, a diagnostic team should
quired warning devices, signals, pavement note the following issues when examining
markings and advance signing in place, visi- any pedestrian crossings within a proposed
ble and in good condition for both day and quiet zone:
night time visibility? 1. How often is the pedestrian crossing
10. What kind of train detection is in place used?
at each crossing? Are these systems old or 2. What kind of signing or pavement mark-
outmoded; are they in need of replacement, ings are in place at the pedestrian crossing?
upgrading, or refurbishment? 3. What is the volume, speed, and type of
11. Are there sidings or other tracks adja- train traffic over the crossing?
cent to the crossing that are often used to 4. Do approaching trains sound the horn at
store railroad cars, locomotives, or other the pedestrian crossing?
equipment that could obscure the vision of State or local law requires it?
road users as they approach the crossings in Railroad safety rule requires it?
the quiet zone? Clear visibility may help to 5. Are there any crossings where train
reduce automatic warning device violations. horns sound that might also provide some
12. Are motorists currently violating the warning if train horns were not sounded at
warning devices at any of the crossings at an the pedestrian crossing?
excessive rate? 6. What are the approach sight distances?
13. Do collision statistics for the corridor 7. What is the clearing sight distance for
indicate any potential problems at any of all approaches?
the crossings?
14. If school buses or transit buses use APPENDIX G TO PART 222—EXCESS RISK
crossings within the proposed quiet zone cor- ESTIMATES FOR PUBLIC HIGHWAY-
ridor, can they be rerouted to use a single RAIL GRADE CROSSINGS
crossing within or outside of the quiet zone?
PRIVATE CROSSINGS WITHIN A PROPOSED
BAN EFFECTS/TRAIN HORN EFFECTIVENESS
QUIET ZONE [Summary table]
In addition to the items discussed above, a Warning type Excess risk estimate
diagnostic team should note the following
issues when examining any private crossings Nation (Except Florida East Coast Railway and Chicago
Region Crossings)
within a proposed quiet zone:
1. How often is the private crossing used? Passive .................................. 74.9.
2. What kind of signing or pavement mark- Flashers only .......................... 30.9.
ings are in place at the private crossing? Flashers with gates ................ 66.8.
3. What types of vehicles use the private
crossing? Florida East Coast Railway Crossings
School buses
Flashers with gates ................ 90.9.
Large trucks
Hazmat carriers Chicago Region Crossings
Farm equipment
4. What is the volume, speed and type of Passive .................................. To be determined.
train traffic over the crossing? Flashers only .......................... To be determined.
5. Do passenger trains use the crossing? Flashers with gates ................ To be determined.
6. Do approaching trains sound the horn at
the private crossing? NOTE ONE: The warning type column re-
State or local law requires it? flects primary warning device types. FRA is
345
Pt. 222, App. H 49 CFR Ch. II (10–1–11 Edition)
aware that a variety of arrangements are in crease when routine locomotive horn sound-
place at individual crossings. ing is restricted at public highway-rail grade
NOTE TWO: The ‘‘excess risk estimate’’ is a crossings.
figure that represents the amount by which
collision frequency has been estimated to in- [74 FR 46394, Sept. 9, 2009]
APPENDIX H TO PART 222—SCHEDULE OF CIVIL PENALTIES 1

Willful
Section Violation violation
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
1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a
[71 FR 47634, Aug. 17, 2006, as amended at 73 FR 79702, Dec. 30, 2008. Redesignated at 74 FR
46394, Sept. 9, 2009]
PART 223—SAFETY GLAZING Subpart A—General

STANDARDS—LOCOMOTIVES,
§ 223.1 Scope.
PASSENGER CARS AND CA-
BOOSES This part provides minimum require-
ments for glazing materials in order to
protect railroad employees and rail-
Subpart A—General
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. [44 FR 77352, Dec. 31, 1979]
223.5 Definitions.
223.7 Responsibility. § 223.3 Application.
Subpart B—Specific Requirements (a) This part applies to railroads that
operate rolling equipment on standard
223.8 Additional requirements for passenger gauge track that is a part of the gen-
equipment. eral railroad system of transportation.
223.9 Requirements for new or rebuilt equip- (b) This part does not apply to—
ment. (1) Locomotives, cabooses, and pas-
223.11 Requirements for existing loco- senger cars that operate only on track
motives. inside an installation that is not part
223.13 Requirements for existing cabooses. of the general railroad system of trans-
223.15 Requirements for existing passenger portation;
cars. (2) Rapid transit operations in an
223.17 Identification of equipped loco- urban area that are not connected with
motives, passenger cars and cabooses. the general railroad system of trans-
APPENDIX A TO PART 223—CERTIFICATION OF portation.
GLAZING MATERIALS (3) Locomotives, passenger cars and
APPENDIX B TO PART 223—SCHEDULE OF CIVIL cabooses that are historical or anti-
PENALTIES quated equipment and are used only for
AUTHORITY: 49 U.S.C. 20102–20103, 20133, excursion, educational, recreational
20701–20702, 21301–21302, 21304; 28 U.S.C. 2461, purposes or private transportation pur-
note; and 49 CFR 1.49. poses.
346
(4) Locomotives that are used exclu- Locomotive cab means that portion of
sively in designated service as defined the superstructure designed to be occu-
in § 223.5(m). pied by the crew while operating the
locomotive.
FR 28600, July 28, 1988] Passenger car means a unit of rail
rolling equipment intended to provide
§ 223.5 Definitions. transportation for members of the gen-
As used in this part— eral public and includes self-propelled
Administrator means the Adminis- cars designed to carry baggage, mail,
trator of the Federal Railroad Admin- express or passengers. This term in-
istration or the Administrator’s dele- cludes a passenger coach, cab car, and
gate. an MU locomotive. This term does not
Caboose means a car in a freight train include a private car.
intended to provide transportation for Person includes all categories of enti-
crewmembers. ties covered under 1 U.S.C. 1, including,
Certified glazing means a glazing ma- but not limited to, a railroad; any
terial that has been certified by the manager, supervisor, official, or other
manufacturer as having met the test- employee or agent of a railroad; any
ing requirements set forth in Appendix owner, manufacturer, lessor, or lessee
A of this part and that has been in- of railroad equipment, track, or facili-
stalled in such a manner that it will ties; any passenger, any trespasser or
perform its intended function. nontrespasser; any independent con-
Designated service means exclusive op- tractor providing goods or services to a
eration of a locomotive under the fol- railroad; and any employee of such
lowing conditions: owner, manufacturer, lessor, lessee, or
(1) The locomotive is not used as an independent contractor.
independent unit or the controlling Railroad means:
unit is a consist of locomotives except (1) Any form of non-highway ground
when moving for the purpose of serv- transportation that runs on rails or
icing or repair within a single yard electromagnetic guideways, including
area; (i) Commuter or other short-haul rail
(2) The locomotive is not occupied by passenger service in a metropolitan or
operating or deadhead crews outside a suburban area and commuter railroad
single yard area; and service that was operated by the Con-
(3) The locomotive is stenciled ‘‘Des- solidated Rail Corporation on January
ignated Service—DO NOT OCCUPY’’. 1, 1979, and
Emergency window means the seg- (ii) High speed ground transportation
ment of a side-facing glazing panel systems that connect metropolitan
that has been designed to permit rapid areas, without regard to whether those
and easy removal from inside a pas- systems use new technologies not asso-
senger car in an emergency situation. ciated with traditional railroads, but
End facing glazing location means any does not include rapid transit oper-
location where a line perpendicular to ations in an urban area that are not
the plane of the glazing material connected to the general railroad sys-
makes a horizontal angle of 50 degrees tem of transportation and
or less with the centerline of the loco- (2) A person that provides railroad
motive, caboose or passenger car. Any transportation, whether directly or by
location which, due to curvature of the contracting out operation of the rail-
glazing material, can meet the criteria road to another person.
for either a front facing location or a Rebuilt locomotive, caboose or passenger
side facing location shall be considered car means a locomotive, caboose or
a front facing location. passenger car that has undergone over-
FRA means the Federal Railroad Ad- haul which has been identified by the
ministration. railroad as a capital expense under
Locomotive means a self-propelled Surface Transportation Board account-
unit of equipment designed primarily ing standards.
for moving other equipment. It does Side facing glazing location means any
not include self-propelled passenger location where a line perpendicular to
cars. the plane of the glazing material
347
§ 223.7 49 CFR Ch. II (10–1–11 Edition)
makes an angle of more than 50 degrees Subpart B—Specific Requirements

with the centerline of the locomotive,
caboose or passenger car. § 223.8 Additional requirements for
Windshield means the combination of passenger equipment.
individual units of glazing material of In addition to the requirements con-
the locomotive, passenger car, or ca- tained in this part, requirements for
boose that are positioned in an end fac- emergency window exits and window
ing glazing location. safety glazing on passenger equipment,
Yard is a system of auxiliary tracks as defined in § 238.5 of this chapter, are
used exclusively for the classification also found in part 238 of this chapter.
of passenger or freight cars according [64 FR 25659, May 12, 1999]
to commodity or destination; assem-
bling of cars for train movement; stor- § 223.9 Requirements for new or re-
age of cars; or repair of equipment. built equipment.
Yard caboose means a caboose that is (a) Locomotives, including yard loco-
used exclusively in a single yard area. motives, built or rebuilt after June 30,
Yard locomotive means a locomotive 1980, must be equipped with certified
that is operated only to perform glazing in all locomotive cab windows.
switching functions within a single (b) Cabooses, including yard ca-
yard area. booses, built or rebuilt after June 30,
1980, must be equipped with certified
[63 FR 24675, May 4, 1998; 63 FR 36376, July 6,
1998, as amended at 73 FR 6399, Feb. 1, 2008]
glazing in all windows.
(c) Passenger cars, including self-pro-
§ 223.7 Responsibility. pelled passenger cars, built or rebuilt
after June 30, 1980, must be equipped
Any person (an entity of any type with certified glazing in all windows
covered under 1 U.S.C. 1, including but and at least four emergency windows.
not limited to the following: a railroad;
a manager, supervisor, official, or [44 FR 77352, Dec. 31, 1979, as amended at 45
FR 49271, July 24, 1980; 63 FR 24675, May 4,
other employee or agent of a railroad;
1998; 73 FR 6399, Feb. 1, 2008]
lessee of railroad equipment, track, or § 223.11 Requirements for existing lo-
facilities; any independent contractor comotives.
providing goods or services to a rail-
(a) Locomotives, other than yard lo-
road; and any employee of such owner,
comotives, built or rebuilt prior to
manufacturer, lessor, lessee, or inde- July 1, 1980, which are equipped in the
pendent contractor) who violates any forward and rearward end facing glaz-
requirement of this part or causes the ing locations of the locomotive cab
violation of any such requirement is windshield with a glazing material that
subject to a civil penalty of at least meets the criteria for either portion of
$650 and not more than $25,000 per vio- the impact testing required for a Type
lation, except that: Penalties may be I test under the provisions of appendix
assessed against individuals only for A of this part, will not require the in-
willful violations, and, where a grossly stallation of certified glazing in the
negligent violation or a pattern of re- windshield location except to replace
peated violations has created an immi- windshield glazing material that is bro-
nent hazard of death or injury to per- ken or damaged.
sons, or has caused death or injury, a (b) Locomotives, other than yard lo-
penalty not to exceed $100,000 per viola- comotives, built or rebuilt prior to
tion may be assessed. Each day a viola- July 1, 1980, which are equipped in all
tion continues shall constitute a sepa- locomotive cab side facing glazing lo-
rate offense. See appendix B to this cations with a glazing material that
part for a statement of agency civil meets the criteria for either portion of
penalty policy. the impact testing required for a Type
[53 FR 28601, July 28, 1988, as amended at 53 II test under the provisions of appendix
FR 52930, Dec. 29, 1988; 63 FR 11621, Mar. 10, A of this part, will not require the in-
1998; 69 FR 30595, May 28, 2004; 72 FR 51197, stallation of certified glazing in the
Sept. 6, 2007; 73 FR 79702, Dec. 30, 2008] sidefacing glazing location except to
348
replace sidefacing glazing material ing glazing locations with a glazing

that is broken or damaged. material that meets the criteria for ei-
(c) Except for yard locomotives and ther portion of the impact testing re-
locomotives equipped as described in quired for a Type II test under the pro-
paragraphs (a) and (b), of this section, visions of appendix A of this part, will
locomotives built or rebuilt prior to not require the installation of certified
July 1, 1980, shall be equipped with cer- glazing in the sidefacing glazing loca-
tified glazing in all locomotive cab tions except to replace sidefacing glaz-
windows after June 30, 1984. ing material that is broken or dam-
(d) Each locomotive subject to the aged.
provisions of paragraph (c) of this sec- (c) Except for yard cabooses and ca-
tion which, as a result of an act of van- booses equipped as described in para-
dalism has a locomotive cab window graphs (a) and (b), cabooses built or re-
that is broken or damaged so that the built prior to July 1, 1980, shall be
window fails to permit good visibility— equipped with certified glazing in all
(1) Shall be placed in Designated windows after June 30, 1984.
Service within 48 hours of the time of (d) Each caboose subject to the provi-
breakage or damage or sion of paragraph (c) of this section,
(2) Shall be removed from service which, as a result of an act of van-
until equipped with certified glazing in dalism, has a window that is broken or
the following manner: damaged so that the window fails to
(i) If the broken or damaged window permit good visibility shall be equipped
is a part of the windshield of the loco- with certified glazing in the following
motive cab, all of the forward and rear- manner:
ward end facing glazing locations of
(1) If the broken window is a part of
the locomotive cab must be replaced
the windshield, all of the forward and
with certified glazing.
rearward end facing glazing locations
(ii) If the broken or damaged window
must be replaced with certified glazing
is a part of the sidefacing window of
within 30 days of the date of breakage
the locomotive cab, all of the
or damage.
sidefacing glazing locations of the loco-
motive cab must be replaced with cer- (2) If the broken window is a part of
tified glazing. the sidefacing window, all of the
sidefacing glazing locations must be re-
(Sec. 209 of the Federal Railroad Safety Act, placed with certified glazing within 30
94 Stat. 957 (45 U.S.C. 438); sec. 1.49(m) of the days of the date of breakage.
regulations of the Office of the Secretary of
Transportation, 49 CFR 1.49(m)) (Sec. 209 of the Federal Railroad Safety Act,
94 Stat. 957 (45 U.S.C. 438); § 1.49(m) of the
[45 FR 49271, July 24, 1980, as amended at 48
regulations of the Office of the Secretary of
FR 24083, May 31, 1983; 48 FR 56956, Dec. 27,
Transportation, 49 CFR 1.49(m))
1983]
§ 223.13 Requirements for existing ca- FR 24083, May 31, 1983; 48 FR 56956, Dec. 27,
booses. 1983]
(a) Cabooses, other than yard ca-
booses, built or rebuilt prior to July 1, § 223.15 Requirements for existing pas-
1980, which are equipped in the forward senger cars.
and rearward end facing glazing loca- (a) Passenger cars built or rebuilt
tions of the windshield with a glazing prior to July 1, 1980, which are
material that meets the criteria for ei- equipped in the forward and rearward
ther portion of the impact testing re- end facing glazing locations of the
quired for a Type I test under the pro- windshield 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- I 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- windshield location except to replace
booses, built or rebuilt prior to July 1, windshield glazing material that is bro-
1980, which are equipped in all side fac- ken or damaged.
349
§ 223.17 49 CFR Ch. II (10–1–11 Edition)
(b) Passenger cars built or rebuilt APPENDIX A TO PART 223—

prior to July 1, 1980, which are CERTIFICATION OF GLAZING MATERIALS
equipped in the sidefacing glazing loca-
As provided in this part, certified glazing
tions with a glazing material that
materials installed in locomotives, passenger
meets the criteria for either portion of cars, or cabooses must be certified by the
the impact testing required for a Type glazing manufacturer in accordance with the
II test under the provisions of appendix following procedures:
A of this part, will not require the in- a. General Requirements
stallation of certified glazing except to (1) Each manufacturer that provides glaz-
replace sidefacing glazing material ing materials, intended by the manufacturer
that is broken or damaged. for use in achieving compliance with the re-
quirements of this part, shall certify that
(c) Except for passenger cars de- each type of glazing material being supplied
scribed in paragraphs (a) and (b), pas- for this purpose has been succcessfully tested
senger cars built or rebuilt prior to in accordance with this appendix and that
July 1, 1980, shall be equipped with cer- test verification data is available to a rail-
tified glazing in all windows and a min- road or to FRA upon request.
imum of four emergency windows after (2) The test verification data shall contain
June 30, 1984. all pertinent original data logs and docu-
mentation that the selection of material
(d) Each passenger car subject to the samples, test set-ups, test measuring de-
provisions of paragraph (c) of this sec- vices, and test procedures were performed by
tion which as a result of an act of van- qualified personnel using recognized and ac-
dalism, has a window that is broken or ceptable practices and in accordance with
damaged so that the window fails to this appendix.
permit good visibility shall be equipped b. Testing Requirements
with certified glazing in the following (1) The material to be tested (Target Mate-
rial) shall be a full scale sample of the larg-
manner: est dimension intended to be produced and
(1) When the broken window is a part installed.
of the windshield, all of the forward (2) The Target Material shall be represent-
and rearward end facing glazing loca- ative of production material and shall be se-
tions shall be replaced with certified lected on a documented random choice basis.
glazing within 30 days of breakage. (3) The Target Material shall be securely
and rigidly attached in a fixture so that the
(2) When the broken window is a part fixture’s own characteristics will not induce
of the sidefacing window, the glazing in test errors.
that individual sidefacing glazing loca- (4) The Target Material so selected and at-
tion shall be replaced with certified tached shall constitute a Test Specimen.
glazing within 30 days of the date of (5) The Test Specimen will then be
breakage. equipped with a Witness Plate that shall be
mounted parallel to and at a distance of six
(Sec. 209 of the Federal Railroad Safety Act, inches in back of the Target Material. The
94 Stat. 957 (45 U.S.C. 438); sec. 1.49(m) of the Witness Plate shall have at least an area
regulations of the Office of the Secretary of which will cover the full map of the Target
Transportation, 49 CFR 1.49(m)) Material.
(6) The Witness Plate shall be an unbacked
sheet of maximum 0.006 inch, alloy 1100 tem-
FR 24083, May 31, 1983; 48 FR 56956, Dec. 27,
per O, aluminum stretched within the perim-
1983]
eter of a suitable frame to provide a taut
surface.
§ 223.17 Identification of equipped lo- (7) The Test Specimen will be positioned so
comotives, passenger cars and ca- that the defined projectile impacts it at an
booses. angle of 90 degrees to the Test Specimen sur-
Each locomotive, passenger car and face.
caboose that is fully equipped with (8) The point of impact of the defined pro-
jectile will be within a radius of 3″ of the
glazing materials that meet the re-
centroid of the Target Material.
quirements of this part shall be sten- (9) Velocity screens or other suitable ve-
cilled on an interior wall as follows: locity measuring devices will be positioned
‘‘Fully Equipped FRA Part 223 glazing’’ so as to measure the impact velocity of the
or similar words conveying that mean- defined projectile within a 10% accuracy tol-
ing in letters at least 3⁄8 inch high. erance, with test modifications made to
guarantee that the stipulated minimum ve-
[45 FR 49271, July 24, 1980] locity requirements are met.
350
(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:
(11) The Test Specimen for glazing mate- (i) ‘‘FRA Type II’’ material;
rial that is intended for use only in side fac- (ii) the manufacturer of the material;
ing glazing locations shall be subjected to a (iii) the type or brand identification of the
Type II test regimen consisting of the fol- material.
lowing tests:
(i) Ballistic Impact in which a standard 22 APPENDIX B TO PART 223—SCHEDULE OF
caliber long rifle lead bullet of 40 grains in CIVIL PENALTIES 1
weight impacts at a minimum of 960 feet per
second velocity. Willful viola-
Section Violation
(ii) Large Object Impact in which a cinder tion
block of 24 lbs minimum weight with dimen-
223.9 New or rebuilt equip-
sions of 8 inches by 8 inches by 16 inches
ment:
nominally impacts at the corner of the block (a) Locomotives ........... $2,500 $5,000
at a minimum of 12 feet per second velocity. (b) Cabooses .............. 2,500 5,000
The cinder block must be of the composition (c) Passenger cars ...... 2,500 5,000
referenced in ASTM C33L or ASTM C90. 223.11(c) Existing locomotives 2,500 5,000
(12) Three different test specimens must be (d) Repair of window ................. 1,000 2,000
subjected to the ballistic impact portion of 223.13(c) Existing cabooses ..... 2,500 5,000
(d) Repair of window ................. 1,000 2,000
these tests. 223.15(c) Existing passenger
(13) Two different test specimens must be cars ........................................ 2,500 5,000
subjected to the large object impact portion (d) Repair of window ................. 1,000 2,000
of these tests. 223.17 Identification of units ... 1,000 1,500
(14) A material so tested must perform so 1 A penalty may be assessed against an individual only for
that: a willful violation. The Administrator reserves the right to as-
(i) there shall be no penetration of the sess a penalty of up to $100,000 for any violation where cir-
back surfaces (side closest to Witness Plate) cumstances warrant. See 49 U.S.C. 21301, 21304, and 49
CFR part 209, appendix A. If more than one item is listed as
of the Target Material by the projectile. Par- a type of violation of a given section, each item is also des-
tial penetration of the impact (front) surface ignated by a ‘‘penalty code,’’ which is used to facilitate as-
of the Target Material does not constitute a sessment of civil penalties, and which may or may not cor-
respond to any subsection designation(s). For convenience,
failure; and penalty citations will cite the CFR section and the penalty
(ii) there shall be no penetration of par- code, if any. FRA reserves the right, should litigation become
ticles from the back side of the Target Mate- necessary, to substitute in its complaint the CFR citation in
place of the combined CFR and penalty code citation, should
rial through the back side of the prescribed they differ.
Witness Plate.
(15) Test specimens must consecutively [63 FR 24676, May 4, 1998, as amended at 69
pass the required number of tests at the re- FR 30594, May 28, 2004; 73 FR 6400, Feb. 1,
quired minimum velocities. Individual tests 2008; 73 FR 79702, Dec. 30, 2008]
resulting in failures at greater than the re-
quired minimum velocities may be repeated
but a failure of an individual test at less PART 224—REFLECTORIZATION OF
than the minimum velocity shall result in RAIL FREIGHT ROLLING STOCK
termination of the total test and failure of
the material. Subpart A—General
(16) After successful completion of the pre-
scribed set of required consecutive tests, a Sec.
manufacturer may certify in writing that a 224.1 Purpose and scope.
particular glazing material meets the re- 224.3 Applicability.
quirements of these standards. 224.5 Definitions.
c. Material Identification 224.7 Waivers.
351
§ 224.1 49 CFR Ch. II (10–1–11 Edition)
224.9 Responsibility for compliance. and prescribes standards for the appli-
224.11 Penalties. cation, inspection, and maintenance of
224.13 Preemptive effect. retroreflective material to rail freight
224.15 Special approval procedures.
rolling stock for the purpose of enhanc-
Subpart B—Application, Inspection, and ing its detectability at highway-rail
Maintenance of Retroreflective Material grade crossings. This part does not re-
strict a freight rolling stock owner or
224.101 General requirements. railroad from applying retroreflective
224.103 Characteristics of retroreflective material to freight rolling stock for
sheeting.
other purposes if not inconsistent with
224.105 Sheeting dimensions and quantity.
224.106 Location of retroreflective sheeting. the recognizable pattern required by
224.107 Implementation schedule. this part.
224.109 Inspection, repair, and replacement.
224.111 Renewal. § 224.3 Applicability.
APPENDIX A TO PART 224—SCHEDULE OF CIVIL This part applies to all railroad
PENALTIES freight cars and locomotives that oper-
APPENDIX B TO PART 224—FORM ate over a public or private highway-
REFLECTORIZATION IMPLEMENTATION COM-
PLIANCE REPORT
rail grade crossing and are used for rev-
APPENDIX C TO PART 224—GUIDELINES FOR enue or work train service, except:
SUBMITTING REFLECTORIZATION IMPLE- (a) Freight rolling stock that oper-
MENTATION COMPLIANCE REPORTS ates only on track inside an installa-
AUTHORITY: 49 U.S.C. 20103, 20107, 20148 and tion that is not part of the general rail-
21301; 28 U.S.C. 2461, note; and 49 CFR 1.49. road system of transportation;
(b) Rapid transit operations in an
SOURCE: 70 FR 62176, Oct. 28, 2005, unless
otherwise noted. urban area that are not connected to
the general railroad system of trans-
portation;
Subpart A—General (c) Locomotives and passenger cars
§ 224.1 Purpose and scope. used exclusively in passenger service;
or
(a) The purpose of this part is to re- (d) Freight rolling stock that is sub-
duce highway-rail grade crossing acci- ject to a reflectorization requirement
dents and deaths, injuries, and prop- promulgated by another Federal agen-
erty damage resulting from those acci- cy.
dents, by enhancing the conspicuity of
rail freight rolling stock so as to in- § 224.5 Definitions.
crease its detectability by motor vehi-
cle operators at night and under condi- Administrator means the Adminis-
tions of poor visibility. trator of the Federal Railroad Admin-
(b) In order to achieve cost-effective istration or the Administrator’s dele-
mitigation of collision risk at high- gate.
way-rail grade crossings, this part es- Associate Administrator means the As-
tablishes the duties of freight rolling sociate Administrator for Safety, Fed-
stock owners (including those who eral Railroad Administration, or the
manage maintenance of freight rolling Associate Administrator’s delegate.
stock, supply freight rolling stock for Damaged means scratched, broken,
transportation, or offer freight rolling chipped, peeled, or delaminated.
stock in transportation) and railroads Flat car means a car having a flat
to progressively apply retroreflective floor or deck on the underframe with
material to freight rolling stock, and no sides, ends or roof (including spine
to periodically inspect and maintain cars, articulated and mult-unit inter-
that material. Freight rolling stock modal cars).
owners, however, are under no duty to Freight rolling stock means:
install, clean or otherwise maintain, or (1) Any locomotive subject to part 229
repair reflective material except as of this chapter used to haul or switch
specified in this part. freight cars (whether in revenue or
(c) This part establishes a schedule work train service); and
for the application of retroreflective (2) Any railroad freight car (whether
material to rail freight rolling stock used in revenue or work train service).
352
Freight rolling stock owner means any Specification for Retroreflective Sheet-
person who owns freight rolling stock, ing for Traffic Control.’’
is a lessee of freight rolling stock, Work train means a non-revenue serv-
manages the maintenance or use of ice train used for the maintenance and
freight rolling stock on behalf of an upkeep service of the railroad.
owner or one or more lessors or lessees,
or otherwise controls the maintenance § 224.7 Waivers.
or use of freight rolling stock. (a) Any person subject to a require-
Locomotive has the meaning assigned ment of this part may petition the Ad-
by § 229.5 of this chapter, but for pur- ministrator for a waiver of compliance
poses of this part applies only to a lo- with such requirement. The filing of
comotive used in the transportation of such a petition does not affect that
freight or the operation of a work person’s responsibility for compliance
train. with that requirement while the peti-
Obscured means concealed or hidden tion is being considered.
(i.e., covered up, as where a layer of (b) Each petition for waiver under
paint or dense chemical residue blocks this section shall be filed in the man-
all incoming light); this term does not ner and contain the information re-
refer to ordinary accumulations of dirt, quired by part 211 of this chapter.
grime, or ice resulting from the normal
railroad operating environment.
interest and is consistent with railroad
Person means an entity of any type safety, the Administrator may grant
covered under 1 U.S.C. 1, including but the waiver subject to any conditions
not limited to the following: A rail- that the Administrator deems nec-
road; a manager, supervisor, official, or essary.
other employee or agent of a railroad;
any owner, manufacturer, lessor, or § 224.9 Responsibility for compliance.
lessee of railroad equipment, track or (a) Freight rolling stock owners, rail-
facilities; any independent contractor roads, and (with respect to certifi-
providing goods or services to a rail- cation of material) manufacturers of
road; and any employee of such an retroreflective material, are primarily
owner, manufacturer, lessor, lessee, or responsible for compliance with this
independent contractor. part. However, any person that per-
Railroad means all forms of non-high- forms any function or task required by
way ground transportation that run on this part (including any employee,
rails or electromagnetic guideways, in- agent, or contractor of the aforemen-
cluding high speed ground transpor- tioned), must perform that function in
tation systems that connect metropoli- accordance with this part.
tan areas, without regard to whether (b) Any person performing any func-
they use new technologies not associ- tion or task required by this part shall
ated with traditional railroads. be deemed to have consented to FRA
Railroad freight car has the meaning inspection of the person’s facilities and
assigned by § 215.5 of this chapter. records to the extent necessary to de-
Tank car means a rail car, the body of termine whether the function or task
which consists of a tank for trans- is being performed in accordance with
porting liquids. the requirements of this part.
Universal Machine Language Equip-
ment Register means the database con- § 224.11 Penalties.
taining information on rail equipment (a) Any person (including but not
maintained by the Association of limited to a railroad; any manager, su-
American Railroads. pervisor, official, or other employee or
Unqualified Retroreflective Sheeting agent of a railroad; any owner, manu-
means engineering grade sheeting, facturer, lessor, or lessee of railroad
super engineering grade sheeting (en- equipment, track, or facilities; any em-
closed lens) or high-intensity type ployee of such owner, manufacturer,
sheeting (ASTM Type I, II, III, or IV lessor, lessee, or independent con-
Sheeting) as described in ASTM Inter- tractor) who violates any requirement
national Standard D–4956–04, ‘‘Standard of this part or causes the violation of
353
§ 224.13 49 CFR Ch. II (10–1–11 Edition)
any such requirement is subject to a (2) Each petition for special approval
civil penalty of at least $650, but not of an alternative standard shall be sub-
more than $25,000 per violation, except mitted to the Docket Clerk, Office of
that: Penalties may be assessed against Chief Counsel, Federal Railroad Ad-
individuals only for willful violations, ministration, RCC–10, Mail Stop 10,
and, where a grossly negligent viola- 1200 New Jersey Avenue, SE., Wash-
tion or a pattern of repeated violations ington, DC 20590.
has created an imminent hazard of (c) Notice. FRA will publish a notice
death or injury to persons, or has in the FEDERAL REGISTER concerning
caused death or injury, a penalty not each petition under paragraph (b) of
to exceed $100,000 per violation may be this section.
assessed. Each day a violation con- (d) Public comment. FRA will provide
tinues shall constitute a separate of- a period of not less than 30 days from
fense. Appendix A to this part contains the date of publication of the notice in
a schedule of civil penalty amounts the FEDERAL REGISTER during which
used in connection with this part. any person may comment on the peti-
(b) Any person who knowingly and tion.
willfully falsifies a record or report re- (1) Each comment shall set forth spe-
quired by this part is subject to crimi- cifically the basis upon which it is
nal penalties under 49 U.S.C. 21311. made, and contain a concise statement
[70 FR 62176, Oct. 28, 2005, as amended at 72 of the interest of the commenter in the
FR 51197, Sept. 6, 2007; 73 FR 79702, Dec. 30, proceeding.
2008] (2) Each comment shall be submitted
to the U.S. Department of Transpor-
§ 224.13 Preemptive effect. tation, Docket Operations (M–30), West
Under 49 U.S.C. 20106, issuance of this Building Ground Floor, Room W12–140,
part preempts any State law, rule, reg- 1200 New Jersey Avenue, SE., Wash-
ulation, or order covering the same ington, DC 20590, and shall contain the
subject matter, except an additional or assigned docket number which appears
more stringent law, rule, regulation, or in the FEDERAL REGISTER for that pro-
order that is necessary to eliminate or ceeding. The form of such submission
reduce an essentially local safety haz- may be in written or electronic form
ard; that is not incompatible with a consistent with the standards and re-
law, rule, regulation, or order of the quirements established by the Federal
United States Government; and that Docket Management System and post-
does not unreasonably burden inter- ed on its Web site at http://
state commerce. www.regulations.gov.
(3) In the event FRA determines that
§ 224.15 Special approval procedures. it requires additional information to
(a) General. The following procedures appropriately consider the petition,
govern consideration and action upon FRA will conduct a hearing on the pe-
requests for special approval of alter- tition in accordance with the proce-
native standards under § 224.103(e). dures provided in § 211.25 of this chap-
(b) Petitions. (1) Each petition for spe- ter.
cial approval of an alternative stand- (e) Disposition of petitions. (1) If FRA
ard shall contain— finds that the petition complies with
(i) The name, title, address, and tele- the requirements of this section and
phone number of the primary person to that the proposed alternative standard
be contacted with regard to the peti- is acceptable or changes are justified,
tion; or both, the petition will be granted,
(ii) The alternative proposed, in de- normally within 90 days of its receipt.
tail, to be substituted for the par- The Associate Administrator may de-
ticular requirements of this part; and termine the applicability of other tech-
(iii) Appropriate data and analysis nical requirements of this part when
establishing that the alternative will rendering a decision on the petition. If
provide at least an equivalent level of the petition is neither granted nor de-
safety and meet the requirements of nied within 90 days, the petition re-
§ 224.103(e). mains pending for decision. FRA may
354
Federal Railroad Administration, DOT Pt. 224, Subpt. B, Table 1
attach special conditions to the ap- matic retroreflective elements embed-

proval of the petition. Following the ded in or suspended beneath the film so
approval of a petition, FRA may re- as to form a non-exposed
open consideration of the petition for retroreflective optical system.
cause stated. (b) Color. Retroreflective sheeting ap-
(2) If FRA finds that the petition plied pursuant to this part shall be yel-
does not comply with the requirements low, fluorescent yellow, or white as
of this section, or that the proposed al- specified by the chromaticity coordi-
ternative standard is not acceptable or nates of ASTM International’s Stand-
that the proposed changes are not jus- ard D 4956–04, ‘‘Standard Specification
tified, or both, the petition will be de- for Retroreflective Sheeting for Traffic
nied, normally within 90 days of its re- Control.’’ The Director of the Federal
ceipt.
Register approves the incorporation by
(3) When FRA grants or denies a peti-
reference of this standard in this sec-
tion, or reopens consideration of a peti-
tion, written notice is sent to the petition in accordance with 5 U.S.C. 552(a)
tioner and other interested parties and and 1 CFR part 51. You may obtain a
a copy of the notice is placed in the copy of the incorporated standard from
electronic docket of the proceeding. ASTM International, 100 Barr Harbor
Drive, P.O. Box C700, West
[70 FR 62176, Oct. 28, 2005, as amended at 74 Conshohocken, PA 19428–2959 or at
FR 25173, May 27, 2009]
http://www.astm.org. You may inspect a
copy of the incorporated standard at
Subpart B—Application, Inspec- the Federal Railroad Administration,
tion, and Maintenance of Docket Clerk, 1200 New Jersey Avenue,
Retroreflective Material SE., Washington, DC 20590 or at the Na-
tional Archives and Records Adminis-
§ 224.101 General requirements. tration (NARA). For information on
All rail freight rolling stock subject the availability of this material at
to this part shall be equipped with NARA, call 202–741–6030, or go to http://
retroreflective sheeting that conforms www.archives.gov/federallregister/
to the requirements of this part. Not- codeloflfederall regulations/
withstanding any other provision of ibrllocations.html.
this chapter, the application, inspec- (c) Performance. Retroreflective
tion, and maintenance of that sheeting sheeting applied pursuant to this part
shall be conducted in accordance with shall meet the requirements of ASTM
this subpart or in accordance with an D 4956–04, for Type V Sheeting if metal-
alternative standard providing at least ized or Type VII Sheeting if non-metal-
an equivalent level of safety after spe- ized, except for the initial minimum
cial approval of FRA under § 224.15. values of the coefficient of
§ 224.103 Characteristics of retroreflection, and shall, as initially
retroreflective sheeting. applied, meet the minimum values for
the coefficient of retroreflection speci-
(a) Construction. Retroreflective
fied in Table 1 of this subpart.
sheeting applied pursuant to this part
shall consist of a smooth, flat, trans- [70 FR 62176, Oct. 28, 2005, as amended at 74
parent exterior film with micropris- FR 25173, May 27, 2009]
TABLE 1 OF SUBPART B TO PART 224—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
355
§ 224.105 49 CFR Ch. II (10–1–11 Edition)
(d) Certification. The characters ‘‘FRA–224’’, § 224.105 Sheeting dimensions and
constituting the manufacturer’s certifi- quantity.
cation that the retroreflective sheeting con-
forms to the requirements of paragraphs (a) Retroreflective sheeting shall be ap-
through (c) of this section, shall appear at plied along the length of each railroad
least once on the exposed surface of each freight car and locomotive side as de-
piece of sheeting in the final application. scribed in § 224.106. Unless otherwise
The characters shall be a minimum of three specified, retroreflective sheeting ap-
millimeters high, and shall be permanently plied under this part shall be applied in
stamped, etched, molded, or printed within strips 4 inches wide and 18 or 36 inches
the product and each certification shall be long, as practicable. The amount of
spaced no more than four inches apart. retroreflective sheeting to be applied
(e) Alternative standards. Upon petition by a to each car or locomotive subject to
freight rolling stock owner or railroad under this part is dependent on the length of
§ 224.15, the Associate Administrator may ap- the car or locomotive and the color of
prove an alternative technology as providing
the sheeting. For purposes of this part,
equivalent safety. Any such petition shall
the length of a railroad freight car or
provide data and analysis sufficient to estab-
lish that the technology will result in con-
locomotive is measured from endsill to
spicuity and durability at least equal to endsill, exclusive of the coupler and
sheeting described in paragraphs (a) through draft gear. Each side of a railroad
(c) applied in accordance with this part and freight car subject to this part, includ-
will present a recognizable visual target that ing each unit of multi-unit cars, and
is suitably consistent with freight rolling each side of a locomotive subject to
stock equipped with retroreflective sheeting this part must be equipped with at
meeting the technical requirements of this least the minimum amount of
part to provide the intended warning to mo- retroreflective sheeting specified in
torists. Table 2 of this subpart.
TABLE 2 OF SUBPART B TO PART 224—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 subpart shall apply. Retroreflective

sheeting. sheeting applied under this part must
(a) Railroad freight cars. The be located clear of appurtenances and
retroreflective sheeting shall be ap- devices such as ladders and other safe-
plied along the length of each railroad ty appliances, pipes, or other attach-
freight car side in the manner provided ments that may obscure its visibility.
by a uniform industry standard accept- Retroreflective sheeting need not be
ed by the Associate Administrator that applied to discontinuous surfaces such
provides for distribution of material as bolts, rivets, door hinges, or other
along the length of each car and as irregularly shaped areas that may pre-
close as practicable to 42 inches above vent the sheeting from adhering to the
the top of rail. In the event such a car sides. In addition, retroreflective
standard is not proffered by industry or
accepted by the Associate Adminis-
trator, the criteria set forth in this
356
sheeting need not be applied over exist- (1) General rule. On railroad freight
ing or required car stencils and mark- cars other than flat cars and tank cars,
ings. If necessary to avoid appur- retroreflective sheeting shall be ap-
tenances, discontinuous surfaces, or ex- plied in either a vertical or horizontal
isting or required car markings or pattern along the length of the car
stencils, 4x18 and 4x36 inch strips of sides, with the bottom edge of the
retroreflective material may be divided sheeting as close as practicable to 42
into 4x9 inch strips and applied on ei- inches above the top of rail.
ther side of the appurtenance, dis- Retroreflective sheeting shall not be
continuous surface, or car markings or
applied below the side sill.
stencils, as practicable. Unless other-
wise specified, retroreflective sheeting (i) Vertical application. If
shall be applied along the sides of retroreflective sheeting is applied in a
freight rolling stock at intervals not to vertical pattern, at least one 4x36 inch
exceed every 12 feet, as practicable. If strip or two 4x18 inch strips, one above
it is not practicable to apply the other, shall be applied as close to
retroreflective sheeting every 12 feet each end of the car as practicable. Be-
because of existing stencils, appur- tween these two vertical end strips, a
tenances, or discontinuous surfaces, minimum of one 4x18 inch strip shall be
the sheeting shall be applied at the applied at least every 12 feet, as prac-
next smallest interval practicable. ticable. See Figures 1, 2 and 3.
357
§ 224.106 49 CFR Ch. II (10–1–11 Edition)
358
ER28OC05.000</GPH>
359
ER28OC05.001</GPH>
§ 224.106 49 CFR Ch. II (10–1–11 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
360
ER28OC05.002</GPH>
applied at least every 12 feet, as prac-

ticable. See Figures 4, 5, and 6.
361
ER28OC05.003</GPH>
§ 224.106 49 CFR Ch. II (10–1–11 Edition)
362
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,
363
ER28OC05.005</GPH>
§ 224.106 49 CFR Ch. II (10–1–11 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
364
365
ER28OC05.006</GPH>
§ 224.106 49 CFR Ch. II (10–1–11 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
366
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.
367
§ 224.106 49 CFR Ch. II (10–1–11 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
368
ER28OC05.008</GPH>
Federal Railroad Administration, DOT Pt. 224, Subpt. B, Table 3
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 TO PART 224—
sides, or in one continuous strip, at ALTERNATIVE SCHEDULE FOR APPLI-
least four inches wide, along the length CATION OF RETROREFLECTIVE MATE-
of the locomotive. Retroreflective RIAL TO FREIGHT CARS PER
sheeting applied to locomotive sides § 224.107(A)(2)(II)
shall be applied as close as practicable (B)
to 42 inches from the top of the rail. (A) 1 (percent)
§ 224.107 Implementation schedule. November 28, 2007 ........................................... 20

November 28, 2008 ........................................... 30
(a) Railroad freight cars. All railroad November 28, 2009 ........................................... 40
freight cars subject to this part must November 28, 2010 ........................................... 50
November 28, 2011 ........................................... 60
be equipped with retroreflective sheet- November 28, 2012 ........................................... 70
ing conforming to this part by Novem- November 28, 2013 ........................................... 80
ber 28, 2015. If a car already has reflec- November 28, 2014 ........................................... 90
tive material applied that does not November 28, 2015 ........................................... 100
meet the standards of this part, it is 1 Column (A) indicates the date by which the minimum per-
not necessary to remove the material centage of an owner’s freight cars specified in column (B)
must be equipped with retroreflective sheeting conforming to
unless its placement interferes with this part.
the placement of the sheeting required Thereafter,
by this part. (A) The designated fleet shall be equipped
(1) New cars. Retroreflective sheeting with retroreflective sheeting according to
conforming to this part must be ap- the schedule specified in Table 3 of this sec-
plied to all cars constructed after Jan- tion;
uary 26, 2006, before the cars are placed (B) No later than January 28, 2008, the
in service. freight rolling stock owner shall submit to
(2) Existing cars without retroreflective FRA an updated Reflectorization Implemen-
tation Compliance Report showing which
sheeting. (i) If, as of October 28, 2005, a
cars of the fleet subject to this part were
car subject to this part is not equipped equipped with retroreflective sheeting as re-
on each side with at least one square quired by this part during the initial 24-
foot of retroreflective sheeting as spec- month implementation period. Thereafter,
ified in paragraph (a)(3) of this section, updated Reflectorization Implementation
retroreflective sheeting conforming to Compliance Reports shall be submitted an-
this part must be applied to the car at nually, no later than December 31 of each
the earliest of the following two occa- year for the duration of the 10-year imple-
mentation period. See Appendix B of this
sions occurring after November 28, 2005
part.
or in accordance with paragraph (C) If, following the conclusion of the ini-
(a)(2)(ii) of this section: tial 24-month period or any 12-month period
(A) When the car is repainted or re- thereafter, the percentage requirements of
built; or this section have not been met—
(B) Within nine months (270 calendar (1) The freight rolling stock owner shall be
days) after the car first undergoes a considered in violation of this part;
single car air brake test as prescribed (2) The freight rolling stock owner shall,
by 49 CFR 232.305. within 60 days after the close of the period,
report the failure to the Associate Adminis-
(ii) A freight rolling stock owner may trator;
elect not to follow the schedule in (3) The requirements of paragraph (a)(2)(i)
paragraph (a)(2)(i) of this section if, not shall apply to all railroad freight cars sub-
later than January 26, 2006 the freight ject to this part in the freight rolling stock
rolling stock owner submits to FRA a owner’s fleet; and
369
Pt. 224, Subpt. B, Table 4 49 CFR Ch. II (10–1–11 Edition)
(4) The fleet owner shall take such addi- TABLE 4 OF SUBPART B TO PART 224—
tional action as may be necessary to achieve ALTERNATIVE SCHEDULE FOR APPLI-
future compliance. CATION OF RETROREFLECTIVE MATE-
(D) Cars to be retired shall be included in RIAL TO LOCOMOTIVES PER
the fleet total until they are retired. § 224.107(B)(2)(II)
(3) Existing cars with retroreflective sheeting.
If as of October 28, 2005, a car is equipped on (A) 1 (B)
each side with at least one square foot of (percent)
retroreflective sheeting, uniformly distrib- November 28, 2007 ........................................... 40
uted over the length of each side, that car November 28, 2008 ........................................... 60
shall be considered in compliance with this November 28, 2009 ........................................... 80
part through November 28, 2015, provided the November 28, 2010 ........................................... 100
sheeting is not unqualified retroreflective 1Column (A) indicates the date by which the minimum per-
sheeting, and provided the freight rolling centage of an owner’s locomotives specified in column (B)
must be equipped with retroreflective sheeting conforming to
stock owner files a completed this part.
Reflectorization Implementation Compli-
Thereafter,
ance Report with FRA no later than January
(A) The designated locomotive fleet shall
26, 2006 identifying the cars already so
be equipped with retroreflective sheeting ac-
equipped. See Appendix B of this part for
cording to the requirements of this para-
Reflectorization Implementation Compli- graph (b)(2)(ii);
ance form. (B) No later than January 28, 2008, the
(b) Locomotives. Except as provided in para- freight rolling stock owner shall submit to
graph (b)(4) of this section, all locomotives FRA an updated Reflectorization Implemen-
subject to this part must be equipped with tation Compliance Report showing which lo-
conforming retroreflective sheeting by No- comotives of the fleet subject to this part
vember 28, 2010. If a locomotive already has were equipped with retroreflective sheeting
reflective material applied that does not as required by this part during the initial 24
meet the standards of this part, it is not nec- month implementation period. Updated
essary to remove the material unless its Reflectorization Implementation Compli-
placement interferes with the placement of ance Reports shall be submitted annually, no
the sheeting required by this part. later than December 31 of each year, for the
(1) New locomotives. Retroreflective sheet- duration of the 5-year implementation pe-
ing conforming to this part must be applied riod. See Appendix B of this part.
to all locomotives constructed after January (C) If, following the conclusion of the ini-
tial 24-month period or any 12-month period
26, 2006, before they are placed in service.
thereafter, the percentage requirements of
(2) Existing locomotives without retroreflective this section have not been met—
sheeting. (1) The freight rolling stock owner shall be
(i) If as of October 28, 2005 a locomotive considered in violation of this part;
subject to this part is not equipped with the (2) The freight rolling stock owner shall,
minimum amount of retroreflective sheeting within 60 days after the close of the period,
specified in paragraph (b)(3) of this section, report the failure to the Associate Adminis-
retroreflective sheeting conforming to this trator;
part must be applied to the locomotive not (3) The requirements of paragraph (b)(2)(i)
later than nine months after the first bien- shall apply to all locomotives subject to this
nial inspection performed pursuant to 49 part in the freight rolling stock owner’s
CFR 229.29 occurring after November 28, 2005. fleet; and
(ii) A freight rolling stock owner may elect (4) The fleet owner shall take such addi-
not to follow the schedule in paragraph tional action as may be necessary to achieve
(b)(2)(i) of this section, if not later than Jan- future compliance.
(D) Locomotives to be retired shall be in-
uary 26, 2006, the freight rolling stock owner
cluded in the fleet total until they are re-
submits to FRA a Reflectorization Imple-
tired.
mentation Compliance Report certifying
(3) Existing locomotives with retroreflective
that the locomotives in the owner’s fleet sheeting. If as of October 28, 2005, a loco-
subject to this part will be equipped with motive is equipped on each side with at least
retroreflective sheeting as required by this one square foot of retroreflective sheeting,
part in accordance with the schedule speci- that locomotive shall be considered in com-
fied in Table 4 of this section. See Appendix pliance with this part for through November
B of this part. 28, 2015, provided the existing material is not
unqualified retroreflective sheeting, and pro-
vided the freight rolling stock owner files a
Reflectorization Implementation Compli-
26, 2006, identifying the cars already so
370
equipped. See appendix B of this part. If, as of the FRA upon request. Any person no-
October 28, 2005, a locomotive is equipped tified of a defect under this section
with unqualified retroreflective sheeting, the shall have nine months (270 calendar
locomotive will be considered in compliance
with this part through November 28, 2015, days) from the date of notification to
provided the locomotive is equipped with a repair or replace the damaged, ob-
minimum of 3 square feet of retroreflective scured, or missing sheeting. Where the
material on each side and provided the inspecting railroad or contractor is the
freight rolling stock owner files a person responsible for the reporting
Reflectorization Implementation Compli- mark, the person shall have nine
months (270 calendar days) from the
26, 2006, identifying the locomotives already
so equipped. See appendix B of this part. date of the inspection to repair or re-
(4) Each railroad that has fewer than place the damaged, obscured, or miss-
400,000 annual employee work hours as of the ing sheeting.
end of calendar year 2004, and does not share (b) Locomotives. Retroreflective sheet-
locomotive power with another railroad with ing must be visually inspected for pres-
400,000 or more annual employee work hours,
may bring its locomotive fleet into compli-
ence and condition when the loco-
ance according to the following schedule: motive receives the annual inspection
fifty percent of the railroad’s locomotives required under 49 CFR 229.27. If at the
must be retrofitted pursuant to § 224.106(b) by time of inspection less than 80 percent
October 28, 2010, and one hundred percent of the amount of sheeting required
must be retrofitted pursuant to § 224.106(b) by under § 224.105 (§ 224.107 in the case of
October 28, 2015. If a railroad with fewer than locomotives subject to § 224.107(b)(3)) on
400,000 annual employee work hours shares
locomotive power with a railroad with 400,000
either side of a locomotive is present,
or more annual employee work hours, the not damaged, and not obscured, the
smaller railroad must comply with the re- damaged, obscured, or missing sheeting
quirements of paragraphs (b)(2) and (3) of must be repaired or replaced within
this section. nine months (270 calendar days) from
the date of inspection, provided a
§ 224.109 Inspection, repair, and re- record of the defect is maintained in
placement.
the locomotive cab or in a secure and
(a) Railroad freight cars. accessible electronic database to which
Retroreflective sheeting on railroad FRA is provided access on request.
freight cars subject to this part must
be visually inspected for presence and § 224.111 Renewal.
condition whenever a car undergoes a
Regardless of condition,
single car air brake test required under
retroreflective sheeting required under
49 CFR 232.305. If at the time of inspec-
this part must be replaced with new
tion less than 80 percent of the amount
sheeting no later than ten years after
of sheeting required under § 224.105
the date of initial installation. At the
(§ 224.107 in the case of freight cars sub-
time of replacement, it is not nec-
ject to § 224.107(a)(3)) on either side of a
car is present, not damaged, and not essary to remove the old sheeting un-
obscured, the inspecting railroad or less it interferes with the placement of
contractor shall promptly notify the the new sheeting, but the old sheeting
person responsible for the reporting shall not be considered in calculating
mark, as indicated in the Universal the amount of retroreflective material
Machine Language Equipment Reg- required under this part. For purposes
ister, of the damaged, obscured, or of this section, November 28, 2005, shall
missing sheeting (unless the inspecting be considered the initial date of instal-
railroad or contractor is the person relation for freight cars and locomotives
sponsible for the reporting mark). The covered by § 224.107(a)(3) or 224.107(b)(3).
inspecting railroad or contractor shall
APPENDIX A TO PART 224—SCHEDULE OF
retain a written or electronic copy of
each such notification made for at CIVIL PENALTIES1
least two years from the date of the no- SUBPART B—APPLICATION, INSPECTION, AND
tice and shall make these records MAINTENANCE OF RETROREFLECTIVE MATE-
available for inspection and copying by RIAL
371
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
372
APPENDIX B TO PART 224—REFLECTORIZATION IMPLEMENTATION COMPLIANCE REPORT
373
ER28OC05.009</GPH>
374
ER28OC05.010</GPH>
APPENDIX C TO PART 224—GUIDELINES FOR ELECTRONIC SUBMISSION OF

REFLECTORIZATION IMPLEMENTATION COMPLIANCE REPORTS
375
ER28OC05.011</GPH>
ER28OC05.013</GPH>
376
ER28OC05.012</GPH>
PART 225—RAILROAD ACCIDENTS/ venting railroad injuries and accidents.

INCIDENTS: REPORTS CLASSI- Any State may require railroads to
submit to it copies of accident/incident
FICATION, AND INVESTIGA- and injury/illness reports filed with
TIONS FRA under this part, for accidents/inci-
dents and injuries/illnesses which occur
Sec.
225.1 Purpose.
in that State.
225.3 Applicability. [75 FR 68903, Nov. 9, 2010]
225.5 Definitions.
225.6 Consolidated reporting. § 225.3 Applicability.
225.7 Public examination and use of reports.
225.9 Telephonic reports of certain acci- (a) Except as provided in paragraphs
dents/incidents. (b), (c), and (d), this part applies to all
225.11 Reporting of accidents/incidents. railroads except—
225.12 Rail Equipment Accident/Incident (1) A railroad that operates freight
Reports alleging employee human factor trains only on track inside an installa-
as cause; Employee Human Factor At-
tachment; notice to employee; employee
tion which is not part of the general
supplement. railroad system of transportation or
225.13 Late reports. that owns no track except for track
225.15 Accidents/incidents not to be re- that is inside an installation that is
ported. not part of the general railroad system
225.17 Doubtful cases; alcohol or drug in- of transportation and used for freight
volvement. operations.
225.18 Alcohol or drug involvement. (2) Rail mass transit operations in an
225.19 Primary groups of accidents/inci-
dents.
225.21 Forms. the general railroad system of trans-
225.23 Joint operations. portation.
225.25 Recordkeeping. (3) A railroad that exclusively hauls
225.27 Retention of records. passengers inside an installation that
225.29 Penalties. is insular or that owns no track except
225.31 Investigations. for track used exclusively for the haul-
225.33 Internal control plans.
ing of passengers inside an installation
225.35 Access to records and reports.
225.37 Optical media transfer and electronic that is insular. An operation is not
submission. considered insular if one or more of the
225.39 FRA policy on covered data. following exists on its line:
225.41 Suicide data. (i) A public highway-rail grade cross-
APPENDIX A TO PART 225—SCHEDULE OF CIVIL ing that is in use;
PENALTIES (ii) An at-grade rail crossing that is
APPENDIX B TO PART 225—PROCEDURE FOR DE- in use;
TERMINING REPORTING THRESHOLD (iii) A bridge over a public road or
AUTHORITY: 49 U.S.C. 103, 322(a), 20103, waters used for commercial navigation;
20107, 20901–20902, 21301, 21302, 21311; 28 U.S.C. or
2461, note; and 49 CFR 1.49. (iv) A common corridor with a rail-
SOURCE: 39 FR 43224, Dec. 11, 1974, unless road, i.e., its operations are within 30
otherwise noted. feet of those of any railroad.
(b) The Internal Control Plan re-
§ 225.1 Purpose. quirements in § 225.33(a)(3) through
The purpose of this part is to provide (a)(11) do not apply to—
the Federal Railroad Administration (1) Railroads that operate or own
with accurate information concerning track on the general railroad system of
the hazards and risks that exist on the transportation that have 15 or fewer
Nation’s railroads. FRA needs this in- employees covered by the hours of
formation to effectively carry out its service law (49 U.S.C. 21101–21107) and
regulatory responsibilities under 49 (2) Railroads that operate or own
U.S.C. chapters 201–213. FRA also uses track exclusively off the general sys-
this information for determining com- tem.
parative trends of railroad safety and (c) The recordkeeping requirements
to develop hazard elimination and risk regarding accountable injuries and ill-
reduction programs that focus on pre- nesses and accountable rail equipment
377
§ 225.5 49 CFR Ch. II (10–1–11 Edition)
accidents/incidents found in § 225.25(a) a railroad employee that causes or re-

through (g) do not apply to— quires the railroad employee to be ex-
(1) Railroads that operate or own amined or treated by a qualified health
track on the general railroad system of care professional, regardless of whether
transportation that have 15 or fewer or not it meets the general reporting
employees covered by the hours of criteria listed in § 225.19(d)(1) through
service law (49 U.S.C. 21101–21107) and (d)(6), and the railroad employee
(2) Railroads that operate or own claims that, or the railroad otherwise
track exclusively off the general sys- has knowledge that, an event or expo-
tem. sure arising from the operation of the
(d) All requirements in this part to railroad is a discernable cause of the
record or report an injury or illness in- abnormal condition or disorder.
curred by any classification of person Accountable rail equipment accident/in-
that results from a non-train incident cident means
do not apply to railroads that operate (1) Any derailment regardless of
or own track exclusively off the gen-
whether or not it causes any damage or
eral railroad system of transportation,
(2) Any collision, highway-rail grade
unless the non-train incident involves
crossing accident/incident, obstruction
in- service on-track equipment.
accident, other impact, fire or violent
[61 FR 30967, June 18, 1996, as amended at 61 rupture, explosion-detonation, act of
FR 67490, Dec. 23, 1996; 75 FR 68903, Nov. 9, God, or other accident/incident involv-
2010]
ing the operation of railroad on-track
§ 225.5 Definitions. equipment (standing or moving) that
results in damage to the railroad on-
As used in this part— track equipment (standing or moving),
Accident/incident means: signals, track, track structures or
(1) Any impact between railroad on- roadbed and that damage impairs the
track equipment and a highway user at functioning or safety of the railroad
a highway-rail grade crossing. The
on-track equipment (standing or mov-
term ‘‘highway user’’ includes auto-
ing), signals, track, track structures or
mobiles, buses, trucks, motorcycles, bi-
roadbed.
cycles, farm vehicles, pedestrians, and
Covered data means information that
all other modes of surface transpor-
must be reported to FRA under this
tation motorized and un-motorized;
(2) Any collision, derailment, fire, ex- part concerning a railroad employee
plosion, act of God, or other event in- injury or illness case that is reportable
volving operation of railroad on-track exclusively because a physician or
equipment (standing or moving) that other licensed health care profes-
results in reportable damages greater sional—
than the current reporting threshold to (1) Recommended in writing that—
railroad on-track equipment, signals, (i) The employee take one or more
track, track structures, and roadbed; days away from work when the em-
(3) Each death, injury, or occupa- ployee instead reports to work (or
tional illness that is a new case and would have reported had he or she been
meets the general reporting criteria scheduled) and takes no days away
listed in § 225.19(d)(1) through (d)(6) if from work in connection with the in-
an event or exposure arising from the jury or illness,
operation of a railroad is a discernable (ii) The employee work restricted
cause of the resulting condition or a duty for one or more days when the
discernable cause of a significant ag- employee instead works unrestricted
gravation to a pre-existing injury or (or would have worked unrestricted
illness. The event or exposure arising had he or she been scheduled) and
from the operation of a railroad need takes no days of restricted work activ-
only be one of the discernable causes; ity in connection with the injury or ill-
it need not be the sole or predominant ness, or
cause. (iii) The employee take over-the-
(4) Occupational illness. counter medication at a dosage equal
Accountable injury or illness means to or greater than the minimum pre-
any abnormal condition or disorder of scription strength, whether or not the
378
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
(ii) A railroad’s instructions not to (2) A minimum of one calendar day if
work, if the injury or illness is other- a PLHCP, for reasons associated with
wise reportable; or the employee’s condition, recommends
(2) A minimum of one calendar day if in writing that the employee work re-
a PLHCP, for reasons associated with stricted duty for one or more days, but
the employee’s condition, recommends the employee instead works unre-
in writing that the employee take one stricted (or would have worked unre-
or more days away from work, but the stricted had he or she been scheduled).
employee instead reports to work (or This paragraph is intended to take into
would have reported had he or she been account ‘‘covered data’’ cases and also
scheduled). This paragraph is intended those non-covered data cases that are
to take into account ‘‘covered data’’ independently reportable for some
cases and also those non-covered data other reason (e.g., ‘‘medical treatment’’
cases that are independently reportable or ‘‘day of restricted work activity’’).
for some other reason (e.g., ‘‘medical The requirement to report ‘‘a min-
treatment’’ or ‘‘day of restricted work imum of one calendar day’’ is intended
activity’’). The requirement to report to give a railroad the discretion to re-
‘‘a minimum of one calendar day’’ is port up to the total number of days
intended to give a railroad the discre- recommended by the PLHCP.
tion to report up to the total number Discernable cause means a causal fac-
of days recommended by the PLHCP. tor capable of being recognized by the
Day of restricted work activity means a senses or the understanding. An event
day of restricted work activity as de- or exposure arising from the operation
scribed in paragraph (1) of this defini- of a railroad is a discernable cause of
tion or, if paragraph (1) does not apply, (i.e., discernably caused) an injury or
a day of restricted work activity solely illness if, considering the cir-
for reporting purposes as described in cumstances, it is more likely than not
379
§ 225.5 49 CFR Ch. II (10–1–11 Edition)
that the event or exposure is a cause of railroad or of another dangerous com-

the injury or illness. The event or ex- modity that is related to the perform-
posure arising from the operation of a ance of the railroad’s rail transpor-
railroad need not be a sole, predomi- tation business.
nant or significant cause of the injury (2) With respect to a person who is an
or illness, so long as it is a cause (i.e., employee of the railroad, an event or
a contributing factor). exposure that is work-related.
Employee human factor includes any FRA representative means the Asso-
of the accident causes signified by the ciate Administrator for Safety, FRA;
train accident cause codes listed under the Associate Administrator’s delegate
‘‘Train Operation—Human Factors’’ in (including a qualified State inspector
the current ‘‘FRA Guide for Preparing acting under part 212 of this chapter);
Accidents/Incidents Reports,’’ except the Chief Counsel, FRA; or the Chief
for those train accident cause codes Counsel’s delegate.
pertaining to non-railroad workers. General reporting criteria means the
For purposes of this definition ‘‘em- criteria listed in § 225.19(d)(1) through
ployee’’ includes the classifications of (6).
Worker on Duty—Employee, Employee Highway-rail grade crossing means:
not on Duty, Worker on Duty—Con- (1) A location where a public high-
tractor, and Worker on Duty—Volun- way, road, or street, or a private road-
teer. way, including associated sidewalks,
Establishment means a single physical crosses one or more railroad tracks at
location where workers report to work, grade; or
where railroad business is conducted, (2) A location where a pathway ex-
or where services or operations are per- plicitly authorized by a public author-
formed. Examples are: a division office, ity or a railroad carrier that is dedi-
general office, repair or maintenance cated for the use of non-vehicular traf-
facility, major switching yard or ter- fic, including pedestrians, bicyclists,
minal. For employees who are engaged and others, that is not associated with
in dispersed operations, such as signal a public highway, road, or street, or a
or track maintenance workers, an ‘‘es- private roadway, crosses one or more
tablishment’’ is typically a location railroad tracks at grade. The term
where work assignments are initially ‘‘sidewalk’’ means that portion of a
made and oversight responsibility ex- street between the curb line, or the lat-
ists, e.g., the establishment where the eral line of a roadway, and the adjacent
signal supervisor or roadmaster is lo- property line or, on easements of pri-
cated. vate property, that portion of a street
Event or exposure includes an inci- that is paved or improved and intended
dent, activity, or occurrence. for use by pedestrians.
Event or exposure arising from the oper- Injury or illness means an abnormal
ation of a railroad means— condition or disorder. Injuries include
(1) With respect to a person who is cases such as, but not limited to, a cut,
not an employee of the railroad: fracture, sprain, or amputation. Ill-
(i) A person who is on property nesses include both acute and chronic
owned, leased, maintained or operated illnesses, such as but not limited to, a
by the railroad, an event or exposure skin disease, respiratory disorder, or
that is related to the performance of poisoning. A musculoskeletal disorder
the railroad’s rail transportation busi- is also an injury or illness. Pain is an
ness; or injury or illness when it is sufficiently
(ii) A person who is not on property severe to meet the general reporting
owned, leased, maintained or operated criteria listed in § 225.19(d)(1) through
over by the railroad, an event or expo- (6).
sure directly resulting from one or Joint operations means rail operations
more of the following railroad oper- conducted on a track used jointly or in
ations: common by two or more railroads sub-
(A) A train accident or a train inci- ject to this part or operation of a train,
dent involving the railroad; or locomotive, car, or other on-track
(B) A release of a hazardous material equipment by one railroad over the
from a railcar in the possession of the track of another railroad.
380
Medical removal means medical re- Occupational hearing loss means a di-
moval under the medical surveillance agnosis of occupational hearing loss by
requirements of the Occupational Safe- a physician or other licensed health
ty and Health Administration standard care professional, where the employee’s
in 29 CFR part 1910 in effect during cal- audiogram reveals a work-related
endar year 2002, even if the case does Standard Threshold Shift (STS) (i.e., at
not meet one of the general reporting least a 10-decibel change in hearing
criteria. threshold, relative to the baseline
Medical treatment means any medical audiogram for that employee) in hear-
care or treatment beyond ‘‘first aid’’ ing in one or both ears, and the em-
regardless of who provides such treat- ployee’s total hearing level is 25 deci-
ment. Medical treatment does not in- bels or more above audiometric zero
clude diagnostic procedures, such as X- (averaged at 2000, 3000, and 4000 Hz) in
rays and drawing blood samples. Med- the same ear(s) as the STS.
ical treatment also does not include Occupational illness means any abnor-
counseling. mal condition or disorder, as diagnosed
Musculoskeletal disorder (MSD) means by a physician or other licensed health
a disorder of the muscles, nerves, ten- care professional, of any person who
dons, ligaments, joints, cartilage, and falls under the definition for the classi-
spinal discs. The term does not include fication of Worker on Duty—Employee,
disorders caused by slips, trips, falls, other than one resulting from injury,
motor vehicle accidents, or other simi- discernably caused by an environ-
lar accidents. Examples of MSDs in- mental factor associated with the per-
clude: Carpal tunnel syndrome, Rota- son’s railroad employment, including,
tor cuff syndrome, De Quervain’s dis- but not limited to, acute or chronic ill-
ease, Trigger finger, Tarsal tunnel syn- nesses or diseases that may be caused
drome, Sciatica, Epicondylitis, Tendi- by inhalation, absorption, ingestion, or
nitis, Raynaud’s phenomenon, Carpet direct contact.
layers knee, Herniated spinal disc, and Occupational tuberculosis means the
Low back pain. occupational exposure of an employee
Needlestick or sharps injury means a to anyone with a known case of active
cut, laceration, puncture, or scratch tuberculosis if the employee subse-
from a needle or other sharp object quently develops a tuberculosis infec-
that involves contamination with an- tion, as evidenced by a positive skin
other person’s blood or other poten- test or diagnosis by a physician or
tially infectious material, even if the other licensed health care professional,
case does not meet one of the general even if the case does not meet one of
reporting criteria. the general reporting criteria.
New case means a case in which ei- Privacy concern case is any occupa-
ther the injured or ill person has not tional injury or illness in the following
previously experienced a reported in- list:
jury or illness of the same type that af- (1) Any injury or illness to an inti-
fects the same part of the body, or the mate body part or the reproductive
injured or ill person previously experi- system;
enced a reported injury or illness of the (2) An injury or illness resulting from
same type that affected the same part a sexual assault;
of the body but had recovered com- (3) Mental illnesses;
pletely (all signs and/or symptoms dis- (4) HIV infection, hepatitis, or tuber-
appeared) from the previous injury or culosis;
illness, and an event or exposure aris- (5) Needlestick and sharps injuries;
ing from the operation of a railroad and
discernably caused the signs and/or (6) Other injuries or illnesses, if the
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
381
§ 225.5 49 CFR Ch. II (10–1–11 Edition)
manager, supervisor, official, or other (iii) Medical treatment in a case

employee or agent of a railroad; any where no medical treatment was need-
owner, manufacturer, lessor, or lessee ed for the injury or illness before the
of railroad equipment, track, or facili- event or exposure, or a change in the
ties; any passenger; any trespasser or course of medical treatment that was
nontrespasser; any independent con- being provided before the event or ex-
tractor providing goods or services to a posure.
railroad; any volunteer providing goods (2) With respect to a railroad em-
or services to a railroad; and any employee, one or more days away from
ployee of such owner, manufacturer, work, or days of restricted work, or
lessor, lessee, or independent con- days of job transfer that otherwise
tractor. would not have occurred but for the
Qualified health care professional is a event or exposure.
health care professional operating Significant change in the damage costs
within the scope of his or her license, for reportable rail equipment accidents/in-
registration, or certification. In addi- cidents means at least a ten-percent
tion to licensed physicians, the term variance between the damage amount
includes members of other occupations reported to FRA and current cost fig-
associated with patient care and treat- ures.
ment such as chiropractors, podia- Significant change in the number of re-
trists, physicians assistants, psycholo- portable days away from work or days re-
gists, and dentists. stricted means at least a ten-percent
Railroad means a railroad carrier. variance in the number of actual re-
Railroad carrier means a person pro- portable days away from work or days
viding railroad transportation. restricted compared to the number of
Railroad transportation means any days already reported.
form of non-highway ground transpor- Significant illness means an illness in-
tation that run on rails or electro-mag- volving cancer or a chronic irreversible
netic guideways, including commuter disease such as byssinosis or silicosis,
or other short-haul railroad passenger if the disease does not result in death,
service in a metropolitan or suburban a day away from work, restricted work,
area, as well as any commuter railroad job transfer, medical treatment, or loss
service that was operated by the Con- of consciousness.
solidated Rail Corporation as of Janu- Significant injury means an injury in-
ary 1, 1979, and high speed ground volving a fractured or cracked bone or
transportation systems that connect a punctured eardrum, if the injury does
metropolitan areas, without regard to not result in death, a day away from
whether they use new technologies not work, restricted work, job transfer,
associated with traditional railroads. medical treatment, or loss of con-
Such term does not include rapid tran- sciousness.
sit operations within an urban area Suicide data means data regarding the
that are not connected to the general death of an individual due to the indi-
railroad system of transportation. vidual’s commission of suicide as de-
Significant aggravation of a pre-exist- termined by a coroner, public police of-
ing injury or illness means aggravation ficer or other public authority or in-
of a pre-existing injury or illness that jury to an individual due to that indi-
is discernably caused by an event or ex- vidual’s attempted commission of sui-
posure arising from the operation of a cide as determined by a public police
railroad that results in: office or other public authority. Only
(1) With respect to any person: the death of, or injury to, the indi-
(i) Death, provided that the pre-exist- vidual who committed the suicidal act
ing injury or illness would likely not is suicide data. Therefore, casualties to
have resulted in death but for the a person caused by the suicidal act of
event or exposure; another person are not considered sui-
(ii) Loss of consciousness, provided cide data.
that the pre-existing injury or illness Train accident means any collision,
would likely not have resulted in loss derailment, fire, explosion, act of God,
of consciousness but for the event or or other event involving operation of
exposure; or railroad on-track equipment (standing
382
or moving) that results in damages sure occurred at work or outside work,

greater than the current reporting the employer must evaluate the em-
threshold to railroad on-track equip- ployee’s work duties and environment
ment, signals, track, track structures, and decide whether it is more likely
and roadbed. than not that an event or exposure at
Train incident means any event in- work was at least one of the causes of
volving the movement of on-track the injury of the injury or illness.
equipment that results in a reportable [61 FR 30968, June 18, 1996, as amended at 61
casualty but does not cause reportable FR 59371, Nov. 22, 1996; 61 FR 67490, Dec. 23,
damage above the current threshold es- 1996; 68 FR 10136, Mar. 3, 2003; 75 FR 68903,
tablished for train accidents. Nov. 9, 2010; 76 FR 30863, May 27, 2011]
Work environment means the estab-
lishment and other locations where one § 225.6 Consolidated reporting.
or more railroad employees are work- A parent corporation may request in
ing or present as a condition of their writing that FRA treat its commonly
employment. The work environment controlled railroad carriers, which op-
includes not only physical locations, erate as a single, seamless, integrated
but also the equipment or materials United States rail system, as a single
processed or used by an employee dur- railroad carrier for purposes of this
ing the course of his or her work, and part.
activities of a railroad employee asso- (a) The written request must include
ciated with his or her work, whether on the following:
or off the railroad’s property. (1) A list of the subsidiary railroads
Work-related means related to an controlled by the parent corporation;
event or exposure occurring within the and
work environment. An injury or illness (2) An explanation as to how the sub-
is presumed work-related if an event or sidiary railroads operate as a single,
exposure occurring in the work envi- seamless, integrated United States
ronment is a discernable cause of the railroad system.
resulting condition or a discernable (b) The request must be sent to the
cause of a significant aggravation to a FRA Docket Clerk, Federal Railroad
pre-existing injury or illness. The caus- Administration, U.S. Department of
al event or exposure need not be pecu- Transportation, RCC–10, Mail Stop 10,
liarly occupational so long as it occurs West Building 3rd Floor, Room W31–
at work. For example, a causal event 109, 1200 New Jersey Avenue, SE.,
or exposure may be outside the em- Washington, DC 20590. Each request re-
ployer’s control, such as a lightning ceived shall be acknowledged in writ-
strike; involve activities that occur at ing. The acknowledgment shall contain
work but are not directly productive, the docket number assigned to the re-
such as horseplay; or involve activities quest and state the date the request
that are not peculiar to work, such as was received.
walking on a level floor, bending down, (c) FRA will notify the applicant par-
climbing stairs or sneezing. Such ac- ent corporation of the agency’s deci-
tivities, along with other normal body sion within 90 days of receipt of the ap-
movements, are considered events. So plication.
long as the event or exposure occurred (d) If FRA approves the request, the
at work and is a discernable cause of parent corporation must enter into a
the injury or illness, the injury or ill- written agreement with FRA speci-
ness is work-related. It does not matter fying which subsidiaries are included in
whether there are other or bigger its railroad system, agreeing to assume
causes as well, or that the activity at responsibility for compliance with this
work is no different from actions per- part for all named subsidiaries making
formed outside work. If an injury is up the system, and consenting to guar-
within the presumption of work-relat- antee any monetary penalty assess-
edness, the employer can rebut work- ments or other liabilities owed to the
relatedness only by showing that the United States government that are in-
case falls within an exception listed in curred by the named subsidiaries for
§ 225.15. In cases where it is not obvious violating Federal accident/incident re-
whether a precipitating event or expo- porting requirements. Any change in
383
§ 225.7 49 CFR Ch. II (10–1–11 Edition)
the subsidiaries making up the railroad § 225.9 Telephonic reports of certain

system requires immediate notifica- accidents/incidents and other
tion to FRA and execution of an events.
amended agreement. Executed agree- (a) Types of accidents/incidents and
ments will be published in the docket. other events to be reported—(1) Certain
[75 FR 68905, Nov. 9, 2010] deaths or injuries. Each railroad must
report immediately, as prescribed in
§ 225.7 Public examination and use of paragraphs (b) through (d) of this sec-
reports. tion, whenever it learns of the occur-
rence of an accident/incident arising
(a) Accident/Incident reports made by
from the operation of the railroad, or
railroads in compliance with these
an event or exposure that may have
rules shall be available to the public in
arisen from the operation of the rail-
the manner prescribed by part 7 of this
road, that results in the—
title. Accident/Incident reports may be
(i) Death of a rail passenger or a rail-
inspected at the U.S. Department of
road employee;
Transportation, Federal Railroad Ad-
ministration, Office of Safety, West (ii) Death of an employee of a con-
Building 3rd Floor, 1200 New Jersey Av- tractor to a railroad performing work
enue, SE., Washington, DC 20590. Writ- for the railroad on property owned,
ten requests for a copy of a report leased, or maintained by the con-
should be addressed to the Freedom of tracting railroad; or
Information Act Coordinator, Office of (iii) Death or injury of five or more
Chief Counsel, Federal Railroad Ad- persons.
ministration, U.S. Department of (2) Certain train accidents or train inci-
Transportation, RCC–10, Mail Stop 10, dents. Each railroad must report imme-
West Building 3rd Floor, Room W33– diately, as prescribed in paragraphs (b)
437, 1200 New Jersey Avenue, SE., through (d) of this section, whenever it
Washington, DC 20590, and be accom- learns of the occurrence of any of the
panied by the appropriate fee pre- following events that arose from the
scribed in part 7 of this title. To facili- operation of the railroad:
tate expedited handling, each request (i) A train accident that results in se-
should be clearly marked ‘‘FOIA Re- rious injury to two or more train crew-
quest for Accident/Incident Report.’’ members or passengers requiring their
For additional information on submit- admission to a hospital;
ting a FOIA request to FRA see FRA’s (ii) A train accident resulting in
Web site at http://www.fra.dot.gov/us/ evacuation of a passenger train;
foia. (iii) A fatality resulting from a train
(b) 49 U.S.C. 20903 provides that accident or train incident at a high-
monthly reports filed by railroads way-rail grade crossing when death oc-
under § 225.11 may not be admitted as curs within 24 hours of the accident/in-
evidence or used for any purpose in any cident;
action for damages growing out of any (iv) A train accident resulting in
matters mentioned in these monthly damage (based on a preliminary gross
reports. The Employee Human Factor estimate) of $150,000 or more to rail-
Attachment, Notice, and Employee road and nonrailroad property; or
Supplement under § 225.12 are part of (v) A train accident resulting in dam-
the reporting railroad’s accident report age of $25,000 or more to a passenger
to FRA pursuant to the 49 U.S.C. 20901 train, including railroad and nonrail-
and, as such, shall not ‘‘be admitted as road property.
evidence or used for any purpose in any (3) Train accidents on or fouling pas-
suit or action for damages growing out senger service main lines. The dis-
of any matter mentioned in said report patching railroad must report imme-
* * *.’’ 49 U.S.C. 20903. diately, as prescribed in paragraphs (b)
through (d) of this section, whenever it
FR 47019, Dec. 30, 1986; 53 FR 28601, July 28, learns of the occurrence of any train
1988; 55 FR 37827, Sept. 13, 1990; 55 FR 52487, accident reportable as a rail equipment
Dec. 21, 1990; 61 FR 30969, June 18, 1996; 75 FR accident/incident under §§ 225.11 and
68905, Nov. 9, 2010] 225.19(c)—
384
(i) That involves a collision or derail- § 225.11 Reporting of accidents/inci-

ment on a main line that is used for dents.
scheduled passenger service; or (a) Each railroad subject to this part
(ii) That fouls a main line used for shall submit to FRA a monthly report
scheduled passenger service. of all railroad accidents/incidents de-
(b) Method of reporting. (1) Telephonic scribed below:
reports required by this section shall (1) Highway-rail grade crossing acci-
be made by toll-free telephone to the dents/incidents described in § 225.19;
National Response Center, Area Code (2) Rail equipment accidents/inci-
800–424–8802 or 800–424–0201. dents described in § 225.19; and
(2) Through one of the same tele-
(3) Death, injury and occupational
phone numbers (800–424–0201), the Na-
illness accidents/incidents described in
tional Response Center (NRC) also re-
§ 225.19.
ceives notifications of rail accidents
(b) The report shall be made on the
for the National Transportation Safety
forms prescribed in § 225.21 in hard copy
Board (49 CFR part 840) and the Re-
or, alternatively, by means of optical
search and Special Programs Adminis-
media or electronic submission via the
tration of the U.S. Department of
Internet, as prescribed in § 225.37, and
Transportation (Hazardous Materials
shall be submitted within 30 days after
Regulations, 49 CFR 171.15). FRA Loco-
expiration of the month during which
motive Safety Standards require cer-
the accidents/incidents occurred. Re-
tain locomotive accidents to be re-
ports shall be completed as required by
ported by telephone to the NRC at the
the current FRA Guide. A copy of the
same toll-free number (800–424–0201). 49
FRA Guide may be obtained from the
CFR 229.17.
U.S. Department of Transportation,
(c) Contents of report. Each report
Federal Railroad Administration, Of-
must state the:
fice of Safety Analysis, RRS–22, Mail
(1) Name of the railroad; Stop 25 West Building 3rd Floor, Room
(2) Name, title, and telephone num- W33–107, 1200 New Jersey Avenue, SE.,
ber of the individual making the re- Washington, DC 20590 or downloaded
port; from FRA’s Office of Safety Analysis
(3) Time, date, and location of the ac- Web site at http://safetydata.fra.dot.gov/
cident/incident; officeofsafety/, and click on ‘‘Click Here
(4) Circumstances of the accident/infor Changes in Railroad Accident/Inci-
cident; dent Recordkeeping and Reporting.’’
(5) Number of persons killed or in-
jured; and [75 FR 68905, Nov. 9, 2010]
(6) Available estimates of railroad
§ 225.12 Rail Equipment Accident/Inci-
and non-railroad property damage. dent Reports alleging employee
(d) Timing of report. (1) To the extent human factor as cause; Employee
that the necessity to report an acci- Human Factor Attachment; notice
dent/incident depends upon a deter- to employee; employee supplement.
mination of fact or an estimate of (a) Rail Equipment Accident/Incident
property damage, a report will be con- Report alleging employee human factor as
sidered immediate if made as soon as cause; completion of Employee Human
possible following the time that the de- Factor Attachment. If, in reporting a
termination or estimate is made, or rail equipment accident/incident to
could reasonably have been made, FRA, a railroad cites an employee
whichever comes first, taking into con- human factor as the primary cause or a
sideration the health and safety of contributing cause of the accident;
those affected by the accident/incident, then the railroad that cited such em-
including actions to protect the envi- ployee human factor must complete, in
ronment. accordance with instructions on the
(2) NTSB has other specific require- form and in the current ‘‘FRA Guide
ments regarding the timeliness of re- for Preparing Accident/Incident Re-
porting. See 49 CFR part 840. ports,’’ an Employee Human Factor At-
[68 FR 10138, Mar. 3, 2003, as amended at 75 tachment form on the accident. For
FR 68905, Nov. 9, 2010] purposes of this section, ‘‘employee’’ is
385
§ 225.12 49 CFR Ch. II (10–1–11 Edition)
defined as a Worker on Duty—Em- ably identified by the alleging railroad,

ployee, Employee not on Duty, Worker if requested by the alleging railroad.
on Duty—Contractor, or Worker on (d) Late identification. Except as pro-
Duty—Volunteer. vided in paragraphs (e) and (f) of this
(b) Notice to identified implicated em- section, if a railroad is initially unable
ployees. Except as provided in para- to identify a particular railroad em-
graphs (e) and (f) of this section, for ployee whose act, omission, or physical
each employee whose act, omission, or condition was cited by the railroad as a
physical condition was alleged by the primary or contributing cause of the
railroad as the employee human factor accident, but subsequently makes such
that was the primary cause or a con- identification, the railroad shall sub-
tributing cause of a rail equipment ac- mit a revised Employee Human Factor
cident/incident and whose name was Attachment to FRA immediately, and
listed in the Employee Human Factor shall submit the Notice described in
Attachment for the accident and for paragraph (b) of this section to that
each such railroad employee of whose
employee within 15 days of when the
identity the railroad has actual knowl-
revised report is to be submitted.
edge, the alleging railroad shall—
(e) Deferred notification on medical
(1) Complete part I, ‘‘Notice to Rail-
grounds. The reporting railroad has
road Employee Involved in Rail Equip-
ment Accident/Incident Attributed to reasonable discretion to defer notifica-
Employee Human Factor,’’ of Form tion of implicated employees on med-
FRA F 6180.78 with information regard- ical grounds.
ing the accident, in accordance with in- (f) Implicated employees who have died
structions on the form and in the cur- by the time that the Notice is ready to be
rent ‘‘FRA Guide for Preparing Acci- sent. (1) If an implicated employee has
dent/Incident Reports’’; and died as a result of the accident, a No-
(2) Hand deliver or send by first class tice under paragraph (b) addressed to
mail (postage prepaid) to that em- that employee must not be sent to any
ployee, within 45 days after the end of person.
the month in which the rail equipment (2) If an implicated employee has
accident/incident occurred— died of whatever causes by the time
(i) A copy of Form FRA F 6180.78, that the Notice is ready to be sent, no
‘‘Notice to Railroad Employee Involved Notice addressed to that employee is
in Rail Equipment Accident/Incident required.
Attributed to Employee Human Fac- (g) Employee Statement Supplementing
tor; Employee Statement Railroad Accident Report (Supplements or
Supplementing Railroad Accident Re- Employee Supplements). (1) Employee
port,’’ with part I completed as to the Statements Supplementing Railroad
applicable employee and accident; Accident Reports are voluntary, not
(ii) A copy of the railroad’s Rail mandatory; nonsubmission of a Supple-
Equipment Accident/Incident Report ment does not imply that the employee
and Employee Human Factor Attach- admits or endorses the railroad’s con-
ment on the rail equipment accident/ clusions as to cause or any other alle-
incident involved; and gations.
(iii) If the accident was also report- (2) Although a Supplement is com-
able as a highway-rail grade crossing pletely optional and not required, if an
accident/incident, a copy of the rail- employee wishes to submit a Supple-
road’s Highway-Rail Grade Crossing ment and assure that, after receipt, it
Accident/Incident Report on that acci-
will be properly placed by FRA in a file
dent.
with the railroad’s Rail Equipment Ac-
(c) Joint operations. If a reporting rail-
cident/Incident Report and that it will
road makes allegations under para-
be required to be reviewed by the rail-
graph (a) of this section concerning the
employee of another railroad, the em- road that issued the Notice, the Sup-
ploying railroad must promptly pro- plement must be made on part II of
vide the name, job title, address, and Form FRA F 6180.78 (entitled ‘‘Notice
medical status of any employee reason- to Railroad Employee Involved in Rail
386
Equipment Accident/Incident Attrib- years’’ imprisonment, or both, under 49

uted to Employee Human Factor; Em- U.S.C. 21311.
ployee Statement Supplementing Rail- [55 FR 37827, Sept. 13, 1990; 55 FR 39538, Sept.
road Accident Report’’), following the 27, 1990, as amended at 61 FR 30969, 30973,
instructions printed on the form. These June 18, 1996; 75 FR 68905, Nov. 9, 2010]
instructions require that, within 35
days of the date that the Notice was § 225.13 Late reports.
hand delivered or sent by first class Whenever a railroad discovers that a
mail (postage prepaid) to the employee report of an accident/incident, through
(except for good cause shown), the mistake or otherwise, has been improp-
original of the Supplement be filed erly omitted from or improperly re-
with FRA and a copy be hand delivered ported on its regular monthly accident/
or sent by first class mail (postage pre- incident report, a report covering this
paid) to the railroad that issued the accident/incident together with a letter
Notice so that the railroad will have an of explanation must be submitted im-
opportunity to reassess its reports to mediately. Whenever a railroad re-
FRA concerning the accident. ceives a partially or fully completed
(3) Information that the employee Employee Statement Supplementing
wishes to withhold from the railroad Railroad Accident Report (part II of
must not be included in this Supple- Form FRA F 6180.78), in response to a
ment. If an employee wishes to provide Notice to Railroad Employee (part I of
confidential information to FRA, the Form FRA F 6180.78) issued by the rail-
employee should not use the Supple- road and mailed or hand delivered to
ment form (part II of Form FRA F the employee, the railroad must
6180.78, ‘‘Notice to Railroad Employee promptly review that Supplement;
Involved in Rail Equipment Accident/ based on that review, reassess the ac-
Incident Attributed to Employee curacy and validity of the railroad’s
Human Factor; Employee Statement Rail Equipment Accident/Incident Re-
Supplementing Railroad Accident Re- port and of any other reports and
records required by this part con-
port’’), but rather provide such con-
cerning the same accident, including
fidential information by other means,
the Employee Human Factor Attach-
such as a letter to the employee’s col-
ment; make all justified revisions to
lective bargaining representative, or to
each of those reports and records; sub-
the U.S. Department of Transpor- mit any amended reports to FRA; and
tation, Federal Railroad Administra- submit a copy of any amended Rail
tion, Office of Safety Analysis, RRS–22, Equipment Accident/Incident Report,
Mail Stop 25 West Building 3rd Floor, Employee Human Factor Attachment,
Room W 33–306, 1200 New Jersey Ave- and Highway-Rail Grade Crossing Acci-
nue, SE., Washington, DC 20590. The dent/Incident Report on the accident to
letter should include the name of the the employee. A second notice under
railroad making the allegations, the § 225.12 is not required for the em-
date and place of the accident, and the ployee. If an employee who was never
rail equipment accident/incident num- sent a notice under § 225.12 for that ac-
ber. cident is implicated in the revised Em-
(h) Willful false statements; penalties. If ployee Human Factor Attachment, the
an employee chooses to submit a Sup- railroad must follow the procedures of
plement to FRA, all of the employee’s § 225.12(d).
assertions in the Supplement must be
true and correct to the best of the em- FR 37828, Sept. 13, 1990; 61 FR 30973, June 18,
ployee’s knowledge and belief. 1996]
(1) Under 49 U.S.C. 21301, 21302, and
21304, any person who willfully files a § 225.15 Accidents/incidents not to be
false Supplement with FRA is subject reported.
to a civil penalty. See appendix A to The following accidents/incidents are
this part. not reportable:
(2) Any person who knowingly and (a) With respect to persons other than
willfully files a false Supplement is railroad employees. A railroad is not to
subject to a $5,000 fine, or up to two report injuries that occur at highway-
387
§ 225.15 49 CFR Ch. II (10–1–11 Edition)
rail grade crossings that do not involve or preparing food or drink for personal
the presence or operation of on-track consumption. However, if the employee
equipment, or the presence of railroad is made ill by ingesting food contami-
employees then engaged in the oper- nated by workplace contaminants
ation of a railroad; (such as lead), or gets food poisoning
(b) With respect to railroad employees from food supplied by the employer,
on duty. A railroad is not to report the the case would be considered work-re-
following injuries to or illnesses of a lated and reported as either a Worker
railroad employee as Worker on Duty— on Duty—Employee (Class A) or Em-
Employee (Class A), if any of the condi- ployee Not on Duty (Class B) depending
tions in this paragraph (b) are met. on the employees duty status;
(These exceptions apply only to Worker (4) The injury or illness is solely the
on Duty—Employee (Class A) and do result of an employee doing personal
not affect a railroad’s obligation to re- tasks (unrelated to their employment)
port these injuries and illnesses as at the establishment outside of the em-
other types of persons (Employee Not ployee’s assigned working hours;
On Duty (Class B); Passenger on Trains (5) The injury or illness is solely the
(Class C); Nontrespassers-On Railroad result of personal grooming, self medi-
Property (Class D); Trespassers (Class cation for a non-work-related condi-
E)), or a railroad’s obligation to main- tion, or is intentionally self-inflicted
tain a ‘‘Railroad Employee Injury/Ill- (except that for FRA reporting pur-
ness Record’’ (Form FRA F 6180.98 or poses a railroad shall not exclude an
alternative railroad-designed form)). accountable or reportable injury or ill-
(1) The injury or illness occurred in ness that is the result of a suicide or
or about living quarters and an event attempted suicide);
or exposure not arising from the oper-
(6) The illness is the common cold or
ation of a railroad was the cause;
flu (Note: contagious diseases such as
(2) At the time of the injury or ill-
tuberculosis, brucellosis, hepatitis A,
ness, the employee was present in the
or plague are considered work-related
work environment as a member of the
if the employee is infected at work); or
general public rather than as an em-
ployee; or (7) The illness is a mental illness.
(3) The injury or illness is caused by Mental illness will not be considered
a motor vehicle accident and occurs on work-related unless the employee vol-
a company parking lot or company ac- untarily provides the employer with an
cess road while the employee is com- opinion from a physician or other li-
muting to or from work. censed health care professional with
(c) With respect to railroad employees appropriate training and experience
on or off duty. A railroad is not to re- (psychiatrist, psychologist, psychiatric
port the following injuries to or ill- nurse practitioner, etc.) stating that
nesses of a railroad employee, Worker the employee has a mental illness that
on Duty—Employee (Class A) or Em- is work-related.
ployee Not on Duty (Class B), if any of (d) With respect to contractors and vol-
the following conditions in this para- unteers. A railroad is not to report inju-
graph (c) are met: ries to contractors and volunteers that
(1) The injury or illness involves are listed in paragraphs (b) and (c) of
signs or symptoms that surface at this section. For purposes of this para-
work but result solely from a non- graph only, an exception listed in para-
work-related event or exposure that oc- graphs (b) and (c) referencing ‘‘work
curs outside the work environment; environment’’ is construed to mean for
(2) The injury or illness results solely contractors and volunteers only, on
from voluntary participation in a property owned, leased, operated over
wellness program or in a medical, fit- or maintained by the railroad.
ness, or recreational activity such as (e) With respect to rail equipment acci-
blood donation, physical examination, dents/incidents. A railroad is not to re-
flu shot, exercise class, racquetball, or port rail equipment accidents/incidents
baseball; if the conditions in this paragraph are
(3) The injury or illness is solely the met. (This exception does not affect a
result of an employee eating, drinking, railroad’s obligation to maintain
388
records of accidents/incidents as re- § 225.18 Alcohol or drug involvement.

quired by § 225.25 (Form FRA F 6180.97, (a) In preparing Form FRA F 6180.54,
‘‘Initial Rail Equipment Accident/Inci- ‘‘Rail Equipment Accident/Incident Re-
dent Record’’)). port,’’ under this part, the railroad
(1) Cars derailed on industry tracks shall make such specific inquiry as
by non-railroad employees or non-rail- may be reasonable under the cir-
road employee vandalism, providing cumstances into the possible involve-
there is no involvement of railroad em- ment of alcohol or drug use or impair-
ployees; and ment in such accident or incident. If
(2) Damage to out of service cars re- the railroad comes into possession of
sulting from high water or flooding any information whatsoever, whether
(e.g., empties placed on a storage or re- or not confirmed, concerning alleged
pair track). This exception does not alcohol or drug use or impairment by
apply if such cars are placed into a an employee who was involved in, or
moving consist and as a result of this arguably could be said to have been in-
damage a reportable rail equipment ac- volved in, the accident/incident, the
cident results. railroad shall report such alleged use
or impairment as provided in the cur-
[75 FR 68906, Nov. 9, 2010]
rent FRA Guide. If the railroad is in
§ 225.17 Doubtful cases; alcohol or possession of such information but does
drug involvement. not believe that alcohol or drug im-
pairment was the primary or contrib-
(a) The reporting officer of a railroad uting cause of the accident/incident,
will ordinarily determine the report- then the railroad shall include in the
ability or nonreportability of an acci- narrative statement of such report a
dent/incident after examining all evi- brief explanation of the basis of such
dence available. The FRA, however, determination.
cannot delegate authority to decide (b) For any train accident within the
matters of judgment when facts are in requirement for post-accident testing
dispute. In all such cases the decision under § 219.201 of this chapter, the rail-
shall be that of the FRA. road shall append to the Form FRA F
(b) Even though there may be no wit- 6180.54, ‘‘Rail Equipment Accident/Inci-
ness to an accident/incident, if there is dent Report,’’ any report required by 49
evidence indicating that a reportable CFR 219.209(b) (pertaining to failure to
accident/incident may have occurred, a obtain samples for post-accident toxi-
report of that accident/incident must cological testing).
be made. (c) For any train or non-train inci-
(c) All accidents/incidents reported dent, the railroad shall provide any
as ‘‘claimed but not admitted by the available information concerning the
railroad’’ are given special examina- possible involvement of alcohol or drug
tion by the FRA, and further inquiry use or impairment in such accident or
may be ordered. Accidents/incidents incident.
accepted as reportable are tabulated (d) In providing information required
and included in the various statistical by this section, a railroad shall not dis-
statements issued by the FRA. The de- close any information concerning use
nial of any knowledge or refusal to of controlled substances determined by
admit responsibility by the railroad the railroad’s Medical Review Officer
does not exclude those accidents/inci- to have been consistent with 49 CFR
dents from monthly and annual fig- 219.103.
ures. Facts stated by a railroad that [75 FR 68906, Nov. 9, 2010]
tend to refute the claim of an injured
person are given consideration, and § 225.19 Primary groups of accidents/
when the facts seem sufficient to sup- incidents.
port the railroad’s position, the case is (a) For reporting purposes reportable
not allocated to the reporting railroad. railroad accidents/incidents are divided
into three groups:
FR 31579, Aug. 2, 1985; 54 FR 53279, Dec. 27, Group I—Highway-Rail Grade Crossing;
1989; 75 FR 68906, Nov. 9, 2010] Group II—Rail Equipment;
389
§ 225.19 49 CFR Ch. II (10–1–11 Edition)
Group III—Death, Injury and Occupational a railroad is a discernable cause of the
Illness. resulting condition or a discernable
(b) Group I—Highway-rail grade cross- cause of a significant aggravation to a
ing. Each highway-rail grade crossing pre-existing injury or illness. The
accident/incident must be reported to event or exposure arising from the op-
the FRA on Form FRA F 6180.57, re- eration of a railroad need only be one
gardless of the extent of damages or of the discernable causes; it need not
whether a casualty occurred. In addi- be the sole or predominant cause. The
tion, whenever a highway-rail grade general injury/illness reporting criteria
crossing accident/incident results in are as follows:
damages greater than the current re- (1) Death to any person;
porting threshold to railroad on-track (2) Injury to any person that results
equipment, signals, track, track struc- in:
tures, or roadbed, that accident/inci- (i) Medical treatment;
dent shall be reported to the FRA on (ii) Significant injury diagnosed by a
Form FRA F 6180.54. For reporting pur- physician or other licensed health care
poses, damages include labor costs and professional even if it does not result
all other costs to repair or replace in in death, medical treatment or loss of
kind damaged on-track equipment, sig- consciousness of any person; or
nals, track, track structures, or road-
(iii) Loss of consciousness;
bed, but do not include the cost of
clearing a wreck. (3) Injury to a railroad employee that
(c) Group II—Rail equipment. Rail results in:
equipment accidents/incidents are col- (i) A day away from work;
lisions, derailments, fires, explosions, (ii) Restricted work activity or job
acts of God, and other events involving transfer; or
the operation of on-track equipment (iii) Significant injury diagnosed by a
(standing or moving) that result in physician or other licensed health care
damages higher than the current re- professional even if it does not result
porting threshold (i.e., $6,700 for cal- in death, medical treatment, loss of
endar years 2002 through 2005, $7,700 for consciousness, a day away from work,
calendar year 2006, $8,200 for calendar restricted work activity or job transfer
year 2007, $8,500 for calendar year 2008, of a railroad employee;
$8,900 for calendar year 2009, $9,200 for (4) Occupational illness of a railroad
calendar year 2010 and $9,400 for cal- employee that results in:
endar year 2011) to railroad on-track (i) A day away from work;
equipment, signals, tracks, track (ii) Restricted work activity or job
structures, or roadbed, including labor transfer;
costs and the costs for acquiring new (iii) Loss of consciousness; or
equipment and material. If the prop- (iv) Medical treatment;
erty of more than one railroad is in-
(5) Significant illness of a railroad
volved in an accident/incident, the re-
employee diagnosed by a physician or
porting threshold is calculated by in-
other licensed health care professional
cluding the damages suffered by all of
even if it does not result in death, a
the railroads involved. See § 225.23,
day away from work, restricted work
Joint Operations. The reporting
activity or job transfer, medical treat-
threshold will be reviewed periodically,
ment, or loss of consciousness;
and, if necessary, will be adjusted
(6) Illness or injury that:
every year.
(d) Group III—Death, injury, or occu- (i) Meets the application of any of
pational illness. Each death, injury, or the following specific case criteria:
occupational illness that is a new case (A) Needlestick or sharps injury to a
and meets the general reporting cri- railroad employee;
teria listed in paragraphs (d)(1) (B) Medical removal of a railroad em-
through (6) of this section shall be re- ployee;
ported to FRA on Form FRA F 6180.55a, (C) Occupational hearing loss of a
‘‘Railroad Injury and Illness Summary railroad employee;
(Continuation Sheet)’’ if an event or (D) Occupational tuberculosis of a
exposure arising from the operation of railroad employee;
390
(E) Musculoskeletal disorder of a verification, made by the proper officer

railroad employee if this disorder is re- of the reporting railroad, as provided
portable under one or more of the gen- for attestation on the form. If no re-
eral reporting criteria; or portable accident/incident occurred
(ii) Is a covered data case. during the month, that fact must be
(e) The reporting threshold is $6,700 stated on this form. All railroads sub-
for calendar years 2002 through 2005, ject to this part, shall show on this
$7,700 for calendar year 2006, $8,200 for form the total number of freight train
calendar year 2007, $8,500 for calendar miles, passenger train miles, yard
year 2008, $8,900 for calendar year 2009, switching train miles, and other train
$9,200 for calendar year 2010 and $9,400 miles run during the month.
for calendar year 2011. The procedure (c) Form FRA 6180.55a—Railroad Injury
for determining the reporting thresh- and Illness (Continuation Sheet). Form
old for calendar years 2006 and beyond FRA 6180.55a shall be used to report all
appears as paragraphs 1–8 of appendix B reportable fatalities, injuries and occu-
to part 225. pational illnesses that occurred during
the preceding month.
(Secs. 11144 and 11145, Subtitle IV of Title 49
(49 U.S.C. 11144 and 11145); secs. 1 and 6, Acci- (d) Form FRA 6180.56—Annual Railroad
dent Reports Act (45 U.S.C. 431 and 437); sec. Report of Manhours by State. Form FRA
6(e) and (f), Department of Transportation 6180.56 shall be submitted as part of the
Act (49 U.S.C. 1655(e) and (f)); sec. 1.49(g) and monthly Railroad Injury and Illness
(m), regulations of the Office of the Sec- Summary (Form FRA F 6180.55) for the
retary of Transportation (49 CFR 1.49(g) and month of December of each year.
(m)) (e) Form FRA F 6180.57—Highway-Rail
[39 FR 43224, Dec. 11, 1974] Grade Crossing Accident/Incident Report.
EDITORIAL NOTE: For FEDERAL REGISTER ci- Form FRA F 6180.57 shall be used to re-
tations affecting § 225.19, see the List of CFR port each highway-rail grade crossing
Sections Affected, which appears in the accident/incident which occurred dur-
Finding Aids section of the printed volume ing the preceding month.
and at www.fdsys.gov. (f) Form FRA F 6180.81—Employee
Human Factor Attachment. Form FRA F
§ 225.21 Forms. 6180.81 shall be used by railroads, as a
The following forms and copies of the supplement to the Rail Equipment Ac-
‘‘FRA Guide for Preparing Accident/In- cident/Incident Report (Form FRA F
cident Reports’’ may be obtained from 6180.54), in reporting rail equipment ac-
the U.S. Department of Transpor- cidents/incidents that they attribute to
tation, Federal Railroad Administra- an employee human factor. This form
tion, Office of Safety Analysis, RRS–22, shall be completed in accordance with
Mail Stop 25 West Building 3rd Floor, instructions printed on the form and in
Room W33–107, 1200 New Jersey Avenue, the current ‘‘FRA Guide for Preparing
SE., Washington, DC 20590 or Accident/Incident Reports.’’ The form
downloaded from FRA’s Office of Safe- shall be attached to the Rail Equip-
ty Analysis Web site at http:// ment Accident/Incident Report and
safetydata.fra.dot.gov/officeofsafety/, and shall be submitted within 30 days after
click on ‘‘Click Here for Changes in expiration of the month in which the
Railroad Accident/Incident Record- accident/incident occurred.
keeping and Reporting.’’ (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
391
§ 225.23 49 CFR Ch. II (10–1–11 Edition)
Form FRA F 6180.78 to notify each such with the requirements set forth in
employee identified that the railroad § 225.25 and § 225.27.
has made such allegation and that the (k) Form FRA F 6180.150—Highway
employee has the right to submit a User Injury Inquiry Form.—Form FRA F
statement to FRA. The railroad shall 6180.150 shall be sent to every poten-
then submit the entire form, parts I tially injured highway user, or their
and II, to the employee. The Employee representative, involved in a highway-
Statement Supplementing Railroad rail grade crossing accident/incident. If
Accident Report (Employee Supple- a highway user died as a result of the
ment) is completely at the option of highway-rail grade crossing accident/
the employee; however, if the employee incident, a railroad must not send this
desires to make a statement about the form to any person. The railroad shall
accident that will become part of the hand deliver or send by first class mail
railroad’s Rail Equipment Accident/In- the letter within a reasonable time pe-
cident Report, the employee shall com- riod following the date of the highway-
plete the Employee Supplement form rail grade crossing accident/incident.
(part II of Form FRA F 6180.78) and The form shall be sent along with a
shall then submit the original of the cover letter and a prepaid preaddressed
entire form, parts I and II, and any at- return envelope. The form and cover
tachments, to FRA and submit a copy letter shall be completed in accordance
of the same to the railroad that issued with instructions contained in the cur-
the Notice in part I. rent ‘‘FRA Guide for Preparing Acci-
(h) Form FRA F 6180.98—Railroad Em- dent/Incident Reports.’’ Any response
ployee Injury and/or Illness Record. Form from a highway user is voluntary and
FRA F 6180.98 or an alternative rail- not mandatory. A railroad shall use
road-designed record shall be used by any response from a highway user to
the railroads to record all reportable comply with part 225’s accident/inci-
and accountable injuries and illnesses
dent reporting and recording require-
to railroad employees for each estab-
ments.
lishment. This record shall be com-
pleted and maintained in accordance [39 FR 43224, Dec. 11, 1974, as amended at 42
with the requirements set forth in FR 1221, Jan. 6, 1977; 49 FR 48939, Dec. 17,
§ 225.25. 1984; 55 FR 37828, Sept. 13, 1990; 61 FR 30969,
(i) Form FRA F 6180.97—Initial Rail 30973, June 18, 1996; 68 FR 10138, Mar. 3, 2003;
75 FR 68907, Nov. 9, 2010]
Equipment Accident/Incident Record.
Form FRA F 6180.97 or an alternative § 225.23 Joint operations.
railroad-designed record shall be used
by the railroads to record all report- (a) Any reportable death, injury, or
able and accountable rail equipment illness of an employee arising from an
accidents/incidents for each establish- accident/incident involving joint oper-
ment. This record shall be completed ations must be reported on Form FRA
and maintained in accordance with the F 6180.55a by the employing railroad.
requirements set forth in § 225.25. (b) In all cases involving joint oper-
(j) Form FRA F 6180.107—Alternative ations, each railroad must report on
Record for Illnesses Claimed to be Work- Form FRA F 6180.55a the casualties to
Related. Form FRA F 6180.107 or an al- all persons on its train or other on-
ternative railroad-designed record may track equipment. Casualties to railroad
be used by a railroad in lieu of Form employees must be reported by the em-
FRA F 6180.98, ‘‘Railroad Employee In- ploying railroad regardless of whether
jury and/or Illness Record’’ (described the employees were on or off duty. Cas-
in paragraph (h) of this section), to ualties to all other persons not on
record each illness claimed by an em- trains or on-track equipment must be
ployee to be work-related that is re- reported on Form FRA F 6180.55a by
ported to the railroad for which there the railroad whose train or equipment
is insufficient information for the rail- is involved. Any person found uncon-
road to determine whether the illness scious or dead, if such condition arose
is work-related. This record shall be from the operation of a railroad, on or
completed and retained in accordance adjacent to the premises or right-of-
392
way of the railroad having track main- (4) Date of birth of railroad em-
tenance responsibility must be re- ployee;
ported by that railroad on Form FRA F (5) Gender of railroad employee;
6180.55a. (6) Employee identification number;
(c) In rail equipment accident/inci- (7) Date the railroad employee was
dent cases involving joint operations, hired;
the railroad responsible for carrying (8) Home address of railroad em-
out repairs to, and maintenance of, the ployee; include the street address, city,
track on which the accident/incident State, ZIP code, and home telephone
occurred, and any other railroad di- number with area code;
rectly involved in the accident/inci- (9) Name of facility where railroad
dent, each must report the accident/in- employee normally reports to work;
cident on Form FRA F 6180.54. (10) Address of facility where railroad
[39 FR 43224, Dec. 11, 1974, as amended at 42 employee normally reports to work; in-
FR 1221, Jan. 6, 1977; 68 FR 10138, Mar. 3, 2003] clude the street address, city, State,
and ZIP code;
§ 225.25 Recordkeeping. (11) Job title of railroad employee;
(a) Each railroad shall maintain ei- (12) Department assigned;
ther the Railroad Employee Injury and/ (13) Specific site where accident/inci-
or Illness Record (Form FRA F 6180.98) dent/exposure occurred; include the
or an alternative railroad-designed city, county, State, and ZIP code;
record as described in paragraph (b) of (14) Date and time of occurrence;
this section of all reportable and ac- military time or AM/PM;
countable injuries and illnesses of its (15) Time employee’s shift began;
employees for each railroad establish- military time or AM/PM;
ment where such employees report to (16) Whether employee was on prem-
work, including, but not limited to, an ises when injury, illness, or condition
operating division, general office, and occurred;
major installation such as a loco- (17) Whether employee was on or off
motive or car repair or construction fa- duty;
cility. (18) Date and time when employee
(b) The alternative railroad-designed notified company personnel of condi-
record may be used in lieu of the Rail- tion; military time or AM/PM;
road Employee Injury and/or Illness (19) Name and title of railroad offi-
Record (Form FRA F 6180.98) described cial notified;
in paragraph (a) of this section. Any (20) Description of the general activ-
such alternative record shall contain ity this employee was engaged in prior
all of the information required on the to the injury/illness/condition;
Railroad Employee Injury and/or Ill- (21) Description of all factors associ-
ness Record. Although this information ated with the case that are pertinent
may be displayed in a different order to an understanding of how it occurred.
from that on the Railroad Employee Include a discussion of the sequence of
Injury and/or Illness Record, the order events leading up to it; and the tools,
of the information shall be consistent machinery, processes, material, envi-
from one such record to another such ronmental conditions, etc., involved;
record. The order chosen by the rail- (22) Description, in detail, of the in-
road shall be consistent for each of the jury/illness/condition that the em-
railroad’’s reporting establishments. ployee sustained, including the body
Railroads may list additional informa- parts affected. If a recurrence, list the
tion on the alternative record beyond date of the last occurrence;
the information required on the Rail- (23) Identification of all persons and
road Employee Injury and/or Illness organizations used to evaluate or treat
Record. The alternative record shall the condition, or both. Include the fa-
contain, at a minimum, the following cility, provider and complete address;
information: (24) Description of all procedures,
(1) Name of railroad; medications, therapy, etc., used or rec-
(2) Case/incident number; ommended for the treatment of the
(3) Full name of railroad employee; condition.
393
§ 225.25 49 CFR Ch. II (10–1–11 Edition)
(25) Extent and outcome of injury or quired to be maintained or filed under

illness to show the following as appli- this part pertaining to that employee’s
cable: own work-related injury or illness.
(i) Fatality—enter date of death; (d) Each railroad shall maintain the
(ii) Restricted work; number of days; Initial Rail Equipment Accident/Inci-
beginning date; dent Record (Form FRA F 6180.97) or an
(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 railroad shall identify the lowing information:
preparer’s name; title; telephone num- (1) Date and time of accident;
ber with area code; and the date the (2) Reporting railroad, and accident/
record was initially signed/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.);
394
(6) Number of cars carrying haz- countable rail equipment accident/inci-

ardous materials that derailed or were dent on the appropriate record, as re-
damaged; and number of cars carrying quired by paragraphs (a) through (e) of
hazardous materials that released this section, as early as practicable but
product; no later than seven working days after
(7) Division; receiving information or acquiring
(8) County and nearest city or town; knowledge that an injury or illness or
(9) State; rail equipment accident/incident has
(10) Milepost (to the nearest tenth); occurred.
(11) Specific site; (g) The records required under para-
(12) Speed (indicate if actual or esti- graphs (a) through (e) of this section
mate); may be maintained at the local estab-
(13) Train number or job number; lishment or, alternatively, at a cen-
(14) Type of equipment (freight, pas- tralized location. If the records are
senger, yard switching, etc.); maintained at a centralized location,
(15) Type of track (main, yard, siding, but not through electronic means, then
industry); a paper copy of the records that is cur-
(16) Total number of locomotives in rent within 35 days of the month to
train; which it applies shall be available for
(17) Total number of locomotives that establishment. If the records are
that derailed; maintained at a centralized location
(18) Total number of cars in train; through electronic means, then the
(19) Total number of cars that de- records for that establishment shall be
railed; available for review in a hard copy for-
(20) Total amount of damage in dol- mat within four business hours of
lars to equipment based on computa- FRA’s request. FRA recognizes that
tions as described in the ‘‘FRA Guide circumstances outside the railroad’s
for Preparing Accidents/Incidents Re- control may preclude it from fulfilling
ports’’; the four-business-hour time limit. In
(21) Total amount of damage in dol- these circumstances, FRA will not as-
lars to track, signal, way and struc- sess a monetary penalty against the
tures based on computations as de- railroad for its failure to provide the
scribed in the ‘‘FRA Guide for Pre- requested documentation provided the
paring Accidents/Incidents Reports’’; railroad made a reasonable effort to
(22) Primary cause; correct the problem.
(23) Contributing cause; (h) Except as provided in paragraph
(24) Persons injured, persons killed, (h)(15) of this section, a listing of all
and employees with an occupational injuries and occupational illnesses re-
illness, broken down into the following ported to FRA as having occurred at an
classifications: worker on duty—em- establishment shall be posted in a con-
ployee; employee not on duty; pas- spicuous location at that establish-
senger on train; nontrespasser—on railment, within 30 days after the expira-
road property; trespasser; worker on tion of the month during which the in-
duty—contractor; contractor—other; juries and illnesses occurred, if the es-
worker on duty—volunteer; volunteer— tablishment has been in continual op-
other; and nontrespasser-off railroad eration for a minimum of 90 calendar
property; days. If the establishment has not been
(25) Narrative description of the acci- in continual operation for a minimum
dent; of 90 calendar days, the listing of all in-
(26) Whether the accident/incident juries and occupational illnesses re-
was reported to FRA; ported to FRA as having occurred at
(27) Preparer’s name, title, telephone the establishment shall be posted,
number with area code, and signature; within 30 days after the expiration of
and the month during which the injuries
(28) Date the record was initially and illnesses occurred, in a conspicuous
signed/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
395
§ 225.25 49 CFR Ch. II (10–1–11 Edition)
yard or terminal headquarters; a major monthly list may sign a cover sheet or
equipment maintenance or repair in- memorandum which contains a list of
stallation, e.g., a locomotive or rail car each railroad establishment for which
repair or construction facility; a rail- a monthly list of reportable injuries
road signal and maintenance-of-way di- and illnesses has been prepared. This
vision headquarters; or a central loca- cover memorandum shall be signed by
tion where track or signal maintenance the preparer and shall have attached to
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 may maintain a Form
tive months. Incidents reported for em- FRA F 6180.107, ‘‘Alternative Records
ployees at that establishment shall be for Illnesses Claimed to be Work-Re-
displayed in date sequence. The listing lated,’’ or an alternate railroad-de-
shall contain, at a minimum, the infor- signed record as described in paragraph
mation specified in paragraphs (h)(1) (j) of this section, in place of Form
through (14) of this section. FRA F 6180.98, ‘‘Railroad Employee In-
(1) Name and address of the establish- jury and/or Illness Record,’’ only for
ment; those claimed occupational illnesses
(2) Calendar year of the cases being for which the railroad has not received
displayed; information sufficient to determine
(3) Incident number used to report whether the occupational illness is
case; work-related.
(4) Date of the injury or illness; (2) Each railroad shall enter each ill-
(5) Location of incident; ness claimed to be work-related on the
(6) Regular job title of employee inappropriate record, as required by
jured or ill; paragraph (i)(1) of this section, as early
(7) Description of the injury or condi- as practicable, but no later than seven
tion; working days after receiving informa-
(8) Number of days employee absent tion or acquiring knowledge that an
from work at time of posting; employee is claiming they have in-
(9) Number of days of work restric- curred an occupational illness.
tion for employee at time of posting; (3) When a railroad does not receive
(10) If fatality—enter date of death; information sufficient to determine
(11) Annual average number of rail- whether a claimed occupational illness
road employees reporting to this estab- case is accountable or reportable, the
lishment; railroad shall make a good faith effort
(12) Preparer’s name, title, telephone to obtain the necessary information by
number with area code, and signature December 1 of the next calendar year.
(or, in lieu of signing each establish- (4) Within 15 calendar days of receiv-
ment’s list of reportable injuries and ing additional information regarding a
illnesses, the railroad’s preparer of this claimed occupational illness case, each
396
railroad shall document receipt of the (j) An alternative railroad-designed

information, including date received record may be used in lieu of the Form
and type of document/information re- FRA F 6180.107, ‘‘Alternative Record
ceived, in narrative block 19 of Form for Illnesses Claimed to be Work-Re-
FRA F 6180.107, ‘‘Alternative Record lated.’’ Any such alternative record
for Illnesses Claimed to be Work-Re- shall contain all of the information re-
lated.’’ quired on the Form FRA F 6180.107. Al-
(5) Within 45 calendar days of receiv- though this information may be dis-
ing additional information regarding a played in a different order from that on
claimed occupational illness, each rail- Form FRA F 6180.107, the order of the
road shall re-evaluate the claimed oc- information shall be consistent from
cupational illness to determine work- one such record to another such record.
relatedness, taking into account the The order chosen by the railroad shall
new information, and document any be consistent for all of the railroad’s
findings resulting from the re-evalua- reporting establishments. Railroads
tion in narrative block 19 of Form FRA may list additional information in the
F 6180.107, ‘‘Alternative Record for Ill- alternative record beyond the informa-
nesses Claimed to be Work-Related.’’ tion required on Form FRA F 6180.107.
(6) For any claimed occupational ill- The alternative record shall contain, at
ness case determined to be accountable a minimum, the following information:
or reportable, each railroad shall: (1) Name of Reporting Railroad;
(i) Complete a Form FRA F 6180.98, (2) Case/Incident Number;
‘‘Railroad Employee Injury and/or Ill- (3) Employee’s Name (first, middle,
ness Record’’ or alternative railroad- last);
designed form within seven days of (4) Employee’s Date of Birth (mm/dd/
making such determination; yy);
(ii) Retain the Form FRA F 6180.98, (5) Employee’s Gender;
‘‘Railroad Employee Injury and/or Ill- (6) Employee Identification Number;
ness Record,’’ in accordance with (7) Date Employee was Hired (mm/dd/
§ 225.27; and yy);
(iii) Report the occupational illness, (8) Employee’s Home Address (in-
as applicable, in accordance with clude street address, city, State and
§ 225.11. Zip code);
(7) For any claimed occupational ill- (9) Employee’s Home Telephone
ness case determined not to be ac- Number (with area code);
countable or reportable, each railroad (10) Name of Facility Where Railroad
shall include the following information Employee Normally Reports to Work;
in narrative block 19 of Form FRA F
(11) Location, or Last Know Facility,
6180.107, ‘‘Alternative Record for Ill-
Where Employee Reports to Work;
nesses Claimed to be Work-Related’’ or
(12) Job Title of Railroad Employee;
alternative railroad-designed form:
(i) Why the case does not meet re- (13) Department to Which Employee
porting criteria; is Assigned;
(ii) The basis upon which the railroad (14) Date on Which Employee or Rep-
made this determination; and resentative Notified Company Per-
(iii) The most authoritative informa- sonnel of Condition (mm/dd/yy);
tion the railroad relied upon to make (15) Name of Railroad Official Noti-
the determination. fied;
(8) Although Form FRA 6180.107, (16) Title of Railroad Official Noti-
‘‘Alternative Record for Illnesses fied;
Claimed to be Work-Related’’ (or the (17) Nature of Claimed Illness;
alternate railroad-designed form), may (18) Supporting Documentation;
not include all supporting documenta- (19) Custodian of Documents (Name,
tion, such as medical records, the al- Title, and Address);
ternative record shall note the custo- (20) Location of Supporting Docu-
dian of those documents and where the mentation;
supporting documents are located so (21) Narrative;
that they are readily accessible to FRA (22) Preparer’s Name;
upon request. (23) Preparer’s Title;
397
§ 225.27 49 CFR Ch. II (10–1–11 Edition)
(24) Preparer’s Telephone Number under § 225.21, for at least 2 years after
(with area code); and the calendar year to which it relates.
(25) Date the record was initially (c) Each railroad shall retain the
signed/completed (mm/dd/yy). original hard copy of each completed
[61 FR 30970, June 18, 1996, as amended at 61 and signed Form FRA F 6180.55, ‘‘Rail-
FR 59371, Nov. 22, 1996; 61 FR 67491, Dec. 23, road Injury and Illness Summary,’’
1996; 68 FR 10139, Mar. 3, 2003; 75 FR 68907, that the railroad submits to FRA on
Nov. 9, 2010] optical media (CD–ROM) or electroni-
cally via the Internet to
§ 225.27 Retention of records. aireports@frasafety.net for at least five
(a)(1) Five-year retention period. Each years after the calendar year to which
railroad shall retain the following it relates. If the railroad opts to sub-
forms for at least five years after the mit the report to FRA electronically
end of the calendar year to which they via the internet, the railroad must also
relate: retain a hard copy print out of FRA’s
(i) Form FRA F 6180.98, ‘‘Railroad electronic notice acknowledging re-
Employee Injury and/or Illness ceipt of the railroad’s submission for a
Record;’’ period of five years after the calendar
(ii) Form FRA F 6180.107, ‘‘Alter- year to which the report acknowledged
native Record for Illnesses Claimed to relates.
be Work-Related;’’ (d) Railroads may retain accident/in-
(iii) Monthly List of Injuries and Ill- cident records as required by para-
nesses required by § 225.25; and graphs (a) and (b) of this section in
(iv) Form FRA F 6180.150, ‘‘Highway hard copy format or in electronic for-
User Injury Inquiry Form.’’ mat. After October 31, 2011, accident/in-
(2) Two-year retention period. Each cident records, retained by railroads as
railroad shall retain the following required by paragraphs (a) and (b) of
forms for at least two years after the this section, in hard copy format or
end of the calendar year to which they electronic format are subject to the
relate: following system requirements:
(i) Form FRA F 6180.97, ‘‘Initial Rail
(1) Design Requirements. Any elec-
Equipment Accident/Incident Record,’’
tronic record keeping system used to
required by § 225.25;
retain a record required to be retained
(ii) The Employee Human Factor At-
tachments (Form FRA F 6180.81, ‘‘Em- by this part shall meet the following
ployee Human Factor Attachment’’) design parameters:
required by § 225.12, that have been re- (i) The electronic record system shall
ceived by the railroad; be designed such that the integrity of
(iii) The written notices to employ- each record is retained through appro-
ees required by § 225.12 (Part I of Form priate levels of security such as rec-
FRA F 6180.78, ‘‘Notice to Railroad Em- ognition of an electronic signature, or
ployee Involved in Rail Equipment Ac- other means, which uniquely identify
cident/Incident Attributed to Employee the initiating person as the author of
Human Factor; Employee Statement that record. No two persons shall have
Supplementing Railroad Accident Re- the same electronic identity;
port’’), that have been received by the (ii) The electronic system shall en-
railroad; and sure that each record cannot be modi-
(iv) The Employee Statements fied, or replaced, once the record is
Supplementing Railroad Accident Re- submitted to FRA;
ports described in § 225.12(g) (Part II of (iii) Any amendment to a record shall
Form FRA F 6180.78, ‘‘Notice to Rail- be electronically stored apart from the
road Employee Involved in Rail Equip- record which it amends. Each amend-
ment Accident/Incident Attributed to ment to a record shall uniquely iden-
Employee Human Factor; Employee tify the person making the amendment
Statement Supplementing Railroad and the date the amendment was made;
Accident Report’’), that have been re- (iv) The electronic system shall pro-
ceived by the railroad. vide for the maintenance of reports as
(b) Each railroad must retain a dupli- originally submitted to FRA without
cate of each form it submits to FRA corruption or loss of data; and
398
(v) Policies and procedures must be nent hazard of death or injury to per-
in place to prevent persons from alter- sons, or has caused death or injury, a
ing electronic records, or otherwise penalty not to exceed $100,000 per viola-
interfering with the electronic system. tion may be assessed. Each day a viola-
(2) Accessibility and availability. Any tion continues shall constitute a sepa-
electronic record system used to cre- rate offense. See appendix A to this
ate, maintain, or transfer a record re- part for a statement of agency civil
quired to be maintained by this part penalty policy. A person may also be
shall meet the following access and subject to the criminal penalties pro-
availability parameters: vided for in 49 U.S.C. 21311.
(i) Paper copies of electronic records
and amendments to those records that [53 FR 28601, July 28, 1988, as amended at 53
may be necessary to document compli- FR 52931, Dec. 29, 1988; 61 FR 30971, June 18,
1996; 63 FR 11622, Mar. 10, 1998; 69 FR 30594,
ance with this part shall be provided to
May 28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR
any representative of the FRA or of a 79702, Dec. 30, 2008]
State agency participating in inves-
tigative and/or surveillance activities § 225.31 Investigations.
under part 212 of this chapter or any
other authorized representative for in- (a) It is the policy of the FRA to in-
spection and photocopying upon re- vestigate rail transportation accidents/
quest in accordance with § 225.35; and incidents which result in the death of a
(ii) Paper copies provided to FRA or railroad employee or the injury of five
of a State agency participating in in- or more persons. Other accidents/inci-
vestigative and/or surveillance activi- dents are investigated when it appears
ties under part 212 of this chapter or that an investigation would substan-
any other authorized representative tially serve to promote railroad safety.
shall be produced in a readable text (b) FRA representatives are author-
format and all data shall be identified ized to investigate accidents/incidents
by narrative descriptions (e.g., ‘‘acci- and have been issued credentials au-
dent/incident number,’’ ‘‘number of thorizing them to inspect railroad
days away from work,’’ ‘‘date of occur- records and properties. They are au-
rence,’’ etc.). thorized to obtain all relevant informa-
tion concerning accidents/incidents
FR 37828, Sept. 13, 1990; 61 FR 30971, June 18,
under investigation, to make inquiries
1996; 61 FR 67491, Dec. 23, 1996; 75 FR 68908, of persons having knowledge of the
Nov. 9, 2010] facts, conduct interviews and inquiries,
and attend as an observer, hearings
§ 225.29 Penalties. conducted by railroads. When nec-
Any person (an entity of any type essary to carry out an investigation,
covered under 1 U.S.C. 1, including but the FRA may authorize the issuance of
not limited to the following: a railroad; subpoenas to require the production of
a manager, supervisor, official, or records and the giving of testimony.
other employee or agent of a railroad; (c) Whenever necessary, the FRA will
any owner, manufacturer, lessor, or schedule a public hearing before an au-
lessee of railroad equipment, track, or thorized hearing officer, in which event
facilities; any independent contractor testimony will be taken under oath, a
providing goods or services to a rail- record made, and opportunity provided
road; and any employee of such owner, to question witnesses.
manufacturer, lessor, lessee, or inde- (d) When necessary in the conduct of
pendent contractor) who violates any an investigation, the Federal Railroad
requirement of this part or causes the Administrator may require autopsies
violation of any such requirement is and other tests of the remains of rail-
subject to a civil penalty of at least road employees who die as a result of
$650 and not more than $25,000 per vio- an accident/incident.
lation, except that: Penalties may be (e) Information obtained through
assessed against individuals only for FRA accident investigations may be
willful violations, and where a grossly published in public reports or used for
negligent violation or a pattern of re- other purposes FRA deems to be appro-
peated violations has created an immi- priate.
399
§ 225.33 49 CFR Ch. II (10–1–11 Edition)
(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
the railroad, to full compliance with (7) A description of applicable inter-
the letter and spirit of FRA’s accident nal procedures for ensuring adequate
reporting regulations, and to the prin- communication between the railroad
ciple, in absolute terms, that harass- department responsible for submitting
ment or intimidation of any person accident and incident reports to FRA
that is calculated to discourage or pre- and any other department within the
vent such person from receiving proper railroad responsible for collecting, re-
medical treatment or from reporting ceiving, processing and reporting acci-
such accident, incident, injury or ill- dents and incidents.
ness will not be permitted or tolerated (8) A statement of applicable proce-
and will result in some stated discipli- dures providing for the updating of ac-
nary action against any employee, su- cident and incident information prior
pervisor, manager, or officer of the to reporting to FRA and a statement of
railroad committing such harassment applicable procedures providing for the
or intimidation. amendment of accident and incident
(2) The dissemination of the policy information as specified in the ‘‘FRA
statement; complaint procedures. Each Guide for Preparing Accidents/Inci-
railroad shall provide to all employees, dents Reports.’’
supervisory personnel, and manage- (9) A statement that specifies the
ment the policy statement described in name and title of the railroad officer
paragraph (a)(1). Each railroad shall responsible for auditing the perform-
have procedures to process complaints ance of the reporting function; a state-
from any person about the policy stat- ment of the frequency (not less than
ed in paragraph (a)(1) being violated, once per calendar year) with which au-
and to impose the appropriate pre- dits are conducted; and identification
scribed disciplinary actions on each of the site where the most recent audit
employee, supervisor, manager, or offi- report may be found for inspection and
cer of the railroad found to have vio- photocopying.
400
(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 a copy of any record and report re-
pertinent to the preparation of reports quired under this part is accessible for
under this part (e.g., medical, claims, inspection and photocopying by main-
and legal departments; operating, me- taining a list of such establishment lo-
chanical, and track and structures de- cations at the office where the rail-
partments; payroll, accounting, and road’s reporting officer conducts his or
personnel departments); her official business. A copy of any
(B) The title of each railroad report- record and report required under this
ing officer; part shall be accessible within four
(C) The title of each manager of such business hours after the request. The
components, by component; and Form FRA F 6180.107 or the alternate
(D) All officers to whom managers of railroad-designed form need not be pro-
such components are responsible, by vided at any railroad establishment
component. within 4 hours of a request. Rather, the
(ii) A current organization chart sat- Form FRA F 6180.107 or the alternate
isfies paragraphs (a)(10)(i) (B), (C), and railroad-designed form must be pro-
(D) of this section. vided upon request, within five busi-
(11) In the case of the Form FRA F ness days, and may be kept at a central
6180.107 or the alternate railroad-de- location, in either paper or electronic
signed form, a statement that specifies format. FRA will not assess a mone-
the name(s), title(s) and address(es) of tary penalty against the railroad for
the custodian(s) of these records, all its failure to provide the requested doc-
supporting documentation, such as umentation when circumstances out-
medical records, and where the docu- side the railroad’s control preclude it
ments are located. from fulfilling the four-business-hour
(b) [Reserved] time limit and the railroad has made a
[61 FR 30972, June 18, 1996, as amended at 61 reasonable effort to correct the prob-
FR 59371, Nov. 22, 1996; 61 FR 67491, Dec. 23, lem. Should a railroad assert a legal
1996; 68 FR 10139, Mar. 3, 2003; 75 FR 68909, privilege with respect to certain claims
Nov. 9, 2010] and medical records, failure to provide
FRA access to such records would not
§ 225.35 Access to records and reports. constitute a violation of this section.
(a) Each railroad subject to this part FRA retains the right to issue a sub-
shall have at least one location, and poena to obtain such records under 49
shall identify each location, where any U.S.C. §§ 20107 and 20902 and §§ 209.7(a)
representative of the Federal Railroad and 225.31(b) of this title, and the rail-
Administration or of a State agency road may contest that subpoena.
participating in investigative and sur- [61 FR 30972, June 18, 1996, as amended at 61
veillance activities under part 212 of FR 59371, Nov. 22, 1996; 68 FR 10139, Mar. 3,
this chapter or any other authorized 2003]
representative, has centralized access
to a copy of any record and report re- § 225.37 Optical media transfer and
quired under this part, for examination electronic submission.
and photocopying in a reasonable man- (a) A railroad has the option of sub-
ner during normal business hours. mitting the following reports, updates,
(b) Each railroad subject to this part and amendments by way of optical
shall also provide to any representative media (CD–ROM), or by means of elec-
of the Federal Railroad Administration tronic submission via the Internet:
or of a State agency participating in (1) The Rail Equipment Accident/In-
investigative or and surveillance accident Report (Form FRA F 6180.54);
tivities under part 212 of this chapter (2) The Railroad Injury and Illness
or any other authorized representative Summary (Form FRA F 6180.55);
access to relevant medical and claims (3) The Railroad Injury and Illness
records for examination and Summary (Continuation Sheet) (Form
photocopying in a reasonable manner FRA F 6180.55a);
401
§ 225.39 49 CFR Ch. II (10–1–11 Edition)
(4) The Highway-Rail Grade Crossing this section in a year-to-date file for-
Accident/Incident Report (Form FRA F mat as described in the FRA Guide.
6180.57); and (e) A railroad choosing to use optical
(5) The Employee Human Factor At- media or electronic submission via the
tachment (Form FRA F 6180.81) (the internet must use one of the approved
Employee Human Factor Attachment formats specified in the Companion
must be in .pdf or .jpg format only). Guide. FRA will reject submissions
(b) Each railroad utilizing the optical that do not adhere to the required for-
media option shall submit to FRA a mats, which may result in the issuance
computer CD–ROM containing the fol- of one or more civil penalty assess-
lowing: ments against a railroad for failing to
(1) An electronic image of the com- provide timely submissions of required
pleted and signed hard copy of the reports as required by § 225.11.
Railroad Injury and Illness Summary [75 FR 68909, Nov. 9, 2010]
(Form FRA F 6180.55) in .pdf or .jpg for-
mat only; and § 225.39 FRA policy on covered data.
(2) The completed accident/incident FRA will not include covered data (as
report submissions. defined in § 225.5) in its periodic sum-
(c) (1) Each railroad utilizing the maries of data on the number of occu-
electronic submission via the Internet pational injuries and illnesses.
option shall submit to FRA at
aireports@frasafety.net: [68 FR 10139, Mar. 3, 2003]
(i) An electronic image of the com- § 225.41 Suicide data.
pleted and signed hard copy of the
Railroad Injury and Illness Summary FRA does not include suicide data (as
(Form FRA F 6180.55) in .pdf or .jpg for- defined in § 225.5) in its periodic sum-
mat only; and maries of data on the number of inju-
(ii) The completed accident/incident ries and illnesses associated with rail-
report submissions. road operations. FRA will maintain
(2) FRA will provide to the railroad suicide data in a database that is not
an electronic notice acknowledging re- publicly accessible. Suicide data will
ceipt of submissions filed electroni- not be available on FRA’s Web site for
cally via the Internet. individual reports or downloads. Sui-
cide data will be available to the public
(d) Each railroad employing either
in aggregate format on FRA’s Web site
the optical media or electronic submis-
and via requests under the Freedom of
sion via the Internet option, shall sub-
Information Act.
mit its monthly reporting data for the
reports identified in paragraph (a) of [75 FR 68909, Nov. 9, 2010]

Willful
Section 2 Violation Violation
225.6: Failure to comply with consolidated reporting requirements ..................................................... $2,500 $5,000
225.9:
(1) Failure to report ................................................................................................................. 2,500 5,000
(2) Failure to immediately report ............................................................................................ 1,000 2,000
(3) Failure to accurately report ............................................................................................... 1,000 2,000
225.11:
(1) Failure to report accident/incident ..................................................................................... 2,500 5,000
(a) Highway-rail grade crossing.
(b) Rail Equipment.
(c) Death, Injury, or occupational illness.
(2) Report is incomplete ......................................................................................................... 1,000 2,000
225.12: Failure to file Railroad Employee Human Factor form ............................................................ 2,500 5,000
(a) Failure to file Railroad Employee Human Factor Attachment correctly:
(1) Employee identified ............................................................................................. 2,500 5,000
(2) No employee identified ....................................................................................... 1,000 2,000
(b)
(1) Failure to notify employee properly .................................................................... 2,500 5,000
(2) Notification of employee not involved in accident .............................................. 2,500 5,000
(c) Failure of employing railroad to provide requested information properly ......................... 1,000 2,000
402
Willful
Section 2 Violation Violation
(d)
(1) Failure to revise report ........................................................................................ 2,500 5,000
(2) Failure to notify after late identification ............................................................... 2,500 5,000
(f) Submission of notice if employee dies as result of the reported accident ........................ 2,500 5,000
(g) Willfully false accident statement by employee ................................................................ .................... 5,000
225.13:
(1) Failure to Late reports ....................................................................................................... 2,500 5,000
(2) Failure to Review Employee Statement ............................................................................ 2,500 5,000
(3) Failure to Amend Report ................................................................................................... 1,000 2,000
225.18: Alcohol or drug involvement .................................................................................................... 2,500 5,000
225.23: Joint operations ........................................................................................................................ (1) (1)
225.25:
(1) Recordkeeping .................................................................................................................. 2,500 5,000
(2) Failure to post list .............................................................................................................. 1,000 2,000
(3) Posting Prohibited Information .......................................................................................... 1,000 2,000
(4) Missing fields ..................................................................................................................... 1,000 2,000
225.27:
(1) Failure to retain records .................................................................................................... 1,000 2,000
(2) Failure to retain electronic receipt ..................................................................................... 1,000 2,000
(3) Failure to comply with electronic recordkeeping requirements ........................................ 1,000 2,000
(4) Failure to provide access to records ................................................................................. 1,000 2,000
225.33:
(1) Failure to adopt Internal Control Plan or more than two missing/outdated/incorrect
components ......................................................................................................................... 2,500 5,000
(2) Internal Control Plan with less than three missing/outdated/incorrect components ......... 1,000 2,000
(3) Failure to comply with Internal Control Plan ..................................................................... 2,500 5,000
(4) Failure to comply with the intimidation/harassment policy in Internal Control Plan ......... 2,500 5,000
(5) Failure to comply with requirements associated with Form FRA F 6180.150 ................. 2,500 5,000
225.35: Access to records and reports ................................................................................................. 2,500 5,000
penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. A failure to comply
with § 225.23 constitutes a violation of § 225.11. For purposes of §§ 225.25 and 225.27 of this part, each of the following con-
stitutes a single act of noncompliance: (1) A missing or incomplete log entry for a particular employee’s injury or illness; or (2) a
missing or incomplete log record for a particular rail equipment accident or incident. Each day a violation continues is a separate
offense.
2 The penalty schedule uses section numbers from 49 CFR part 225. 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,’’ which is used to facilitate assessment of civil penalties, and
which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section
and the penalty code, if any. 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, should they differ.
[75 FR 68909, Nov. 9, 2010]
APPENDIX B TO PART 225—PROCEDURE 3. For the equipment component,

FOR DETERMINING REPORTING LABSTAT Series Report, Producer Price
THRESHOLD Index (PPI) Series WPU 144 for Railroad
Equipment is used.
1. Wage data used in the calculation are 4. In the month of October, second-quarter
collected from railroads by the Surface wage data are obtained from the STB. For
Transportation Board (STB) on Form A— equipment costs, the corresponding BLS rail-
STB Wage Statistics. Rail equipment data road equipment indices for the second quar-
from the U.S. Department of Labor, Bureau ter are obtained. As the equipment index is
of Labor Statistics (BLS), LABSTAT Series reported monthly rather than quarterly, the
reports are used in the calculation. The average for the months of April, May and
equation used to adjust the reporting thresh- June is used for the threshold calculation.
old has two components: (a) The average
5. The wage data are reported in terms of
hourly earnings of certain railroad mainte-
dollars earned per hour, while the equipment
nance employees as reported to the STB by
the Class I railroads and Amtrak; and (b) an cost data are indexed to a base year of 1982.
overall rail equipment cost index determined 6. The procedure for adjusting the report-
by the BLS. The wage component is weighting threshold is shown in the formula below.
ed by 40% and the equipment component by The wage component appears as a fractional
60%. change relative to the prior year, while the
2. For the wage component, the average of equipment component is a difference of two
the data from Form A—STB Wage Statistics percentages which must be divided by 100 to
for Group No. 300 (Maintenance of Way and present it in a consistent fractional form.
Structures) and Group No. 400 (Maintenance After performing the calculation, the result
of Equipment and Stores) employees is used. is rounded to the nearest $100.
403
7. The weightings result from using STB AUTHORITY: 49 U.S.C. 20103, 20103, note,
wage data and BLS equipment cost data to 20701–20702; 28 U.S.C. 2461, note; and 49 CFR
produce a reasonable estimation of the re- 1.49.
porting threshold that was calculated using
SOURCE: 71 FR 63123, Oct. 27, 2006, unless
the threshold formula in effect immediately otherwise noted.
before calendar year 2006, a formula that as-
sumed damage repair costs, at levels at or
near the threshold, were split approximately Subpart A—General
evenly between labor and materials.
8. Formula: § 227.1 Purpose and scope.
New Threshold = Prior Threshold × [1 + (a) The purpose of this part is to pro-
0.4(Wnew—Wprior)/Wprior + 0.6(Enew ¥ tect the occupational health and safety
Eprior)/100] of employees whose predominant noise
Where: exposure occurs in the locomotive cab.
Wnew = New average hourly wage rate ($). (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
Subpart A—General (a) Except as provided in paragraph
(b) of this section, this part applies to
Sec.
227.1 Purpose and scope. all railroads and contractors to rail-
227.3 Application. roads.
227.5 Definitions. (b) This part does not apply to—
227.7 Preemptive effect. (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
Subpart B—Occupational Noise Exposure urban area that is not connected to the
for Railroad Operating Employees general railroad system of transpor-
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.
227.109 Audiometric testing program. shared use waiver;
227.111 Audiometric test requirements. (4) A railroad that operates tourist,
227.113 Noise operational controls. scenic, historic, or excursion oper-
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-
MATING THE ADEQUACY OF HEARING PRO-
U.S. but are operating trains or con-
TECTOR ATTENUATION ducting switching operations in the
APPENDIX C TO PART 227—AUDIOMETRIC BASE- U.S.; and the government of that for-
LINE REVISION eign railroad has implemented require-
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
EARPHONES FOR AUDIOMETRIC TESTING
requirements while operating within
APPENDIX F TO PART 227—CALCULATIONS AND
APPLICATION OF AGE CORRECTIONS TO the U.S.; and FRA’s Associate Admin-
AUDIOGRAMS istrator for Safety determines that the
APPENDIX G TO PART 227—SCHEDULE OF CIVIL foreign requirements are consistent
PENALTIES with the purpose and scope of this part.
404
A ‘‘foreign railroad’’ refers to a rail- audiograms are compared to determine

road that is incorporated in a place the extent of change of hearing level.
outside the U.S. and is operated out of Class I, Class II, and Class III railroads
a foreign country but operates for some have the meaning assigned by the regu-
distance in the U.S. lations of the Surface Transportation
Board (49 CFR part 120; General In-
§ 227.5 Definitions. structions 1–1).
As used in this part— Continuous noise means variations in
Action level means an eight-hour sound level that involve maxima at in-
time-weighted-average sound level tervals of 1 second or less.
(TWA) of 85 dB(A), or, equivalently, a Decibel (dB) means a unit of measure-
dose of 50 percent, integrating all ment of sound pressure levels.
sound levels from 80 dB(A) to 140 dB(A). dB(A) means the sound pressure level
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. Hearing protector means any device or
Audiologist means a professional, who material, which is capable of being
provides comprehensive diagnostic and worn on the head, covering the ear
treatment/rehabilitative services for canal or inserted in the ear canal; is
auditory, vestibular, and related im- designed wholly or in part to reduce
pairments and who the level of sound entering the ear; and
(1) Has a Master’s degree or doctoral has a scientifically accepted indicator
degree in audiology and of its noise reduction value.
(2) Is licensed as an audiologist by a Hertz (Hz) means a unit of measure-
State; or in the case of an individual ment of frequency numerically equal
who furnishes services in a State which to cycles per second.
does not license audiologists, has suc- Medical pathology means a condition
cessfully completed 350 clock hours of or disease affecting the ear which is
supervised clinical practicum (or is in medically or surgically treatable.
the process of accumulating such su- Noise operational controls means a
pervised clinical experience), per- method used to reduce noise exposure,
formed not less than 9 months of super- other than hearing protectors or equip-
vised full-time audiology services after ment modifications, by reducing the
obtaining a master’s or doctoral degree time a person is exposed to excessive
in audiology or a related field, and suc- noise.
cessfully completed a national exam- Occasional service means service of
ination in audiology approved by the not more than a total of 20 days in a
Secretary of the U.S. Department of calendar year.
Health and Human Services. Otolaryngologist means a physician
Audiometry means the act or process specializing in diagnosis and treatment
of measuring hearing sensitivity at dis- of disorders of the ear, nose, and
crete frequencies. Audiometry can also throat.
be referred to as audiometric testing. Periodic audiogram is a record of fol-
Baseline audiogram means an audio- low-up audiometric testing conducted
gram, recorded in accordance with at regular intervals after the baseline
§ 227.109, against which subsequent audiometric test.
405
§ 227.5 49 CFR Ch. II (10–1–11 Edition)
Person means an entity of any type the exposures of other employees who
covered under 1 U.S.C. 1, including but operate similar equipment under simi-
not limited to the following: a railroad; lar conditions.
a manager, supervisor, official, or Sound level or Sound pressure level
other employee or agent of a railroad; means ten times the common loga-
an owner, manufacturer, lessor, or les- rithm of the ratio of the square of the
see of railroad equipment, track, or fa- measured A-weighted sound pressure to
cilities; an independent contractor pro- the square of the standard reference
viding goods or services to a railroad; pressure of twenty micropascals, meas-
and any employee of such owner, man- ured in decibels. For purposes of this
ufacturer, lessor, lessee, or independent regulation, SLOW time response, in ac-
contractor. cordance with ANSI S1.43–1997 (Re-
Professional Supervisor of the affirmed 2002), ‘‘Specifications for Inte-
Audiometric Monitoring Program in a grating-Averaging Sound Level Me-
hearing conservation program means ters,’’ is required. The Director of the
an audiologist, otolaryngologist, or a Federal Register approves this incorpo-
physician with experience and exper- ration by reference of this standard in
tise in hearing and hearing loss. 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, 1200 New Jersey Avenue,
and proper functioning of the audiom- SE., Washington, DC 20590, or at the
eters used; and is responsible to the National Archives and Records Admin-
Professional Supervisor of the istration (NARA). For information on
Audiometric Testing Program. 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
by contracting out operation of the Tourist, scenic, historic, or excursion
railroad to another person. The term operations means railroad operations
does not include rapid transit oper- that carry passengers, often using anti-
ations in an urban area that are not quated equipment, with the convey-
connected to the general railroad sys- ance of the passengers to a particular
tem of transportation. destination not being the principal pur-
Representative personal sampling pose.
means measurement of an employee’s [71 FR 63123, Oct. 27, 2006, as amended at 74
noise exposure that is representative of FR 25173, May 27, 2009]
406
§ 227.7 Preemptive effect. requirement while the petition is being

considered.
Under 49 U.S.C. 20106, issuance of
(b) Each petition for waiver under
these regulations preempts any State
this section must be filed in the man-
law, regulation, or order covering the
same subject matter, except an addi-
quired by part 211 of this chapter.
tional or more stringent law, regula-
tion, or order that is necessary to
eliminate or reduce an essentially local
interest and is consistent with railroad
safety hazard; is not incompatible with
safety, the Administrator may grant
a law, regulation, or order of the the waiver subject to any conditions
United States Government; and does the Administrator deems necessary.
not impose an unreasonable burden on
interstate commerce. § 227.15 Information collection.
§ 227.9 Penalties. (a) The information collection re-
quirements of this part were reviewed
(a) Any person who violates any re- by the Office of Management and Budg-
quirement of this part or causes the et pursuant to the Paperwork Reduc-
violation of any such requirement is tion Act of 1980 (44 U.S.C. 3501 et seq.)
subject to a civil penalty of at least and are assigned OMB control number
$650 and not more than $25,000 per vio- 2130–NEW.
lation, except that: penalties may be (b) The information collection re-
assessed against individuals only for quirements are found in the following
willful violations, and, where a grossly sections: §§ 227.13, 227.103, 227.107,
negligent violation or a pattern of re- 227.109, 227.111, 227.117, 227.119, and
peated violations has created an immi- 227.121.
nent hazard of death or injury to per-
sons, or has caused death or injury, a
penalty not to exceed $100,000 per viola- Subpart B—Occupational Noise
tion may be assessed. Each day a viola- Exposure for Railroad Oper-
tion continues shall constitute a sepa- ating Employees.
rate offense. See appendix G to this
part for a statement of agency civil § 227.101 Scope and applicability.
penalty policy. (a) This subpart shall apply to the
(b) Any person who knowingly and noise-related working conditions of—
willfully falsifies a record or report re- (1) Any person who regularly per-
quired by this part may be subject to forms service subject to the provisions
criminal penalties under 49 U.S.C. of the hours of service laws governing
21311. ‘‘train employees’’ (see 49 U.S.C.
21101(5) and 21103), but, subject to a
railroad’s election in paragraph (a)(3)
FR 79702, Dec. 30, 2008]
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 accidental 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;
407
§ 227.103 49 CFR Ch. II (10–1–11 Edition)
(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. (1) All contin-
quent work in the locomotive cab; and uous, intermittent, and impulse sound
(3) At the election of the railroad, levels from 80 decibels to 140 decibels
any other person (including a person shall be integrated into the noise meas-
excluded by paragraph (a)(1) of this urements.
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. (1) In its moni- ments of § 227.103.
toring program, the railroad shall use a (e) In administering the monitoring
sampling strategy that is designed to program, the railroad shall take into
identify employees for inclusion in the consideration the identification of
hearing conservation program and to work environments where the use of
enable the proper selection of hearing hearing protectors may be omitted.
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. (1)
sonal sampling to comply with the The railroad shall notify each mon-
monitoring requirements of this sec- itored employee of the results of the
tion, unless the railroad can show that monitoring.
408
(2) The railroad shall post the moni- and documented and measurement ar-
toring results at the appropriate crew tifacts may be removed.
origination point for a minimum of 30 (c) Except as set forth in paragraph
days. The posting should include suffi- (d) of this section, exposure to contin-
cient information to permit other uous noise shall not exceed 115dB(A).
crews to understand the meaning of the (d) Exposures to continuous noise
results in the context of the operations greater than 115 dB(A) and equal to or
monitored. less than 120 dB(A) are permissible,
(h) Incorporation by reference. The ma- provided that the total daily duration
terials listed in this section are incor- does not exceed 5 seconds.
porated by reference in the cor-
responding sections noted. These § 227.107 Hearing conservation pro-
incorporations by reference were ap- gram.
proved by the Director of the Federal (a) Consistent with the requirements
Register in accordance with 5 U.S.C. of the noise monitoring program re-
552(a) and 1 CFR part 51. You may ob- quired by § 227.103, the railroad shall
tain a copy of the incorporated mate- administer a continuing, effective
rials from the American National hearing conservation program, as set
Standards Institute at 1819 L Street, forth in §§ 227.109 through 227.121, for all
NW., Washington, DC 20036 or http:// employees exposed to noise at or above
www.ansi.org. You may inspect a copy the action level.
of the incorporated standards at the (b) For purposes of the hearing con-
Federal Railroad Administration, servation program, employee noise ex-
Docket Room, 1200 New Jersey Avenue, posure shall be computed in accordance
SE., Washington, DC 20590, or at the with the tables in appendix A of this
National Archives and Records Admin- part, and without regard to any attenu-
istration (NARA). For information on ation provided by the use of hearing
the availability of this material at protectors.
NARA, call 202–741–6030, or go to http://
www.archives.gov/federallregister/ § 227.109 Audiometric testing program.
codeloflfederallregulations/ (a) Each railroad shall establish and
ibrllocations.html. maintain an audiometric testing pro-
(1) ANSI S1.4–1983 (Reaffirmed 2001), gram as set forth in this section and
Specification for Sound Level Meters, include employees who are required to
incorporation by reference (IBR) ap- be included in a hearing conservation
proved for § 227.103(c)(2)(i). program pursuant to § 227.107.
(2) ANSI S1.43–1997 (Reaffirmed 2002), (b) Cost. The audiometric tests shall
Specifications for Integrating-Aver- be provided at no cost to employees.
aging Sound Level Meters, IBR ap- (c) Tests. Audiometric tests shall be
proved for § 227.103(c)(2)(ii). performed by:
(3) ANSI S1.25–1991 (Reaffirmed 2002), (1) An audiologist, otolaryngologist,
Specification for Personal Noise or other physician who has experience
Dosimeters, IBR approved for and expertise in hearing and hearing
§ 227.103(c)(2)(iii). loss; or
[71 FR 63123, Oct. 27, 2006, as amended at 74 (2) A qualified technician.
FR 25173, May 27, 2009] (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. (i) Except as pro-
cording to § 227.103, that exceeds the vided in paragraph (e)(1)(ii), for em-
limits specified in appendix A of this ployees hired after February 26, 2007,
part. the railroad shall establish a valid
(b) In assessing whether exposures baseline audiogram within 6 months of
exceed 115 dB(A), as set forth in para- the new employee’s first tour of duty.
graph (a) of this section and appendix (ii) Where mobile test vans are used
A to this part, the apparent source of to meet the requirement in paragraph
the noise exposures shall be observed (e)(1)(i), the railroad shall establish a
409
§ 227.109 49 CFR Ch. II (10–1–11 Edition)
valid baseline audiogram within one (2) The railroad shall require each
year of the new employee’s first tour of employee included in the hearing con-
duty. servation program to take an
(2) Existing employees. (i) For all em- audiometric test at least once every
ployees without a baseline audiogram 1095 days.
as of February 26, 2007, Class 1, pas- (g) Evaluation of audiogram. (1) Each
senger, and commuter railroads, and employee’s periodic audiogram shall be
railroads with 400,000 or more annual compared to that employee’s baseline
employee hours shall establish a valid audiogram to determine if the audio-
baseline audiogram by February 26, gram is valid and to determine if a
2009; and railroads with less than standard threshold shift has occurred.
400,000 annual employee hours shall es- This comparison may be done by a
tablish a valid baseline audiogram by qualified technician.
February 26, 2010. (2) If the periodic audiogram dem-
(ii) If an employee has had a baseline onstrates a standard threshold shift, a
audiogram as of February 26, 2007, and railroad may obtain a retest within 90
it was obtained under conditions that days. The railroad may consider the re-
satisfy the requirements found in 29 sults of the retest as the periodic
CFR 1910.95(h), the railroad must use audiogram.
that baseline audiogram. (3) The audiologist, otolaryngologist,
(iii) If the employee has had a base- or physician shall review problem
line audiogram as of February 26, 2007, audiograms and shall determine wheth-
and it was obtained under conditions er there is a need for further evalua-
that satisfy the requirements in 29 tion. A railroad shall provide all of the
CFR 1910.95(h)(1), but not the require- following information to the person
ments found in 29 CFR 1910.95(h)(2) performing this review:
through (5), the railroad may elect to (i) The baseline audiogram of the em-
use that baseline audiogram provided ployee to be evaluated;
that the Professional Supervisor of the
(ii) The most recent audiogram of the
Audiometric Monitoring Program
employee to be evaluated;
makes a reasonable determination that
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- (iv) Records of audiometer calibra-
tional noise in excess of the action tions required by § 227.111.
level. Hearing protectors may be used (h) Follow-up procedures. (1) If a com-
as a substitute for the requirement parison of the periodic audiogram to
that baseline audiograms be preceded the baseline audiogram indicates that
by 14 hours without exposure to occu- a standard threshold shift has oc-
pational noise. curred, the railroad shall inform the
(4) The railroad shall notify its em- employee in writing within 30 days of
ployees of the need to avoid high levels the determination.
of non-occupational noise exposure (2) Unless a physician or audiologist
during the 14-hour period immediately determines that the standard threshold
preceding the audiometric examina- shift is not work-related or aggravated
tion. by occupational noise exposure, the
(f) Periodic audiogram. (1) The railroad railroad shall ensure that the following
shall offer an audiometric test to each steps are taken:
employee included in the hearing con- (i) Employees not using hearing pro-
servation program at least once each tectors shall be fitted with hearing pro-
calendar year. The interval between tectors, shall be trained in their use
the date offered to any employee for a and care, and shall be required to use
test in a calendar year and the date of- them.
fered in the subsequent calendar year (ii) Employees already provided with
shall be no more than 450 days and no hearing protectors shall be refitted,
less than 280 days. shall be retrained in the use of hearing
410
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
clinical audiological evaluation or an (b) Audiometric tests shall be con-
otological examination. ducted with audiometers (including
(iv) If the railroad suspects that a microprocessor audiometers) that meet
medical pathology of the ear unrelated the specifications of and are main-
to the use of hearing protectors is tained and used in accordance with
present, the railroad shall inform the ANSI S3.6–2004 ‘‘Specification for Audi-
employee of the need for an otological ometers.’’ The Director of the Federal
examination. Register approves the incorporation by
(3) If subsequent audiometric testing reference of this standard in accord-
of an employee, whose exposure to ance with 5 U.S.C. 552(a) and 1 CFR
noise is less than an 8-hour TWA of 90 part 51. You may obtain a copy of the
dB, indicates that a standard threshold incorporated standard from the Amer-
shift is not persistent, the railroad ican National Standards Institute at
shall inform the employee of the new 1819 L Street, NW., Washington, DC
audiometric interpretation and may 20036 or http://www.ansi.org. You may
discontinue the required use of hearing inspect a copy of the incorporated
protectors for that employee. standard at the Federal Railroad Ad-
(i) Revised baseline. A railroad shall ministration, Docket Room, 1200 New
use the following methods for revising Jersey Avenue, SE., Washington, DC
baseline audiograms: 20590, Washington, DC 20005, or at the
(1) Periodic audiograms from National Archives and Records Admin-
audiometric tests conducted through istration (NARA). For more informa-
February 26, 2009, may be substituted tion on the availability of this mate-
for the baseline measurement by the rial at NARA, call 202–741–6030, or go to
Professional Supervisor of the http://www.archives.gov/federallregister/
Audiometric Monitoring Program who codeloflfederallregulations/
is evaluating the audiogram if: ibrllocations.html.
(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. (1) The
(j) Standard threshold shift. In deter- functional operation of the audiometer
mining whether a standard threshold shall be checked before each day’s use
shift has occurred, allowance may be by testing a person with known, stable
made for the contribution of aging hearing thresholds or by appropriate
(presbycusis) to the change in hearing calibration device, and by listening to
level by correcting the annual audio- the audiometer’s output to make sure
gram according to the procedure de- that the output is free from distorted
scribed in appendix F of this part: Cal- or unwanted sounds. Deviations of 10
culation and Application of Age Cor- decibels or greater require an acoustic
rection to Audiograms. calibration.
411
§ 227.113 49 CFR Ch. II (10–1–11 Edition)
(2) Audiometer calibration shall be protectors from a variety of suitable

checked acoustically at least annually hearing protectors. The selection shall
according to the procedures described include devices with a range of attenu-
in ANSI S3.6–2004. Frequencies below ation levels.
500 Hz and above 8000 Hz may be omit- (5) The railroad shall provide train-
ted from this check. The audiometer ing in the use and care of all hearing
must meet the sound pressure accuracy protectors provided to employees.
requirements of section 7.2 of ANSI (6) The railroad shall ensure proper
S3.6–2004 of 3 dB at any test frequency initial fitting and supervise the correct
between 500 and 5000 Hz and 5 dB at any use of all hearing protectors.
test frequency 6000 Hz and higher for (b) Availability of hearing protectors. A
the specific type of transducer used. railroad shall make hearing protectors
For air-conduction supra-aural ear- available to all employees exposed to
phones, the specifications in Table 6 of sound levels that meet or exceed the
ANSI S3.6–2004 shall apply. For air-con- action level.
duction insert earphones, the specifica-
(c) Required use at action level. A rail-
tions in Table 7 of ANSI S3.6–2004 shall
road shall require the use of hearing
apply. Audiometers that do not meet
protectors when an employee is ex-
these requirements must undergo an
exhaustive calibration. posed to sound levels that meet or ex-
(3) Exhaustive Calibration. An exceed the action level, and the employee
haustive calibration shall be performed has:
in accordance with ANSI S3.6–2004, ac- (1) Not yet had a baseline audiogram
cording to the following schedule: established pursuant to § 227.109; or
(i) At least once every two years on (2) Experienced a standard threshold
audiometers not used in mobile test shift and is required to use hearing pro-
vans. Test frequencies below 500 Hz and tectors under § 227.109(h).
above 6000 Hz may be omitted from this (d) Required use for TWA of 90 dB(A).
calibration. The railroad shall require the use of
(ii) At least annually on audiometers hearing protectors when an employee
used in mobile test vans. is exposed to sound levels equivalent to
an 8-hour TWA of 90 dB(A) or greater.
FR 25173, May 27, 2009] 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
§ 227.117 Hearing protector attenu-
reduce exposures to levels below those ation.
required by Table A–1 of appendix A of
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. (1) The railroad shall provide (b) Hearing protectors shall attenu-
hearing protectors to employees at no ate employee exposure to an 8-hour
cost to the employee. TWA of 90 decibels or lower, as re-
(2) The railroad shall replace hearing quired by § 227.115.
protectors as necessary. (c) For employees who have experi-
(3) When offering hearing protectors, enced a standard threshold shift, hear-
a railroad shall consider an employee’s ing protectors must attenuate em-
ability to understand and respond to ployee exposure to an 8-hour time-
voice radio communications and audi- weighted average of 85 decibels or
ble warnings. lower.
(4) The railroad shall give employees (d) The adequacy of hearing protector
the opportunity to select their hearing attenuation shall be re-evaluated
412
whenever employee noise exposures in- (5) The purpose of audiometric test-
crease to the extent that the hearing ing, and an explanation of the test pro-
protectors provided may no longer procedures;
vide adequate attenuation. A railroad (6) An explanation of noise oper-
shall provide more effective hearing ational controls, where used;
protectors where necessary. (7) General information concerning
the expected range of workplace noise
§ 227.119 Training program. exposure levels associated with major
(a) The railroad shall institute an oc- categories of railroad equipment and
cupational noise and hearing conserva- operations (e.g., switching and road as-
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-
(b) The railroad shall provide the port, pursuant to § 229.121(b).
training required by paragraph (a) of
this section in accordance with the fol- § 227.121 Recordkeeping.
lowing: (a) General requirements—(1) Avail-
(1) For employees hired after Feb- ability of records. Each railroad required
ruary 26, 2007, within six months of the to maintain and retain records under
employee’s first tour of duty in a posi- this part shall:
tion identified within the scope of this (i) Make all records available for in-
part. spection and copying/photocopying to
(2) For employees hired on or before representatives of the FRA, upon re-
February 26, 2007, by Class 1, passenger, quest;
and commuter railroads, and railroads (ii) Make an employee’s records
with 400,000 or more annual employee available for inspection and copying/
hours, by no later than February 26, photocopying to that employee, former
2009; employee, or such person’s representa-
(3) For employees hired on or before tive upon written authorization by
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.
413
(2) Electronic records. All records re- (iii) The examiner’s name;
quired by this part may be kept in elec- (iv) The date of the last acoustic or
tronic form by the railroad. A railroad exhaustive calibration of the audiom-
may maintain and transfer records eter;
through electronic transmission, stor- (v) Accurate records of the measure-
age, and retrieval provided that: ments of the background sound pres-
(i) The electronic system be designed sure levels in audiometric test rooms;
so that the integrity of each record is (vi) The model and serial number of
maintained through appropriate levels the audiometer used for testing; and
of security such as recognition of an (2) Retain the records required by
electronic signature, or other means, § 227.107 for the duration of the covered
which uniquely identify the initiating employee’s employment plus thirty
person as the author of that record. No years.
two persons shall have the same elec- (d) Positions and persons designated
tronic identity; records. The railroad shall:
(ii) The electronic system shall en- (1) Maintain a record of all positions
sure that each record cannot be modi- or persons or both designated by the
fied in any way, or replaced, once the railroad to be placed in a Hearing Con-
record is transmitted and stored; servation Program pursuant to
(iii) Any amendment to a record shall § 227.107; and
be electronically stored apart from the (2) Retain these records for the dura-
record which it amends. Each amend- tion of the designation.
ment to a record shall be uniquely (e) Training program materials records.
identified as to the person making the The railroad shall:
amendment; (1) Maintain copies of all training
(iv) The electronic system shall pro- program materials used to comply with
vide for the maintenance of records as § 227.119(c) and a record of employees
originally submitted without corrup- trained; and
tion or loss of data; and (2) Retain these copies and records
(v) Paper copies of electronic records for three years.
and amendments to those records, that (f) Standard threshold shift records.
may be necessary to document compli- The railroad shall:
ance with this part shall be made avail- (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.
(c) Audiometric test records. The rail- APPENDIX A TO PART 227—NOISE
road shall: EXPOSURE COMPUTATION
(1) Maintain employee audiometric This appendix is mandatory.
test records required by § 227.109, in-
cluding: I. COMPUTATION OF EMPLOYEE NOISE
(i) The name and job classification of EXPOSURE
the employee; A. Noise dose is computed using Table A–
(ii) The date of the audiogram; 1 as follows:
414
1. When the sound level, L, is constant over TABLE A–1 1—Continued
the entire work day, the noise dose, D, in
percent, is given by: D = 100 C/T, where C is Duration
the total length of the work day, in hours, A-weighted sound level, L permitted
(decibel) T
and T is the duration permitted cor- (hour)
responding to the measured sound level, L,
as given in Table A–1. 114 ................................................................... 0.29
2. When the work day noise exposure is 115 ................................................................... 0.25
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–1 1 8
T=
2(
L − 90 )/5
Duration
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 eter which gives a readout in terms of
90 ..................................................................... 8
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 B. In order to convert the reading of a do-
96 ..................................................................... 3.5
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 cent exposure according to the relationships
101 ................................................................... 1.7 in Table A–1. So, for example, a dose of 91
102 ................................................................... 1.5 percent over an eight-hour day results in a
103 ................................................................... 1.3
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 C. If the dose as read on the dosimeter is
107 ................................................................... 0.76 less than or greater than the values found in
108 ................................................................... 0.66 Table A–2, the TWA may be calculated by
109 ................................................................... 0.57
110 ................................................................... 0.5
using the formula: TWA = 16.61 log10 (D/100)
111 ................................................................... 0.44 + 90 where TWA = 8-hour time-weighted av-
112 ................................................................... 0.38 erage sound level and D = accumulated dose
113 ................................................................... 0.33 in percent exposure.
415
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
416
TABLE A–2—CONVERSION FROM ‘‘PERCENT material 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
Dose or percent noise
III. OBJECTIVE MEASUREMENT
TWA
exposure
Use actual measurements of the level of
840 ........................................................................... 105.4 noise exposure (as an A-weighted SLOW re-
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 [71 FR 63123, Oct. 27, 2006, as amended at 74
900 ........................................................................... 105.8 FR 25173, May 27, 2009]
910 ........................................................................... 105.9
920 ........................................................................... 106.0
930 ........................................................................... 106.1 APPENDIX C TO PART 227—AUDIOMETRIC
940 ........................................................................... 106.2 BASELINE REVISION
950 ........................................................................... 106.2
960 ........................................................................... 106.3 This appendix is mandatory beginning on
970 ........................................................................... 106.4 February 26, 2009.
980 ........................................................................... 106.5
990 ........................................................................... 106.5 I. GENERAL
999 ........................................................................... 106.6
A. A professional reviewer (audiologist,
otolaryngologist, or physician) shall use
APPENDIX B TO PART 227—METHODS FOR these procedures when revising baseline
ESTIMATING THE ADEQUACY OF audiograms.
HEARING PROTECTOR ATTENUATION B. Although these procedures can be pro-
grammed by a computer to identify records
This appendix is mandatory.
Employers must select one of the following for potential revision, the final decision for
three methods by which to estimate the ade- revision rests with a human being. Because
quacy of hearing protector attenuation. the goal of the guidelines is to foster consist-
ency among different professional reviewers,
I. DERATE BY TYPE human override of the guidelines must be
justified by specific concrete reasons.
Derate the hearing protector attenuation C. These procedures do not apply to: The
by type using the following requirements: identification of standard threshold shifts
A. Subtract 7 dB from the published Noise (STS) other than an FRA STS 1 or to the cal-
Reduction Rating (NRR). culation of the 25-dB average shifts that are
B. Reduce the resulting amount by: reportable on the Form FRA F 6180.55a.
1. 20% for earmuffs,
D. Initially, the baseline is the latest
2. 40% for form-able earplugs, or
audiogram obtained before entry into the
3. 60% for all other earplugs.
hearing conservation program. If no appro-
C. Subtract the remaining amount from
priate pre-entry audiogram exists, the base-
the A-weighted TWA. You will have the esti-
line is the first audiogram obtained after
mated A-weighted TWA for that hearing pro-
entry into the hearing conservation pro-
tector.
gram. Each subsequent audiogram is re-
II. METHOD B FROM ANSI S12.6–1997 viewed to detect improvement in the average
(REAFFIRMED 2002) (average of thresholds at 2, 3, and 4 kHz) and
to detect an FRA STS. The two ears are ex-
Use Method B, which is found in ANSI amined separately and independently for im-
S12.6–1997 (Reaffirmed 2002) ‘‘Methods for provement and for worsening. If one ear
Measuring the Real-Ear Attenuation of meets the criteria for revision of baseline,
Hearing Protectors.’’ The Director of the then the baseline is revised for that ear only.
Federal Register approves the incorporation Therefore, if the two ears show different
by reference of this standard in accordance hearing trends, the baseline for the left ear
with 5 U.S.C. 552(a) and 1 CFR part 51. You may be from one test date, while the base-
may obtain a copy of the incorporated stand- line for the right ear may be from a different
ard from the American National Standards test date.
Institute at 1819 L Street, NW., Washington, E. Age corrections do not apply in consid-
DC 20036, or http://www.ansi.org. You may in- ering revisions for improvement (Rule 1).
spect a copy of the incorporated standard at
the Federal Railroad Administration, Dock-
et Room, 1200 New Jersey Avenue, SE., 1 OSHA and FRA use the same definition
Washington, DC 20590, or at the National Ar- for Standard Threshold Shift (STS). FRA’s
chives and Records Administration (NARA). definition is located in § 227.5. OSHA’s defini-
For information on the availability of this tion is located in 29 CFR 1910.95(g)(10)(i).
417
The FRA-allowed age corrections from ap- ter (more sensitive) results for the average
pendix F of Part 227 2 may be used, if desired, threshold at 2, 3, and 4 kHz.
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 TEST ROOMS
tests, then the earlier test becomes the re-
This appendix is mandatory.
vised baseline.
A. Rooms used for audiometric testing
III. RULE 2: REVISION FOR PERSISTENT shall not have background sound pressure
STANDARD THRESHOLD SHIFT levels exceeding those in Table D–1 when
measured by equipment conforming at least
A. If the average of thresholds for 2, 3, and to the Type 2 requirements of ANSI S1.4–1983
4 kHz for either ear shows a worsening of 10 (Reaffirmed 2001) and to the Class 2 require-
dB or more from the baseline value, and the ments of ANSI S1.11–2004, ‘‘Specification for
STS persists on the next periodic test (or the Octave-Band and Fractional-Octave-Band
next test given at least 6 months later), then Analog and Digital Filters.’’
the record should be identified for review by B. The Director of the Federal Register ap-
the audiologist, otolaryngologist, or physi- proves the incorporation by reference of
cian for potential revision of the baseline for ANSI S1.4–1983 (Reaffirmed 2001) and S.1.11–
persistent worsening. Unless the audiologist, 2004 in this section in accordance with 5
otolaryngologist, or physician determines U.S.C. 552(a) and 1 CFR part 51. You may ob-
and documents specific reasons for not revis- tain a copy of the incorporated standard
ing, the baseline for that ear should be re- from the American National Standards Insti-
vised to the test which shows the lower tute at 1819 L Street, NW., Washington, DC
(more sensitive) value for the average of 20036 or http://www.ansi.org. You may inspect
thresholds at 2, 3, and 4 kHz. If both tests a copy of the incorporated standard at the
show the same numerical value for the aver- Federal Railroad Administration, Docket
age of 2, 3, and 4 kHz, then the audiologist, Room, 1200 New Jersey Avenue, SE., Wash-
otolaryngologist, or physician should revise ington, DC 20590, or at the National Archives
the baseline to the earlier of the two tests, and Records Administration (NARA). For in-
unless the later test shows better (more sen- formation on the availability of this mate-
sitive) thresholds for other test frequencies. rial at NARA, call 202–741–6030, or go to
B. Following an STS, a retest within 90 http://www.archives.gov/federallregister/
days of the periodic test may be substituted codeloflfederallregulations/
for the periodic test if the retest shows bet- 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
2 FRA and OSHA use the same age-correc- of part 227 and OSHA’s in appendix F of 29
tion provisions. FRA’s is found in appendix F CFR 1910.95.
418
Federal Railroad Administration, DOT Pt. 227, App. E
[71 FR 63123, Oct. 27, 2006, as amended at 74 C. The acoustical calibration shall be con-
FR 25173, May 27, 2009] ducted annually.
D. The functional calibration must be con-
APPENDIX E TO PART 227—USE OF IN- ducted before each day’s use of the audiom-
SERT EARPHONES FOR AUDIOMETRIC eter.
TESTING IV. BACKGROUND NOISE LEVELS
This appendix is mandatory. Testing shall be conducted in a room where
Section 227.111(d) allows railroads to use the background ambient noise octave-band
insert earphones for audiometric testing. sound pressures levels meet appendix D to
Railroads are not required to use insert ear- this part.
phones, however, where they elect to use in-
sert earphones, they must comply with the V. CONVERSION FROM SUPRA AURAL
requirements of this appendix. EARPHONES
At the time of conversion from supra-aural
I. ACCEPTABLE FIT to insert earphones, testing must be per-
A. The audiologist, otolaryngologist, or formed with both types of earphones.
other physician responsible for conducting A. The test subject must have a quiet pe-
the audiometric testing, shall identify ear riod of at least 14 hours before testing. Hear-
canals that prevent achievement of an ac- ing protectors may be used as a substitute
ceptable fit with insert earphones, or shall for the quiet period.
assure that any technician under his/her au- B. The supra-aural earphone audiogram
thority who conducts audiometric testing shall be compared to the baseline audiogram,
with insert earphones has the ability to iden- or the revised baseline audiogram if appro-
tify such ear canals. priate, to check for a Standard Threshold
B. Technicians who conduct audiometric Shift (STS). In accordance with § 227.109(f)(2),
tests must be trained to insert the earphones if the audiogram shows an STS, retesting
correctly into the ear canals of test subjects with supra-aural earphones must be per-
and to recognize conditions where ear canal formed within 90 days. If the resulting audio-
size prevents achievement of an acceptable gram confirms the STS, then it is adopted as
insertion depth (fit). the current test instead of the prior one.
C. Insert earphones shall not be used for C. If retesting with supra-aural earphones
audiometric testing of employees with ear is performed, then retesting with insert ear-
canal sizes that prevent achievement of an phones must be performed at that time to es-
acceptable insertion depth (fit). tablish the baseline for future audiometric
tests using the insert earphones.
II. PROPER USE
VI. REVISED BASELINE AUDIOGRAMS
The manufacturer’s guidelines for proper
A. If an STS is confirmed by the re-test
use of insert earphones must be followed.
with supra-aural earphones, the audiogram
III. AUDIOMETER CALIBRATION may become the revised baseline audiogram
per the requirements of § 227.109(i) for all fu-
A. Audiometers used with insert earphones ture hearing tests with supra-aural ear-
must be calibrated in accordance with ANSI phones. The insert-earphone audiogram will
S3.6–2004, ‘‘Specification for Audiometers.’’ become the new reference baseline audio-
The Director of the Federal Register ap- gram for all future hearing tests performed
proves the incorporation by reference of this with insert earphones.
standard in this section in accordance with 5 B. If an STS is not indicated by the test
U.S.C. 552(a) and 1 CFR part 51. You may ob- with supra-aural earphones, the baseline
tain a copy of the incorporated standard audiogram remains the reference baseline
from the American National Standards Insti- audiogram for all future supra-aural ear-
tute at 1819 L Street, NW., Washington, DC phone tests, until such time as an STS is ob-
20036 or http://www.ansi.org. You may inspect served. In this case, the insert-earphone
a copy of the incorporated standard at the audiogram taken at the same time will be-
Federal Railroad Administration, Docket come the new reference baseline audiogram
Room, 1200 New Jersey Avenue, SE., Wash- for all future hearing tests performed with
ington, DC 20590, or at the National Archives insert earphones.
and Records Administration (NARA). For in- C. Transitioning Employees with Partial
formation on the availability of this mate- Shifts. Employers must account for the
rial at NARA, call 202–741–6030, or go to workers who are in the process of developing
http://www.archives.gov/federallregister/ an STS (e.g., demonstrate a 7 dB average
codeloflfederallregulations/ shift), but who at the time of the conversion
ibrllocations.html. to insert earphones do not have a 10 dB aver-
B. Audiometers used with insert earphones age shift. Employers who want to use insert
must be calibrated using one of the couplers earphones must enter the 7 dB shift informa-
listed in Table 7 of ANSI S3.6–2004. tion in the employee’s audiometric test
419
Pt. 227, App. F 49 CFR Ch. II (10–1–11 Edition)
records although it is not an ‘‘STS’’. When most recent audiogram. If the employer
the next annual audiogram using insert ear- chooses to adjust the audiogram, the em-
phones shows an average threshold shift at ployer shall follow the procedure described
2000, 3000 and 4000 Hz of 3 dB, completing the below. This procedure and the age correction
full shift (7 dB + 3 dB), employers must then tables were developed by the National Insti-
label that average shift as an STS. This trig- tute for Occupational Safety and Health in a
gers the follow-up procedures at § 227.109(h). criteria document. See ‘‘Criteria for a Rec-
ommended Standard: Occupational Exposure
VII. RECORDS to Noise,’’ Department of Health and Human
All audiograms (including both those pro- Services (NIOSH) Publication No. 98–126. For
duced through the use of insert earphones each audiometric test frequency:
and supra-aural headsets), calculations, I. Determine from Tables F–1 or F–2 the
pure-tone individual and average threshold age correction values for the employee by:
shifts, full STS migrations, and audiometric A. Finding the age at which the most re-
acoustical calibration records, are to be pre- cent audiogram was taken and recording the
served as records and maintained according corresponding values of age corrections at
to § 227.121(c). 1000 Hz through 6000 Hz;
[71 FR 63123, Oct. 27, 2006, as amended at 74 B. Finding the age at which the baseline
FR 25173, May 27, 2009] audiogram was taken and recording the cor-
responding values of age corrections at 1000
APPENDIX F TO PART 227—CALCULA- Hz through 6000 Hz.
TIONS AND APPLICATION OF AGE COR- II. Subtract the values found in step (I)(B)
RECTIONS TO AUDIOGRAMS
from the value found in step (I)(A).
III. The differences calculated in step (II)
This appendix is non-mandatory. represented that portion of the change in
In determining whether a standard thresh- hearing that may be due to aging.
old shift (STS) has occurred, allowance may Example: Employee is a 32-year-old male.
be made for the contribution of aging to the The audiometric history for his right ear is
change in hearing level by adjusting the 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 audiogram and the most recent audiogram.
hearing loss that may be attributed to aging In this example, the difference at 4000 Hz is
in the time period between the baseline
420
Federal Railroad Administration, DOT Pt. 227, App. F
3 dB. This value is subtracted from the hear- tracted from the adjusted annual audiogram
ing level at 4000 Hz, which in the most recent hearing threshold at 4000 Hz (22). Thus the
audiogram is 25, yielding 22 after adjust- age-corrected threshold shift would be 17 dB
ment. Then the hearing threshold in the (as opposed to a threshold shift of 20 dB
baseline audiogram at 4000 Hz (5) is sub- 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
421
Pt. 227, App. G 49 CFR Ch. II (10–1–11 Edition)
TABLE F–2—AGE CORRECTION VALUES IN DECIBELS FOR FEMALES—Continued

(Hz)
Years
1000 2000 3000 4000 6000
34 ............................................................................................ 9 6 6 6 10
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
(b) Failure to use required equipment .................................................................................... 2,500 5,000
(c) Failure to administer test in room that meets requirements ............................................. 2,500 5,000
422
Willful
(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 Subpart D—Electronic Recordkeeping

RAILROAD EMPLOYEES 228.201 Electronic recordkeeping; general.
228.203 Program components.
Subpart A—General 228.205 Access to electronic records.
228.207 Training.
Sec.
228.1 Scope. Subpart E [Reserved]
228.3 Application.
228.5 Definitions. Subpart F—Substantive Hours of Service
Requirements for Train Employees En-
Subpart B—Records and Reporting gaged in Commuter or Intercity Rail
Passenger Transportation
228.7 Hours of duty.
228.9 Records; general. 228.401 Applicability.
228.11 Hours of duty records. 228.403 Nonapplication, exemption, and defi-
228.13 Preemptive effect. nitions.
228.17 Dispatcher’s record of train move- 228.405 Limitations on duty hours of train
ments. employees engaged in commuter or
intercity rail passenger transportation.
228.19 Monthly reports of excess service.
228.407 Analysis of work schedules; submis-
228.21 Civil penalty.
sions; FRA review and approval of sub-
228.23 Criminal penalty. missions; fatigue mitigation plans.
228.409 Requirements for railroad-provided
Subpart C—Construction of Employee employee sleeping quarters during in-
Sleeping Quarters terim releases and other periods avail-
able for rest within a duty tour.
228.101 Distance requirement; definitions. 228.411 Training.
228.103 Approval procedure: construction 228.413 Compliance date for regulations; ex-
within one-half mile (2,640 feet) (804 me- emption from compliance with statute.
ters). APPENDIX A TO PART 228—REQUIREMENTS OF
228.105 Additional requirements; construc- THE HOURS OF SERVICE ACT: STATEMENT
tion within one-third mile (1,760 feet) (536 OF AGENCY POLICY AND INTERPRETATION
meters) of certain switching. APPENDIX B TO PART 228—SCHEDULE OF CIVIL
228.107 Action on petition. PENALTIES
423
§ 228.1 49 CFR Ch. II (10–1–11 Edition)
APPENDIX C TO PART 228—GUIDELINES FOR all railroads and contractors and sub-
CLEAN, SAFE, AND SANITARY RAILROAD contractors of railroads.
PROVIDED CAMP CARS (b) This part does not apply to:
APPENDIX D TO PART 228—GUIDANCE ON FA-
TIGUE MANAGEMENT PLANS
(1) A railroad or a contractor or sub-
contractor of a railroad that operates
AUTHORITY: 49 U.S.C. 20103, 20107, 21101– only on track inside an installation
21109; Sec. 108, Div. A, Public Law 110–432, 122 which is not part of the general rail-
Stat. 4860–4866; 49 U.S.C. 21301, 21303, 21304,
21311; 28 U.S.C. 2461, note; 49 CFR 1.49; and 49
road system of transportation; or
U.S.C. 103. (2) Rapid transit operations in an
EFFECTIVE DATE NOTE: At 76 FR 50396, Aug. the general railroad system of trans-
12, 2011, the authority citation to part 228
was revised, effective October 15, 2011. For
portation.
the convenience of the user, the revised text [74 FR 25345, May 27, 2009]
is set forth as follows:
AUTHORITY: 49 U.S.C. 20103, 20107, 21101– EFFECTIVE DATE NOTE: At 76 FR 50396, Aug.
21109; Sec. 108, Div. A, Pub. L. 110–432, 122 12, 2011, § 228.3 was amended by revising para-
Stat. 4860–4866; 49 U.S.C. 21301, 21303, 21304, graph (b) introductory text, effective Octo-
21311; 28 U.S.C. 2461, note; 49 U.S.C. 103; and ber 15, 2011 For the convenience of the user,
49 CFR 1.49. the revised text is set forth as follows:
SOURCE: 37 FR 12234, June 21, 1972, unless § 228.3 Application.

otherwise noted.
* * * * *
Subpart A—General (b) Except as provided in § 228.401 of this
part, this part does not apply to:
§ 228.1 Scope.
This part— * * * * *
(a) Prescribes reporting and record-
keeping requirements with respect to § 228.5 Definitions.
the hours of service of certain railroad
employees and certain employees of As used in this part—
railroad contractors and subcontrac- Actual time means either the specific
tors; and time of day, to the hour and minute, or
(b) Establishes standards and proce- the precise amount of time spent in an
dures concerning the construction or activity, in hours and minutes, that
reconstruction of employee sleeping must be included in the hours of duty
quarters. record, including, where appropriate,
reference to the applicable time zone
[43 FR 31012, July 19, 1978, as amended at 74 and either standard time or daylight
FR 25345, May 27, 2009] savings time.
EFFECTIVE DATE NOTE: At 76 FR 50396, Aug. Administrator means the Adminis-
12, 2011, § 228.1 was amended by removing the trator of the Federal Railroad Admin-
word ‘‘and’’ at the end of paragraph (a), re- istration or any person to whom the
moving the period and adding a semicolon in Administrator has delegated authority
its place at the end of paragraph (b), adding
in the matter concerned.
and reserving paragraph (c), and adding para-
graph (d) effective October 15, 2011 For the Administrative duties means any ac-
convenience of the user, the added text is set tivities required by the railroad as a
forth as follows: condition of employment, related to re-
porting, recording, or providing an oral
§ 228.1 Scope. or written statement related to a cur-
rent, previous, or future duty tour.
* * * * * Such activities are considered service
(d) Prescribes substantive hours of service for the railroad, and time spent in
requirements for train employees engaged in these activities must be included in the
commuter or intercity rail passenger trans- total time on duty for any duty tour with
portation. which it may commingle.
At the behest of the employee refers to
§ 228.3 Application. time spent by an employee in a rail-
(a) Except as provided in paragraph road-related activity that is not re-
(b) of this section, this part applies to quired by the railroad as a condition of
424
employment, in which the employee tween the employee’s residence and

voluntarily participates. any reporting point.
At the behest of the railroad refers to Consecutive service is a period of un-
time spent by an employee in a rail- broken total time on duty during a duty
road-required activity that compels an tour.
employee to perform service for the Covered service means—
railroad as a condition of employment. (1) For a train employee, the portion
Broken (aggregate) service means one of the employee’s time on duty during
or more periods of time on duty within which the employee is engaged in, or
a single duty tour separated by one or connected with, the movement of a
more qualifying interim releases. train.
Call and release occurs when an em- (2) For a dispatching service em-
ploying railroad issues an employee a ployee, the portion of the employee’s
report-for-duty time, and then releases time on duty during which the em-
the employee from the requirement to ployee, by the use of an electrical or
report prior to the report-for-duty time. mechanical device, dispatches, reports,
Carrier, common carrier, and common transmits, receives, or delivers an
carrier engaged in interstate or foreign order related to or affecting the move-
commerce by railroad mean railroad. ment of a train.
Commingled service means— (3) For a signal employee, the portion
(1) For a train employee or a signal of the employee’s time on duty during
employee, any non-covered service at which the employee is engaged in in-
the behest of the railroad and per- stalling, repairing, or maintaining a
formed for the railroad that is not sep- signal system.
arated from covered service by a quali-
Covered service assignment means—
fying statutory off-duty period of 8 or
(1) For a train employee, each unique
10 hours or more. Such commingled
service is counted as time on duty pur- assignment of the employee during a
suant to 49 U.S.C. 21103(b)(3) (for train period of covered service that is associ-
employees) or 49 U.S.C. 21104(b)(2) (for ated with either a specific train or a
signal employees). specific yard job.
(2) For a dispatching service em- (2) For a signal employee, the as-
ployee, any non-covered service man- signed duty hours of the employee, in-
dated by the railroad and performed for cluding overtime, or unique trouble
the railroad within any 24-hour period call assignments occurring outside the
containing covered service. Such com- employee’s assigned duty hours.
mingled service is counted as time on (3) For a dispatching service em-
duty pursuant to 49 U.S.C. 21105(c). ployee, each unique assignment for the
Commuting means— employee that occurs within any 24-
(1) For a train employee, the time hour period in which the employee, by
spent in travel— the use of an electrical or mechanical
(i) Between the employee’s residence device, dispatches, reports, transmits,
and the employee’s regular reporting receives, or delivers orders related to
point, and or affecting train movements.
(ii) In railroad-provided or authorized Deadheading means the physical relo-
transportation to and from the lodging cation of a train employee from one
facility at the away-from-home ter- point to another as a result of a rail-
minal (excluding travel for purposes of road-issued verbal or written directive.
an interim release), where such time Designated terminal means the home
(including travel delays and room or away-from-home terminal for the
availability) does not exceed 30 min- assignment of a particular train crew.
utes. Dispatching service employee means an
(2) For a signal employee, the time operator, train dispatcher, or other
spent in travel between the employee’s train employee who by the use of an
residence and the employee’s head- electrical or mechanical device dis-
quarters. patches, reports, transmits, receives,
(3) For a dispatching service em- or delivers orders related to or affect-
ployee, the time spent in travel being train movements.
425
§ 228.5 49 CFR Ch. II (10–1–11 Edition)
Duty location for a signal employee is On-duty time means the actual time
the employee’s headquarters or the pre- that an employee reports for duty to
cise location where the employee is ex- begin a covered service assignment.
pected to begin performing service for Other-than-regular reporting point
the railroad as defined in 49 U.S.C. means any location where a train em-
21104(b)(1) and (2). ployee reports to begin or restart a
Duty tour means— duty tour, that is not the employee’s
(1) The total of all periods of covered regular reporting point.
service and commingled service for a train Prior time off means the amount of
employee or a signal employee occur- time that an employee has been off duty
ring between two statutory off-duty peri- between identifiable periods of service
ods (i.e., off-duty periods of a minimum at the behest of the railroad.
of 8 or 10 hours); or Program edits are filters contained in
(2) The total of all periods of covered the logic of an hours of service record-
service and commingled service for a dis- keeping program that detect identifi-
patching service employee occurring in able reporting errors made by a report-
any 24-hour period. ing employee at the time of data entry,
Employee means an individual em- and prevent the employee from submit-
ployed by a railroad or a contractor or ting a record without first correcting
subcontractor to a railroad who— or explaining any identified errors or
(1) Is actually engaged in or con- anomalies.
nected with the movement of any Quick tie-up is a data entry process
train, including a person who performs used only when an employee is within
the duties of a hostler; 3 minutes of, or is beyond, his or her
(2) Dispatches, reports, transmits, re- statutory maximum on-duty period,
ceives, or delivers an order pertaining which process allows an employee to
to a train movement by the use of tele- enter only the basic information nec-
graph, telephone, radio, or any other essary for the railroad to identify the
electrical or mechanical device; or beginning of an employee’s statutory
(3) Is engaged in installing, repairing, off-duty period, to avoid the excess
or maintaining a signal system. service that would otherwise be in-
Final release is the time that a train curred in completing the full record for
employee or a signal employee is re- the duty tour. The information per-
leased from all activities at the behest mitted in a quick tie-up process is lim-
of the railroad and begins his or her ited to, at a maximum:
statutory off-duty period. (1) Board placement time;
Headquarters means the regular as- (2) Relieved location, date, and time;
signed on-duty location for signal em-
(3) Final release location, date, and
ployees, or the lodging facility or crew
time;
quarters where traveling signal gangs
reside when working at various system (4) Contact information for the em-
locations. ployee during the statutory off-duty
period;
Interim release means an off-duty pe-
riod applied to train employees only, of (5) Request for rest in addition to the
at least 4 hours but less than the re- statutory minimum, if provided by col-
quired statutory off-duty period at a des- lective bargaining agreement or local
ignated terminal, which off-duty period practice;
temporarily suspends the accumulation (6) The employee may be provided an
of time on duty, but does not start a option to enter basic payroll informa-
new duty tour. tion, related only to the duty tour
Limbo time means a period of time being tied up; and
treated as neither time on duty nor (7) Employee certification of the tie-
time off duty in 49 U.S.C. 21103 and up information provided.
21104, and any other period of service Railroad means a person providing
for the railroad that does not qualify railroad transportation.
as either covered service or commin-
gled service.
426
Railroad transportation means any begins an off-duty period of at least one

form of non-highway ground transpor- hour.
tation that runs on rails or electro- Relieved time means—
magnetic guideways, including com- (1) The actual time that a train em-
muter or other short-haul rail pas- ployee stops performing a covered serv-
senger service in a metropolitan or ice assignment or commingled service.
suburban area, and high speed ground (2) The actual time that a signal em-
transportation systems that connect ployee:
metropolitan areas, without regard to (i) Completes his or her assigned duty
whether they use new technologies not hours, or stops performing covered serv-
associated with traditional railroads. ice or commingled service, whichever is
Such term does not include rapid tran- later; or
sit operations within an urban area (ii) Stops performing covered service
that are not connected to the general associated with a trouble call or other
railroad system of transportation. unscheduled duty outside of normally
Regular reporting point means the per- assigned duty hours.
manent on-duty location of a train em- Reports for duty means that an em-
ployee’s regular assignment that is es- ployee—
tablished through a job bulletin assign- (i) Presents himself or herself at the
ment (either a job award or a forced as- location established by the railroad at
signment) or through an employee’s ex- the time the railroad established for
ercise of seniority to be placed in an the employee to be present; and
assignment. The assigned regular re- (ii) Is ready to perform covered serv-
porting point is a single fixed location ice.
identified by the railroad, even for Report-for-duty time means—
extra board and pool crew employees. (1) For a train employee, the actual
Release means— time that the employee is required to
(1) For a train employee, be present at a reporting point and pre-
pared to start a covered service assign-
(i) The time within the duty tour that
ment.
the employee begins an interim release;
(2) For a signal employee, the as-
(ii) The time that an employee com- signed starting time of an employee’s
pletes a covered service assignment and scheduled shift, or the time that he or
begins another covered service assign- she receives a trouble call or a call for
ment on a different train or job, or any other unscheduled duty during an
(iii) The time that an employee com- off-duty period.
pletes a covered service assignment to (3) For a dispatching service em-
begin another activity that counts as ployee, when the employee begins the
time on duty (including waiting for turn-over process at or before the be-
deadhead transportation to another ginning of his or her assigned shift, or
duty location at which the employee begins any other activity at the behest
will perform covered service, of the railroad during any 24-hour pe-
deadheading to duty, or any other com- riod in which covered service is per-
mingled service). formed.
(2) For a signal employee, the time Reporting point means any location
within a duty tour that the employee— where an employee is required to begin
(i) Completes his or her regular as- or restart a duty tour.
signed hours and begins an off-duty pe- Seniority move means a repositioning
riod of at least one hour but less than at the behest of the employee, usually a
a statutory off-duty period; or repositioning from a regular assign-
(ii) Completes his or her return trav- ment or extra board to a different regu-
el from a trouble call or other unsched- larly assigned position or extra board,
uled duty and begins an off-duty period as the result of the employee’s selec-
of at least one hour, but less than a tion of a bulletin assignment or the
statutory off-duty period. employee’s exercise of seniority over a
(3) For a dispatching service em- junior employee.
ployee, when he or she stops per- Signal employee means an individual
forming covered service and commingled who is engaged in installing, repairing,
service within any 24-hour period and or maintaining signal systems.
427
§ 228.5 49 CFR Ch. II (10–1–11 Edition)
Station, office or tower means the pre- October 15, 2011 For the convenience of the
cise location where a dispatching serv- user, the revised text is set forth as follows:
ice employee is expected to perform
§ 228.5 Definitions.
service for the railroad as defined in 49
U.S.C. 21105(b) and (c).
Statutory off-duty period means the * * * * *
period of 8 or 10 consecutive hours or Associate Administrator means the Associate
more time, that is the minimum off- Administrator for Railroad Safety/Chief
duty period required under the hours of Safety Officer, Office of Railroad Safety,
service laws for a train employee or a Federal Railroad Administration, or any per-
signal employee to begin a new 24-hour son to whom he or she has delegated author-
period for the purposes of calculating ity in the matter concerned.
his or her total time on duty.
Total off-duty period means the actual * * * * *
amount of time that a train employee
or a signal employee is off duty be- FRA means the Federal Railroad Adminis-
tween duty tours after the previous tration.
final release and before the beginning
of the next duty tour. This time may * * * * *
differ from the expected prior time off Type 1 assignment means an assignment to
that will be generated by the record- be worked by a train employee who is en-
keeping system, if the employee per- gaged in commuter or intercity rail pas-
formed service at the behest of the rail- senger transportation that requires the em-
road between the duty tours. ployee to report for duty no earlier than 4
Total time on duty (TTOD) means the a.m. on a calendar day and be released from
total accumulation of time spent in pe- duty no later than 8 p.m. on the same cal-
riods of covered service and commingled endar day, and that complies with the provi-
service between qualifying statutory off- sions of § 228.405. For the purposes of this
duty periods of 8 or 10 hours or more. part, FRA considers a Type 1 assignment to
Mandatory activities that do not con- present an acceptable level of risk for fa-
stitute covered service, such as rules tigue that does not violate the defined fa-
tigue threshold under a scientifically valid,
classes, when they may not attach to
biomathematical model of human perform-
covered service, are counted as limbo ance and fatigue specified by FRA at
time, rather than commingled service, § 228.407(c)(1) or approved by FRA under the
which limbo time is not counted to- procedures at § 228.407(c)(2). However, a Type
ward the calculation of total time on 1 assignment that is delayed such that the
duty. schedule actually worked includes any pe-
Train employee means an individual riod of time between midnight and 4 a.m. is
engaged in or connected with the considered a Type 2 assignment for the pur-
movement of a train, including a hos- poses of compliance with § 228.405.
tler. Type 2 assignment. (1) Type 2 assignment
Travel time means— means an assignment to be worked by a
(1) For a signal employee, the time train employee who is engaged in commuter
spent in transportation between the or intercity rail passenger transportation
that requires the employee to be on duty for
employee’s headquarters and an out-
any period of time between 8:01 p.m. on a cal-
lying duty point or between the em- endar day and 3:59 a.m. on the next calendar
ployee’s residence and an outlying duty day, or that otherwise fails to qualify as a
point, or, between duty locations, in- Type 1 assignment. A Type 2 assignment is
cluding both on-track and on-highway considered a Type 1 assignment if—
vehicular travel. (i) It does not violate the defined fatigue
(2) For a dispatching service em- threshold under a scientifically valid bio-
ployee, the time spent in travel be- mathematical model of human performance
tween stations, offices, or towers during and fatigue specified by FRA at 228.407(c)(2)
the employee’s time on duty. or approved by FRA under the procedures at
§ 228.407(c)(1);
[74 FR 25346, May 27, 2009] (ii) It complies with the provisions of
EFFECTIVE DATE NOTE: At 76 FR 50396, Aug. § 228.405; and
12, 2011, § 228.3 was amended by adding defini- (iii) It does not require the employee to be
tions of Associate Administrator, FRA, Type 1 on duty for any period of time between mid-
assignment, and Type 2 assignment, effective night and 4 a.m.
428
(2) If a Type 2 assignment that would nor- (1) Signed by the employee whose
mally qualify to be treated as a Type 1 as- time on duty is being recorded or, in
signment is delayed so that the schedule ac- the case of a train and engine crew or
tually worked includes any period of time
between midnight and 4 a.m., the assignment
a signal employee gang, signed by the
is considered a Type 2 assignment for the ranking crewmember;
purposes of compliance with § 228.405. (2) Retained for two years at loca-
tions identified by the carrier; and
(3) Available upon request at the
Subpart B—Records and Reporting identified location for inspection and
§ 228.7 Hours of duty. copying by the Administrator during
regular business hours.
(a) For purposes of this part, time on (b) Each electronic record main-
duty of an employee actually engaged tained under this part shall be—
in or connected with the movement of (1) Certified by the employee whose
any train, including a hostler, begins time on duty is being recorded or, in
when he reports for duty and ends when the case of a train and engine crew or
he is finally released from duty, and in- a signal employee gang, certified by
cludes— the reporting employee who is a mem-
(1) Time engaged in or connected ber of the train crew or signal gang
with the movement of any train; whose time is being recorded;
(2) Any interim period available for (2) Electronically stamped with the
rest at a location that is not a des- certifying employee’s name and the
ignated terminal; date and time of certification;
(3) Any interim period of less than 4 (3) Retained for 2 years in a secured
hours available for rest at a designated file that prevents alteration after cer-
terminal; tification;
(4) Time spent in deadhead transpor- (4) Accessible by the Administrator
tation en route to a duty assignment; through a computer terminal of the
and railroad, using a railroad-provided
(5) Time engaged in any other service identification code and a unique pass-
for the carrier. word.
Time spent in deadhead transportation (5) Reproducible using the printing
by an employee returning from duty to capability at the location where
his point of final release may not be records are accessed.
counted in computing time off duty or [74 FR 25348, May 27, 2009]
time on duty.
(b) For purposes of this part, time on § 228.11 Hours of duty records.
duty of an employee who dispatches, (a) In general. Each railroad, or a con-
reports, transmits, receives, or delivers tractor or a subcontractor of a rail-
orders pertaining to train movements road, shall keep a record, either manu-
by use of telegraph, telephone, radio, ally or electronically, concerning the
or any other electrical or mechanical hours of duty of each employee. Each
device includes all time on duty in contractor or subcontractor of a rail-
other service performed for the com- road shall also record the name of the
mon carrier during the 24-hour period railroad for whom its employee per-
involved. formed covered service during the duty
(c) For purposes of this part, time on tour covered by the record. Employees
duty of an employee who is engaged in who perform covered service assign-
installing, repairing or maintaining ments in a single duty tour that are
signal systems includes all time on subject to the recordkeeping require-
duty in other service performed for a ments of more than one paragraph of
common carrier during the 24-hour pe- this section, must complete the record
riod involved. applicable to the covered service posi-
[37 FR 12234, June 21, 1972, as amended at 43 tion for which they were called, and
FR 3124, Jan. 23, 1978] record other covered service as an ac-
tivity constituting other service at the
§ 228.9 Records; general. behest of the railroad.
(a) Each manual record maintained (b) For train employees. Except as pro-
under this part shall be— vided by paragraph (c) of this section,
429
§ 228.11 49 CFR Ch. II (10–1–11 Edition)
each hours of duty record for a train transportation, other than personal
employee shall include the following commuting, if any, to the first assign-
information about the employee: ment in a duty tour, from an assign-
(1) Identification of the employee ment to the location of a period of in-
(initials and last name; or if last name terim release, from a period of interim
is not the employee’s surname, provide release to the next assignment, or from
the employee’s initials and surname). the last assignment in a duty tour to
(2) Each covered service position in a the point of final release, including the
duty tour. mode of transportation (train, track
(3) Amount of time off duty before car, railroad-provided motor vehicle,
beginning a new covered service assign- personal automobile, etc.).
ment or resuming a duty tour. (9) Beginning and ending location,
(4) Train ID for each assignment re- date, and time of any other service per-
quired to be reported by this part, ex- formed at the behest of the railroad.
cept for the following employees, who (10) Identification (code) of service
may instead report the unique job or type for any other service performed at
train ID identifying their assignment: the behest of the railroad.
(i) Utility employees assigned to per- (11) Total time on duty for the duty
form covered service, who are identi- tour.
fied as such by a unique job or train ID; (12) Reason for any service that ex-
(ii) Employees assigned to yard jobs, ceeds 12 hours total time on duty for
except that employees assigned to per- the duty tour.
form yard jobs on all or parts of con- (13) The total amount of time by
secutive shifts must at least report the which the sum of total time on duty
yard assignment for each shift; and time spent awaiting or in deadhead
(iii) Assignments, either regular or transportation to the point of final re-
extra, that are specifically established lease exceeds 12 hours.
to shuttle trains into and out of a ter- (14) The cumulative total for the cal-
minal during a single duty tour that endar month of—
are identified by a unique job or train (i) Time spent in covered service;
symbol as such an assignment. (ii) Time spent awaiting or in
(5) Location, date, and beginning deadhead transportation from a duty
time of the first assignment in a duty assignment to the place of final re-
tour, and, if the duty tour exceeds 12 lease; and
hours and includes a qualifying period (iii) Time spent in any other service
of interim release as provided by 49 at the behest of the railroad.
U.S.C. 21103(b), the location, date, and (15) The cumulative total for the cal-
beginning time of the assignment im- endar month of time spent awaiting or
mediately following the interim rein deadhead transportation from a duty
lease. assignment to the place of final release
(6) Location, date, and time relieved following a period of 12 consecutive
for the last assignment in a duty tour, hours on duty.
and, if the duty tour exceeds 12 hours (16) Number of consecutive days in
and includes a qualifying period of in- which a period of time on duty was ini-
terim release as provided by 49 U.S.C. tiated.
21103(b), the location, date, and time (c) Exceptions to requirements for train
relieved for the assignment imme- employees. Paragraphs (b)(13) through
diately preceding the interim release. (b)(16) of this section do not apply to
(7) Location, date, and time released the hours of duty records of train em-
from the last assignment in a duty ployees providing commuter rail pas-
tour, and, if the duty tour exceeds 12 senger transportation or intercity rail
hours and includes a qualifying period passenger transportation.
of interim release as provided by 49 (d) For dispatching service employees.
U.S.C. 21103(b), the location, date, and Each hours of duty record for a dis-
time released from the assignment im- patching service employee shall in-
mediately preceding the interim re- clude the following information about
lease. the employee:
(8) Beginning and ending location, (1) Identification of the employee
date, and time for periods spent in (initials and last name; or if last name
430
is not the employee’s surname, provide the convenience of the user, the revised text
the employee’s initials and surname). is set forth as follows:
(2) Each covered service position in a
§ 228.11 Hours of duty records.
duty tour.
(3) Amount of time off duty before
going on duty or returning to duty in a * * * * *
duty tour. (c) Exceptions to requirements for train em-
(4) Location, date, and beginning ployees. Paragraphs (b)(13) through (b)(16) of
time of each assignment in a duty tour. this section do not apply to the hours of duty
(5) Location, date, and time released records of train employees providing com-
from each assignment in a duty tour. muter rail passenger transportation or inter-
(6) Beginning and ending location, city rail passenger transportation. In addi-
date, and time of any other service per- tion to the information required by para-
formed at the behest of the railroad. graphs (b)(1) through (b)(12) of this section,
(7) Total time on duty for the duty each hours of duty record for a train em-
tour. ployee providing commuter rail passenger
(e) For signal employees. Each hours of transportation or intercity rail passenger
transportation shall include the following in-
duty record for a signal employee shall
formation:
include the following information
(1) For train employees providing com-
about the employee: muter rail passenger transportation or inter-
(1) Identification of the employee city rail passenger transportation, the date
(initials and last name; or if last name on which the series of at most 14 consecutive
is not the employee’s surname, provide calendar days began for the duty tour.
the employee’s initials and surname). (2) For train employees providing com-
(2) Each covered service position in a muter rail passenger transportation or inter-
duty tour. city rail passenger transportation, any date
(3) Headquarters location for the em- prior to the duty tour and during the series
ployee. of at most 14 consecutive calendar days on
(4) Amount of time off duty before which the employee did not initiate an on-
going on duty or resuming a duty tour. duty period, if any.
(5) Location, date, and beginning
time of each covered service assign- * * * * *
ment in a duty tour.
(6) Location, date, and time relieved § 228.13 Preemptive effect.
for each covered service assignment in Under 49 U.S.C. 20106, issuance of the
a duty tour. regulations in this part preempts any
(7) Location, date, and time released State law, regulation, or order cov-
from each covered service assignment
ering the same subject matter, except
in a duty tour.
for a provision necessary to eliminate
(8) Beginning and ending location,
or reduce an essentially local safety
date, and time for periods spent in
hazard if that provision is not incom-
transportation, other than personal
commuting, to or from a duty assign- patible with a law, regulation, or order
ment, and mode of transportation of the United States government and
(train, track car, railroad-provided does not unreasonably burden inter-
motor vehicle, personal automobile, state commerce. Nothing in this para-
etc.). graph shall be construed to preempt an
(9) Beginning and ending location, action under State law seeking dam-
date, and time of any other service per- ages for personal injury, death, or
formed at the behest of the railroad. property damage alleging that a party
(10) Total time on duty for the duty has failed to comply with the Federal
tour. standard of care established by this
(11) Reason for any service that ex- part, has failed to comply with its own
ceeds 12 hours total time on duty for plan, rule, or standard that it created
the duty tour. pursuant to this part, or has failed to
comply with a State law, regulation, or
[74 FR 25348, May 27, 2009]
order that is not incompatible with the
EFFECTIVE DATE NOTE: At 76 FR 50397, Aug. first sentence of this paragraph.
12, 2011, § 228.11 was amended by revising
paragraph (c), effective October 15, 2011 For [74 FR 25349, May 27, 2009]
431
§ 228.17 49 CFR Ch. II (10–1–11 Edition)
§ 228.17 Dispatcher’s record of train (1) A train employee is on duty for

movements. more than 12 consecutive hours.
(a) Each carrier shall keep, for each (2) A train employee continues on
dispatching district, a record of train duty without at least 10 consecutive
movements made under the direction hours off duty during the preceding 24
hours. Instances involving duty tours
and control of a dispatcher who uses
that are broken by less than 10 con-
telegraph, telephone, radio, or any
secutive hours off duty which duty
other electrical or mechanical device
tours constitute more than a total of 12
to dispatch, report, transmit, receive,
hours time on duty must be reported.1
or deliver orders pertaining to train
(3) A train employee returns to duty
movements. The following information
without at least 10 consecutive hours
shall be included in the record:
off duty during the preceding 24 hours.
(1) Identification of timetable in ef- Instances involving duty tours that are
fect. broken by less than 10 consecutive
(2) Location and date. hours off duty which duty tours con-
(3) Identification of dispatchers and stitute more than a total of 12 hours
their times on duty. time on duty must be reported.1
(4) Weather conditions at 6-hour in- (4) A train employee returns to duty
tervals. without additional time off duty, equal
(5) Identification of enginemen and to the total amount of time by which
conductors and their times on duty. the employee’s sum of total time on
(6) Identification of trains and en- duty and time spent awaiting or in
gines. deadhead transportation to the point of
(7) Station names and office designa- final release exceeds 12 hours.
tions. (5) A train employee exceeds a cumu-
(8) Distances between stations. lative total of 276 hours in the fol-
(9) Direction of movement and the lowing activities in a calendar month:
time each train passes all reporting (i) Time spent in covered service;
stations. (ii) Time spent awaiting or in
(10) Arrival and departure times of deadhead transportation from a duty
trains at all reporting stations. assignment to the place of final re-
(11) Unusual events affecting move- lease; and
ment of trains and identification of (iii) Time spent in any other service
trains affected. at the behest of the railroad.
(b) [Reserved] (6) A train employee initiates an on-
duty period on more than 6 consecutive
§ 228.19 Monthly reports of excess days, when the on-duty period on the
service. sixth consecutive day ended at the em-
(a) In general. Except as provided in ployee’s home terminal, and the sev-
paragraph (h) of this section, each rail- enth consecutive day is not allowed
road, or a contractor or a subcon- pursuant to a collective bargaining
tractor of a railroad, shall report to agreement or pilot project.
the Associate Administrator for Rail- (7) A train employee returns to duty
road Safety/Chief Safety Officer, Fed- after initiating an on-duty period on 6
eral Railroad Administration, Wash- consecutive days, without 48 consecu-
ington, DC 20590, each instance of ex- tive hours off duty at the employee’s
cess service listed in paragraphs (b) home terminal.
through (e) of this section, in the man- (8) A train employee initiates an on-
ner provided by paragraph (f) of this duty period on more than 7 consecutive
section, within 30 days after the cal- days.
endar month in which the instance oc-
1 Instances involving duty tours that are
curs.
(b) For train employees. Except as pro- broken by four or more consecutive hours of
off duty time at a designated terminal which
vided in paragraph (c) of this section, duty tours do not constitute more than a
the following instances of excess serv- total of 12 hours time on duty are not re-
ice by train employees must be required to be reported, provided such duty
ported to FRA as required by this sec- tours are immediately preceded by 10 or
tion: more consecutive hours of off-duty time.
432
(9) A train employee returns to duty (d) For dispatching service employees.
after initiating an on-duty period on 7 The following instances of excess serv-
consecutive days, without 72 consecu- ice by dispatching service employees
tive hours off duty at the employee’s must be reported to FRA as required
home terminal. by this section:
(10) A train employee exceeds the fol- (1) A dispatching service employee is
lowing limitations on time spent on duty for more than 9 hours in any
awaiting or in deadhead transportation 24-hour period at an office where two or
from a duty assignment to the place of more shifts are employed.
final release following a period of 12 (2) A dispatching service employee is
consecutive hours on duty: on duty for more than 12 hours in any
(i) 40 hours in any calendar month 24-hour period at any office where one
completed prior to October 1, 2009; shift is employed.
(ii) 20 hours in the transition period (e) For signal employees. The following
from October 1, 2009–October 15, 2009; instances of excess service by signal
(iii) 15 hours in the transition period employees must be reported to FRA as
from October 16, 2009–October 31, 2009; required by this section:
and (1) A signal employee is on duty for
(iv) 30 hours in any calendar month more than 12 consecutive hours.
completed after October 31, 2009. (2) A signal employee continues on
(c) Exception to requirements for train duty without at least 10 consecutive
employees. For train employees who hours off duty during the preceding 24
provide commuter rail passenger trans- hours.
portation or intercity rail passenger (3) A signal employee returns to duty
transportation during a duty tour, the without at least 10 consecutive hours
following instances of excess service off duty during the preceding 24 hours.
must be reported to FRA as required (f) Except as provided in paragraph
by this section: (h) of this section, reports required by
(1) A train employee is on duty for paragraphs (b) through (e) of this sec-
more than 12 consecutive hours. tion shall be filed in writing on FRA
(2) A train employee returns to duty Form F–6180–3 3 with the Office of Rail-
after 12 consecutive hours of service road Safety, Federal Railroad Adminis-
without at least 10 consecutive hours tration, Washington, DC 20590. A sepa-
off duty. rate form shall be used for each in-
(3) A train employee continues on stance reported.
duty without at least 8 consecutive (g) Use of electronic signature. For the
hours off duty during the preceding 24 purpose of complying with paragraph
hours. Instances involving duty tours (f) of this section, the signature re-
that are broken by less than 8 consecu- quired on Form FRA F–6180–3 may be
tive hours off duty which duty tours provided to FRA by means of an elec-
constitute more than a total of 12 tronic signature provided that:
hours time on duty must be reported.2 (1) The record contains the printed
name of the signer and the date and ac-
(4) A train employee returns to duty
tual time that the signature was exe-
without at least 8 consecutive hours off
cuted, and the meaning (such as au-
duty during the preceding 24 hours. In-
thorship, review, or approval), associ-
stances involving duty tours that are
ated with the signature;
broken by less than 8 consecutive
(2) Each electronic signature shall be
hours off duty which duty tours con-
unique to one individual and shall not
stitute more than a total of 12 hours
be used by, or assigned to, anyone else;
time on duty must be reported.2
(3) Before a railroad, or a contractor
or subcontractor to a railroad, estab-
2 Instances involving duty tours that are
lishes, assigns, certifies, or otherwise
broken by four or more consecutive hours of sanctions an individual’s electronic
off-duty time at a designated terminal which
duty tours do not constitute more than a
total of 12 hours time on duty are not re- 3 Form may be obtained from the Office of
quired to be reported, provided such duty Railroad Safety, Federal Railroad Adminis-
tours are immediately preceded by 8 or more tration, Washington, DC 20590. Reproduction
consecutive hours of off-duty time. is authorized.
433
§ 228.21 49 CFR Ch. II (10–1–11 Edition)
signature, or any element of such elec- graph (c)(5) through (8), effective October 15,
tronic signature, the organization shall 2011 For the convenience of the user, the
verify the identity of the individual; added text is set forth as follows:
(4) Persons using electronic signa- § 228.19 Monthly reports of excess service.
tures shall, prior to or at the time of
such use, certify to the agency that the * * * * *
electronic signatures in their system,
used on or after the effective date of (c) * * *
this regulation, are the legally binding (5) A train employee, after first initiating
an on-duty period each day for 6 or more
equivalent of traditional handwritten consecutive calendar days including one or
signatures; more Type 2 assignments, the last on-duty
(5) The certification shall be sub- period of which ended at the employee’s
mitted, in paper form and signed with home terminal, initiates an on-duty period
a traditional handwritten signature, to without having had 24 consecutive hours off
the Associate Administrator for Rail- duty at the employee’s home terminal.
road Safety/Chief Safety Officer; and (6) A train employee, after first initiating
(6) Persons using electronic signa- an on-duty period each day for 6 or more
consecutive days including one or more Type
tures shall, upon agency request, pro- 2 assignments, initiates two or more on-duty
vide additional certification or testi- periods without having had 24 consecutive
mony that a specific electronic signa- hours off duty at the employee’s home ter-
ture is the legally binding equivalent minal.
of the signer’s handwritten signature. (7) A train employee, after initiating on-
(h) Exception. A railroad, or a con- duty periods on 13 or more calendar days
tractor or subcontractor to a railroad, during a series of at most 14 consecutive cal-
is excused from the requirements of endar days as defined in § 228.405(a)(3)(i), the
last of which ended at the employee’s home
paragraphs (a) and (f) of this section as terminal, then initiates an on-duty period
to any employees for which— without having had at least two consecutive
(1) The railroad, or a contractor or calendar days off duty at the employee’s
subcontractor to a railroad, maintains home terminal.
hours of service records using an elec- (8) A train employee, after initiating an
tronic recordkeeping system that com- on-duty periods on 13 or more calendar days
plies with the requirements of subpart during a series of at most 14 consecutive cal-
D of this part; and endar days as defined in § 228.405(a)(3)(i), then
initiates two or more on-duty periods with-
(2) The electronic recordkeeping sys- out having had at least two consecutive cal-
tem referred to in paragraph (h)(1) of endar days off duty at the employee’s home
this section requires— terminal.
(i) The employee to enter an expla-
nation for any excess service certified * * * * *
by the employee; and
(ii) The railroad, or a contractor or § 228.21 Civil penalty.
subcontractor of a railroad, to analyze
Any person (an entity of any type
each instance of excess service cer-
covered under 1 U.S.C. 1, including but
tified by one of its employees, make a
determination as to whether each in- not limited to the following: a railroad;
stance of excess service would be re- a manager, supervisor, official, or
portable under the provisions of para- other employee or agent of a railroad;
graphs (b) through (e) of this section, any owner, manufacturer, lessor, or
and allows the railroad, or a contractor lessee of railroad equipment, track, or
or subcontractor to a railroad, to ap- facilities; any independent contractor
pend its analysis to its employee’s providing goods or services to a rail-
electronic record; and road; and any employee of such owner,
(iii) Allows FRA inspectors and State manufacturer, lessor, lessee, or inde-
inspectors participating under 49 CFR pendent contractor) who violates any
part 212 access to employee reports of requirement of this part or causes the
excess service and any explanations violation of any such requirement is
provided. subject to a civil penalty of at least
$650 and not more than $25,000 per vio-
[74 FR 25349, May 27, 2009] lation, except that: Penalties may be
EFFECTIVE DATE NOTE: At 76 FR 50397, Aug. assessed against individuals only for
12, 2011, § 228.19 was amended by adding para- willful violations, and, where a grossly
434
negligent violation or a pattern of re- general definition of ‘‘immediate vicin-

peated violations has created an immi- ity’’ (§ 228.101(b)), (2) procedures under
nent hazard of death or injury to per- which a carrier may request a deter-
sons, or has caused death or injury, a mination by the Federal Railroad Ad-
penalty not to exceed $100,000 per viola- ministration that a particular proposed
tion may be assessed. Each day a viola- site is not within the ‘‘immediate vi-
tion continues shall constitute a sepa- cinity’’ of railroad switching or hump-
rate offense. See appendix B to this ing operations (§§ 228.103 and 228.105),
part for a statement of agency civil and (3) the basic criteria utilized in
penalty policy. Violations of the Hours evaluating proposed sites (§ 228.107).
of Service Act itself (e.g., requiring an (b) Except as determined in accord-
employee to work excessive hours or ance with the provisions of this sub-
beginning construction of a sleeping part. ‘‘The immediate vicinity’’ shall
quarters subject to approval under sub- mean the area within one-half mile
part C of this part without prior ap- (2,640 feet) (804 meters) of switching or
proval) are subject to penalty under humping operations as measured from
that Act’s penalty provision, 45 U.S.C. the nearest rail of the nearest trackage
64a. where switching or humping operations
are performed to the point on the site
FR 11622, Mar. 10, 1998; 69 FR 30594, May 28, where the carrier proposes to construct
2004; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, or reconstruct the exterior wall of the
Dec. 30, 2008] structure, or portion of such wall,
which is closest to such operations.
§ 228.23 Criminal penalty. (c) As used in this subpart—
Any person who knowingly and will- (1) Construction shall refer to the—
fully falsifies a report or record re- (i) Creation of a new facility;
quired to be kept under this part or (ii) Expansion of an existing facility;
otherwise knowingly and willfully vio- (iii) Placement of a mobile or mod-
lates any requirement of this part may ular facility; or
be liable for criminal penalties of a fine (iv) Acquisition and use of an exist-
up to $5,000, imprisonment for up to ing building.
two years, or both, in accordance with (2) Reconstruction shall refer to the—
49 U.S.C. 21311(a). (i) Replacement of an existing facil-
ity with a new facility on the same
[74 FR 25350, May 27, 2009]
site; or
(ii) Rehabilitation or improvement of
Subpart C—Construction of an existing facility (normal periodic
Employee Sleeping Quarters maintenance excepted) involving the
expenditure of an amount representing
SOURCE: 43 FR 31012, July 19, 1978, unless more than 50 percent of the cost of re-
otherwise noted. placing such facility on the same site
at the time the work of rehabilitation
§ 228.101 Distance requirement; defini- or improvement began, the replace-
tions. ment cost to be estimated on the basis
(a) The Hours of Service Act, as of contemporary construction methods
amended (45 U.S.C. 61–64b), makes it and materials.
unlawful for any common carrier en- (3) Switching or humping operations in-
gaged in interstate or foreign com- cludes the classification of placarded
merce by railroad to begin, on or after railroad cars according to commodity
July 8, 1976, the construction or recon- or destination, assembling of placarded
struction of sleeping quarters for em- cars for train movements, changing the
ployees who perform duties covered by position of placarded cars for purposes
the act ‘‘within or in the immediate vi- of loading, unloading, or weighing, and
cinity (as determined in accordance the placing of placarded cars for repair.
with rules prescribed by the Secretary However, the term does not include the
of Transportation) of any area where moving of rail equipment in connection
railroad switching or humping oper- with work service, the moving of a
ations are performed.’’ 45 U.S.C. train or part of a train within yard
62(a)(4). This subpart sets forth (1) a limits by a road locomotive or placing
435
§ 228.103 49 CFR Ch. II (10–1–11 Edition)
locomotives or cars in a train or re- does not have reliable records con-
moving them from a train by a road lo- cerning the traffic handled on the
comotive while en route to the train’s trackage within the specified period, it
destination. The term does include op- shall be presumed that switching of
erations within this definition which placarded cars is conducted at the loca-
are conducted by any railroad; it is not tion and construction or reconstruc-
limited to the operations of the carrier tion of sleeping quarters within one-
contemplating construction or recon- half mile shall be subject to the ap-
struction of railroad employee sleeping proval procedures of this subpart.
quarters. (c) A petition shall be filed in accord-
(4) Placarded car shall mean a rail- ance with the requirements of
road car required to be placarded by § 211.7(b)(1) of this chapter and shall
the Department of Transportation haz- contain the following:
ardous materials regulations (49 CFR (1) A brief description of the type of
172.504). construction planned, including mate-
(5) The term Leq (8) shall mean the rials to be employed, means of egress
equivalent steady state sound level
from the quarters, and actual and pro-
which in 8 hours would contain the
jected exterior noise levels and pro-
same acoustic energy as the time-vary-
jected interior noise levels;
ing sound level during the same time
period. (2) The number of employees ex-
pected to utilize the quarters at full ca-
§ 228.103 Approval procedure: con- pacity;
struction within one-half mile (2,640 (3) A brief description of the site, in-
feet) (804 meters). cluding:
(a) A common carrier that has devel- (i) Distance from trackage where
oped plans for the construction or re- switching or humping operations are
construction of sleeping quarters sub- performed, specifying distances from
ject to this subpart and which is con- particular functions such as classifica-
sidering a site less than one-half mile tion, repair, assembling of trains from
(2,640 feet) (804 meters) from any area large groups of cars, etc. cetera;
where switching or humping operations (ii) Topography within a general area
are performed, measured from the consisting of the site and all of the rail
nearest rail of the nearest trackage facilities close to the site;
utilized on a regular or intermittent (iii) Location of other physical im-
basis for switching or humping oper- provements situated between the site
ations to the point on the site where and areas where railroad operations are
the carrier proposes to construct or re- conducted;
construct the exterior wall of the (4) A blueprint or other drawing
structure, or portion of such wall, showing the relationship of the site to
which is closest to such operations, trackage and other planned and exist-
must obtain the approval of the Fed-
ing facilities;
eral Railroad Administration before
(5) The proposed or estimated date
commencing construction or recon-
struction on that site. Approval may for commencement of construction;
be requested by filing a petition con- (6) A description of the average num-
forming to the requirements of this ber and variety of rail operations in
subpart. the areas within one-half mile (2,640
(b) A carrier is deemed to have con- feet) (804 meters) of the site (e.g., num-
ducted switching or humping oper- ber of cars classified in 24-hour period;
ations on particular trackage within number of train movements);
the meaning of this subpart if plac- (7) An estimate of the average daily
arded cars are subjected to the oper- number of placarded rail cars trans-
ations described in § 228.101(c)(3) within porting hazardous materials through
the 365-day period immediately pre- the railroad facility (where prac-
ceding the date construction or recon- ticable, based on a 365-day period sam-
struction is commenced or if such oper- ple, that period not having ended more
ations are to be permitted on such than 120 days prior to the date of filing
trackage after such date. If the carrier the petition), specifying the—
436
(i) Number of such cars transporting (2) Natural or other barriers exist or
class A explosives and poison gases; will be created prior to occupancy of
and the proposed facility between the pro-
(ii) Number of DOT Specification posed site and any areas in which
112A and 114A tank cars transporting switching or humping operations are
flammable gas subject to FRA emer- performed which will be adequate to
gency order No. 5; shield the facility from the direct and
(8) A statement certified by a cor- severe effects of a hazardous materials
porate officer of the carrier possessing accident/incident arising in an area of
authority over the subject matter ex- switching or humping operations;
plaining any plans of that carrier for (3) The topography of the property is
utilization of existing trackage, or for such as most likely to cause any haz-
the construction of new trackage, ardous materials unintentionally re-
which may impact on the location of leased during switching or humping to
switching or humping operations with- flow away from the proposed site; and
in one-half mile of the proposed site (if (4) Precautions for ensuring em-
there are no plans, the carrier official
ployee safety from toxic gases or explo-
must so certify); and
sions such as employee training and
(9) Any further information which is
evacuation plans, availability of appro-
necessary for evaluation of the site.
priate respiratory protection, and
(d) A petition filed under this section
measures for fire protection, have been
must contain a statement that the pe-
considered.
tition has been served on the recog-
nized representatives of the railroad (b) In the absence of reliable records
employees who will be utilizing the concerning traffic handled on trackage
proposed sleeping quarters, together within the one-third mile area, it shall
with a list of the employee representa- be presumed that the types of cars enu-
tives served. merated in paragraph (a) of this sec-
tion are switched on that trackage; and
[43 FR 31012, July 19, 1978, as amended at 74 the additional requirements of this sec-
FR 25173, May 27, 2009]
tion shall be met by the petitioning
§ 228.105 Additional requirements; carrier, unless the carrier establishes
construction within one-third mile that the switching of the enumerated
(1,760 feet) (536 meters) of certain cars will be effectively barred from the
switching. trackage if the petition is approved.
(a) In addition to providing the infor-
§ 228.107 Action on petition.
mation specified by § 228.103, a carrier
seeking approval of a site located with- (a) Each petition for approval filed
in one-third mile (1,760 feet) (536 me- under § 228.103 is referred to the Rail-
ters) of any area where railroad switch- road Safety Board for action in accord-
ing or humping operations are per- ance with the provisions of part 211,
formed involving any cars required to title 49, CFR, concerning the proc-
be placarded ‘‘EXPLOSIVES A’’ or essing of requests for special approvals.
‘‘POISON GAS’’ or any DOT Specifica- (b) In considering a petition for ap-
tion 112A or 114A tank cars trans- proval filed under this subpart, the
porting flammable gas subject to FRA Railroad Safety Board evaluates the
emergency order No. 5 shall establish material factors bearing on—
by a supplementary statement certified
(1) The safety of employees utilizing
by a corporate officer possessing au-
the proposed facility in the event of a
thority over the subject matter that—
hazardous materials accident/incident
(1) No feasible alternate site located
at or beyond one-third mile from and in light of other relevant safety
switching or humping operations is ei- factors; and
ther presently available to the railroad (2) Interior noise levels in the facil-
or is obtainable within 3 miles (15,840 ity.
feet) (4,827 meters) of the reporting (c) The Railroad Safety Board will
point for the employees who are to be not approve an application submitted
housed in the sleeping quarters; under this subpart if it appears from
437
§ 228.201 49 CFR Ch. II (10–1–11 Edition)
the available information that the pro- (5) The railroad, or contractor or sub-
posed sleeping quarters will be so situ- contractor to the railroad, maintains
ated and constructed as to permit inte- an information technology security
rior noise levels due to noise under the program adequate to ensure the integ-
control of the railroad to exceed an rity of the system, including the pre-
Leq(8) value of 55dB(A). If individual air vention of unauthorized access to the
conditioning and heating systems are program logic or individual records.
to be utilized, projections may relate (6) FRA’s Associate Administrator
to noise levels with such units turned for Railroad Safety/Chief Safety Officer
off. may prohibit or revoke the authority
(d) Approval of a petition filed under to use an electronic system if FRA
this subpart may be withdrawn or finds the system is not properly secure,
modified at any time if it is is inaccessible to FRA, or fails to
ascertained, after opportunity for a record and store the information ade-
hearing, that any representation of quately and accurately. FRA will
fact or intent made by a carrier in ma- record such a determination in writing,
terials submitted in support of a peti- including the basis for such action, and
tion was not accurate or truthful at will provide a copy of its determina-
the time such representation was tion to the affected railroad, or con-
made. tractor or subcontractor to a railroad.
§ 228.203 Program components.
Subpart D—Electronic
Recordkeeping (a) System security. The integrity of
the program and database must be pro-
tected by a security system that uti-
SOURCE: 74 FR 25350, May 27, 2009, unless lizes an employee identification num-
otherwise noted.
ber and password, or a comparable
§ 228.201 Electronic recordkeeping; method, to establish appropriate levels
general. of program access meeting all of the
following standards:
For purposes of compliance with the (1) Data input is restricted to the em-
recordkeeping requirements of subpart ployee or train crew or signal gang
B, a railroad, or a contractor or a sub- whose time is being recorded, with the
contractor to a railroad may create following exceptions:
and maintain any of the records re- (i) A railroad, or a contractor or sub-
quired by subpart B through electronic contractor to a railroad, may allow its
transmission, storage, and retrieval recordkeeping system to pre-populate
provided that all of the following con- fields of the hours of service record
ditions are met: provided that—
(1) The system used to generate the (A) The recordkeeping system pre-
electronic record meets all require- populates fields of the hours of service
ments of this subpart; record with information known to the
(2) The electronically generated railroad, or contractor or subcon-
record contains the information re- tractor to the railroad, to be factually
quired by § 228.11; accurate for a specific employee.
(3) The railroad, or contractor or sub- (B) The recordkeeping system may
contractor to the railroad, monitors its also provide the ability for employees
electronic database of employee hours to copy data from one field of a record
of duty records through sufficient num- into another field, where applicable.
ber of monitoring indicators to ensure (C) Estimated, historical, or arbi-
a high degree of accuracy of these trary data are not used to pre-populate
records; and any field of an hours of service record.
(4) The railroad, or contractor or sub- (D) A railroad, or a contractor or a
contractor to the railroad, trains its subcontractor to a railroad, is not in
employees on the proper use of the violation of this paragraph if it makes
electronic recordkeeping system to a good faith judgment as to the factual
enter the information necessary to cre- accuracy of the data for a specific em-
ate their hours of service record, as re- ployee but nevertheless errs in pre-
quired by § 228.207. populating a data field.
438
(E) The employee may make any nec- (1) Calculate the total time on duty
essary changes to the data by typing for each employee, using data entered
into the field, without having to access by the employee and treating each
another screen or obtain clearance identified period as defined in § 228.5;
from the railroad, or a contractor or (2) Identify input errors through the
subcontractor to a railroad. use of program edits;
(ii) A railroad, or a contractor or a (3) Require records, including out-
subcontractor to a railroad, shall allow standing records, the completion of
employees to complete a verbal quick which was delayed, to be completed in
tie-up, or to transmit by facsimile or chronological order;
other electronic means the information (4) Require reconciliation when the
necessary for a quick tie-up, if— known (system-generated) prior time
(A) The employee is released from off differs from the prior time off re-
duty at a location at which there is no ported by an employee;
terminal available; (5) Require explanation if the total
(B) Computer systems are unavail- time on duty reflected in the certified
able as a result of technical issues; or record exceeds the statutory maximum
(C) Access to computer terminals is for the employee;
delayed and the employee has exceeded (6) Require the use of a quick tie-up
his or her maximum allowed time on process when the employee has exceed-
duty. ed or is within three minutes of his or
(2) No two individuals have the same her statutory maximum time on duty;
electronic identity. (7) Require that the employee’s cer-
(3) A record cannot be deleted or al- tified final release be not more than
tered by any individual after the record three minutes in the future, and that
is certified by the employee who cre- the employee may not certify a final
ated the record. release time for a current duty tour
(4) Any amendment to a record is ei- that is in the past, compared to the
ther— clock time of the computer system at
(i) Electronically stored apart from the time that the record is certified, al-
the record that it amends, or lowing for changes in time zones;
(ii) Electronically attached to the (8) Require automatic modification
record as information without chang- to prevent miscalculation of an em-
ing the original record. ployee’s total time on duty for a duty
(5) Each amendment to a record tour that spans changes from and to
uniquely identifies the individual mak- daylight savings time;
ing the amendment. (9) For train employees, require com-
(6) The electronic system provides for pletion of a full record at the end of a
the maintenance of inspection records duty tour when the employee initiates
as originally submitted without cor- a tie-up with less than the statutory
ruption or loss of data. maximum time on duty and a quick
(7) Supervisors and crew management tie-up is not mandated;
officials can access, but cannot delete (10) For train employees, disallow use
or alter the records of any employee of a quick tie-up when the employee
after the report-for-duty time of the has time remaining to complete a full
employee or after the record has been record, except as provided in paragraph
certified by the reporting employee. (a)(1)(ii) of this section.
(b) Identification of the individual en- (11) Disallow any manipulation of the
tering data. The program must be capa- tie-up process that precludes compli-
ble of identifying each individual who ance with any of the requirements
entered data for a given record. If a specified by paragraphs (c)(1) through
given record contains data entered by (c)(10) of this section.
more than one individual, the program (d) Search capabilities. The program
must be capable of identifying each in- must contain sufficient search criteria
dividual who entered specific informa- to allow any record to be retrieved
tion within the record. through a search of any one or more of
(c) Capabilities of program logic. The the following data fields, by specific
program logic must have the ability date or by a date range not exceeding
to— 30 days for the data fields specified by
439
§ 228.205 49 CFR Ch. II (10–1–11 Edition)
paragraphs (d)(1) and (d)(2) of this sec- displayed together, and the record will
tion, and not exceeding one day for the include all of the assignments and ac-
data fields specified by paragraphs tivities of a given duty tour that are
(d)(3) through (d)(7) of this section: required to be recorded by this part.
(1) Employee, by name or identifica-
tion number; § 228.207 Training.
(2) Train or job symbol; (a) In general. A railroad, or a con-
(3) Origin location, either yard or tractor or subcontractor to a railroad,
station; shall provide its train employees, sig-
(4) Released location, either yard or nal employees, and dispatching service
station; employees and its supervisors of these
(5) Operating territory (i.e., division employees with initial training and re-
or service unit, subdivision, or rail- fresher training as provided in this sec-
road-identified line segment); tion.
(6) Certified records containing one (b) Initial training. (1) Initial training
or more instances of excess service; and shall include the following:
(7) Certified records containing duty (i) Instructional components pre-
tours in excess of 12 hours. sented in a classroom setting or by
(e) The program must display indi- electronic means; and
vidually each train or job assignment (ii) Experiential (‘‘hands-on’’) compo-
within a duty tour that is required to nents; and
be reported by this part. (iii) Training on—
(A) The aspects of the hours of serv-
§ 228.205 Access to electronic records. ice laws relevant to the employee’s po-
(a) FRA inspectors and State inspec- sition that are necessary to under-
tors participating under 49 CFR Part standing the proper completion of the
212 must have access to hours of serv- hours of service record required by this
ice records created and maintained part, and
electronically that is obtained as re- (B) The entry of hours of service
quired by § 228.9(b)(4). data, into the electronic system or on
(b) Railroads must establish and the appropriate paper records used by
comply with procedures for providing the railroad or contractor or subcon-
an FRA inspector or participating tractor to a railroad for whom the em-
State inspector with an identification ployee performs covered service; and
number and temporary password for (iv) Testing to ensure that the objec-
access to the system upon request, tives of training are met.
which access will be valid for a period (2) Initial training shall be provided—
not to exceed seven days. Access to the (i) To each current employee and su-
system must be provided as soon as pervisor of an employee as soon after
possible and no later than 24 hours May 27, 2009 as practicable; and
after a request for access. (ii) To new employees and super-
(c) The inspection screen provided to visors prior to the time that they will
FRA inspectors and participating State be required to complete an hours of
inspectors for searching employee service record or supervise an em-
hours of duty records must be for- ployee required to complete an hours of
matted so that— service record.
(1) Each data field entered by an em- (c) Refresher training. (1) The content
ployee on the input screen is visible to and level of formality of refresher
the FRA inspector or participating training should be tailored to the needs
State inspector; and of the location and employees involved,
(2) The data fields are searchable as except that the training shall—
described in § 228.203(d) and yield access (i) Emphasize any relevant changes
to all records matching criteria speci- to the hours of service laws, the report-
fied in a search. ing requirements in this part, or the
(3) Records are displayed in a manner carrier’s electronic or other record-
that is both crew-based and duty tour keeping system since the employee last
oriented, so that the data pertaining to received training; and
all employees who worked together as (ii) Cover any areas in which super-
part of a crew or signal gang will be visors or other railroad managers are
440
finding recurrent errors in the employees, signal employees, and dispatching
ees’ records through the monitoring in- service employees from the limitations
dicators. imposed by this subpart on the rail-
(2) Refresher training shall be pro- road’s train employees who are en-
vided to each employee any time that gaged in commuter or intercity rail
recurrent errors in records prepared by passenger transportation. The Admin-
the employee, discovered through the istrator may allow the exemption from
monitoring indicators, suggest, for ex- this subpart after a full hearing, for
ample, the employee’s lack of under- good cause shown, and on deciding that
standing of how to complete hours of the exemption is in the public interest
service records. and will not affect safety adversely.
The exemption shall be for a specific
Subpart E [Reserved] period of time and is subject to review
at least annually. The exemption may
Subpart F—Substantive Hours of not authorize a railroad to require or
Service Requirements for Train allow its train employees to be on duty
Employees Engaged in Com- more than a total of 16 hours in a 24-
muter or Intercity Rail Pas- hour period.
senger Transportation (c) Definitions. In this subpart—
Commuter or intercity rail passenger
transportation has the meaning as-
SOURCE: 76 FR 50397, Aug. 12, 2011
signed by section 24102 of title 49,
EFFECTIVE DATE NOTE: At 76 FR 50397, Aug. United States Code, to the terms
12, 2011, subpart F was added, effective Octo-
‘‘commuter rail passenger transpor-
ber 15, 2011.
tation’’ or ‘‘intercity rail passenger
§ 228.401 Applicability. transportation.’’
Train employee who is engaged in com-
(b) of this section, the requirements of muter or intercity rail passenger transpor-
this subpart apply to railroads and tation includes a train employee who is
their officers and agents, with respect engaged in commuter or intercity rail
to their train employees who are en- passenger transportation regardless of
gaged in commuter or intercity rail the nature of the entity by whom the
passenger transportation, including employee is employed and any other
train employees who are engaged in train employee who is employed by a
tourist, scenic, historic, or excursion commuter railroad or an intercity pas-
rail passenger transportation. senger railroad. The term excludes a
(b) This subpart does not apply to train employee of another type of rail-
rapid transit operations in an urban road who is engaged in work train serv-
area that are not connected with the ice even though that work train service
general railroad system of transpor- might be related to providing com-
tation. muter or intercity rail passenger trans-
portation, and a train employee of an-
§ 228.403 Nonapplication, exemption, other type of railroad who serves as a
and definitions. pilot on a train operated by a com-
(a) General. This subpart does not muter railroad or intercity passenger
apply to a situation involving any of railroad.
the following:
(1) A casualty; § 228.405 Limitations on duty hours of
(2) An unavoidable accident; train employees engaged in com-
(3) An act of God; or muter or intercity rail passenger
transportation.
(4) A delay resulting from a cause un-
known and unforeseeable to a railroad (a) General. Except as provided in
or its officer or agent in charge of the paragraph (c) of this section, a railroad
employee when the employee left a ter- and its officers and agents may not re-
minal. quire or allow a train employee en-
(b) Exemption. The Administrator gaged in commuter or intercity rail
may exempt a railroad having not passenger transportation to remain or
more than a total of 15 train employ- go on duty—
441
§ 228.405 49 CFR Ch. II (10–1–11 Edition)
(1) Unless that employee has had at (iii) If the employee has initiated an
least 8 consecutive hours off duty dur- on-duty period each day on 13 or more
ing the prior 24 hours; or calendar days in the series of at most
(2) After that employee has been on 14 consecutive calendar days, that em-
duty for 12 consecutive hours, until ployee must have at least two consecu-
that employee has had at least 10 con- tive calendar days on which the em-
secutive hours off duty; or ployee does not initiate an on-duty pe-
(3) In a series of at most 14 consecu- riod prior to next initiating an on-duty
tive calendar days, in excess of the fol- period, except as provided in paragraph
lowing limitations: (a)(3)(v) of this section.
(i) That employee’s first series of at (iv) The minimum time off duty re-
most 14 consecutive calendar days be- quired by paragraph (a)(3)(ii) of this
gins on the first calendar day that the section and the at least two consecu-
employee initiates an on-duty period tive calendar days in which the em-
on or after the compliance date for this ployee does not initiate an on-duty pe-
paragraph (a)(3), as specified in riod required by paragraph (a)(3)(iii) of
§ 228.413. A series of at most 14 consecu- this section must be at the employee’s
tive calendar days either ends on the home terminal, and during such peri-
14th consecutive day or may last for ods, the employee shall be unavailable
less than 14 days if an employee has ac- for any service for any railroad.
cumulated a total of two calendar days (v) Paragraphs (a)(3)(ii)–(iii) of this
on which the employee has not initi- section notwithstanding, if the em-
ated an on-duty period before the be- ployee is not at the employee’s home
ginning of the 14th day of the series. terminal when time off duty is required
After the employee has accumulated a by paragraph (a)(3)(ii) of this section or
total of two calendar days on which the calendar days in which the employee
employee has not initiated an on-duty does not initiate an on-duty period are
period, including at least 24 consecu-
required by paragraph (a)(3)(iii) of this
tive hours off duty as required by para-
section, the employee may either
graph (a)(3)(ii) or two consecutive cal-
deadhead to the point of final release
endar days without initiating an on-
at the employee’s home terminal or
duty period as required by paragraph
initiate an on-duty period in order to
(a)(3)(iii) of this section, during the
return to the employee’s home ter-
employee’s current series of at most 14
minal either on the same calendar day
consecutive calendar days, a new series
or the next consecutive calendar day
of at most 14 consecutive calendar days
after the completion of the duty tour
begins on the calendar day in which
the employee next initiates an on-duty triggering the requirements of para-
period. Only calendar days after the graph (a)(3)(ii) or paragraph (a)(3)(iii)
starting date of a series are counted to- of this section.
ward the accumulation of a total of (vi) If the employee is required to
two calendar days on which the em- have at least 24 consecutive hours off
ployee did not initiate an on-duty pe- duty under paragraph (a)(3)(ii) of this
riod. A calendar day on which an on- section and not to initiate an on-duty
duty period was not initiated that oc- period for at least two consecutive cal-
curred prior to the start of the new se- endar days under paragraph (a)(3)(iii)
ries, does not count toward refreshing of this section, both requirements shall
the new series. be observed. The required periods run
(ii) If the employee initiates an on- concurrently, to the extent that they
duty period each day on any six or overlap.
more consecutive calendar days during (b) Determining time on duty. In deter-
the series of at most 14 consecutive cal- mining under paragraph (a) of this sec-
endar days, and at least one of the on- tion the time that a train employee
duty periods is defined as a Type 2 as- subject to this subpart is on or off
signment, that employee must have at duty, the following rules apply:
least 24 consecutive hours off duty (1) Time on duty begins when the em-
prior to next initiating an on-duty pe- ployee reports for duty and ends when
riod, except as provided in paragraph the employee is finally released from
(a)(3)(v) of this section. duty;
442
(2) Time the employee is engaged in ules intended to be assigned to its train
or connected with the movement of a employees, that, if worked by such a
train is time on duty; train employee, put the train employee
(3) Time spent performing any other at risk for a level of fatigue at which
service for the railroad during a 24- safety may be compromised. Schedules
hour period in which the employee is identified in paragraph (g) of this sec-
engaged in or connected with the tion do not have to be analyzed. A level
movement of a train is time on duty; of fatigue at which safety may be com-
(4) Time spent in deadhead transpor- promised, hereafter called ‘‘the fatigue
tation to a duty assignment is time on threshold,’’ shall be determined by pro-
duty, but time spent in deadhead trans- cedures that use a scientifically valid,
portation from a duty assignment to biomathematical model of human per-
the place of final release is neither formance and fatigue that has been ap-
time on duty nor time off duty; proved by the Associate Administrator
(5) An interim period available for pursuant to paragraph (c)(1) of this sec-
rest at a place other than a designated tion, or previously accepted pursuant
terminal is time on duty; to paragraph (c)(2) of this section. Each
(6) An interim period available for work schedule that violates the fatigue
less than four hours rest at a des- threshold must be—
ignated terminal is time on duty; and (1) Reported to the Associate Admin-
(7) An interim period available for at istrator as provided in paragraph (b) of
least four hours rest at a place with this section, no later than April 12,
suitable facilities for food and lodging 2012;
is not time on duty when the employee (2) Either—
is prevented from getting to the em- (i) Mitigated by action in compliance
ployee’s designated terminal by any of with the railroad’s fatigue mitigation
the following: plan that has been approved by the As-
(i) A casualty; sociate Administrator as specified in
(ii) A track obstruction; paragraph (b) of this section, no later
(iii) An act of God; or than April 12, 2012; or
(iv) A derailment or major equipment (ii) Supported by a determination
failure resulting from a cause that was that the schedule is operationally nec-
unknown and unforeseeable to the rail-
essary, and that the fatigue risk can-
road or its officer or agent in charge of
not be sufficiently mitigated by the use
that employee when that employee left
of fatigue mitigation tools to reduce
the designated terminal.
the risk for fatigue to a level that does
(c) Emergencies. A train employee
not violate the fatigue threshold, no
subject to this subpart who is on the
later than April 12, 2012; or
crew of a wreck or relief train may be
(iii) Both, no later than April 12, 2012;
allowed to remain or go on duty for not
and
more than four additional hours in any
period of 24 consecutive hours when an (3) Approved by FRA for use in ac-
emergency exists and the work of the cordance with paragraph (b) of this sec-
crew is related to the emergency. In tion.
this paragraph, an emergency ends (b) Submissions of certain work sched-
when the track is cleared and the rail- ules and any fatigue mitigation plans and
road line is open for traffic. determinations of operational necessity or
declarations; FRA review and approval.
§ 228.407 Analysis of work schedules; (1) No later than April 12, 2012, the rail-
submissions; FRA review and ap- road shall submit for approval to the
proval of submissions; fatigue miti- Associate Administrator the work
gation plans. schedules described in paragraph
(a) Analysis of work schedules. Each (b)(1)(i) and (ii) of this section. The
railroad subject to this subpart must railroad shall identify and group the
perform an analysis of one cycle of the work schedules as follows:
work schedules (the period within (i) Work schedules that the railroad
which the work schedule repeats) of its has found, using a validated model (as
train employees engaged in commuter specified in paragraph (c)(1) of this sec-
or intercity rail passenger transpor- tion or approved by FRA in accordance
tation and identify those work sched- with paragraph (c)(2) of this section) to
443
§ 228.407 49 CFR Ch. II (10–1–11 Edition)
present a risk for a level of fatigue that (c) Submission of models for FRA ap-
violates the applicable fatigue thresh- proval; validated models already accepted
old, but that the railroad has deter- by FRA. (1) If a railroad subject to this
mined can be mitigated by the use of subpart wishes to use a model of
fatigue mitigation tools so as to human performance and fatigue, not
present a risk for a level of fatigue that previously approved by FRA, for the
does not violate the applicable fatigue purpose of making part or all of the
threshold. The fatigue mitigation tools analysis required by paragraph (a) or
that will be used to mitigate the fa- (d) of this section, the railroad shall
tigue risk presented by the schedule submit the model and evidence in sup-
must also be submitted. port of its scientific validation, for the
(ii) Work schedules that the railroad approval of the Associate Adminis-
has found, using a validated model (as trator. Decisions of the Associate Ad-
specified in paragraph (c)(1) of this sec- ministrator regarding the validity of a
tion or approved by FRA in accordance model are subject to review under
with paragraph (c)(2) of this section), § 211.55 of this chapter.
to present a risk for a level of fatigue (2) A railroad may use a model that
that violates the applicable fatigue is already accepted by FRA. FRA has
threshold, but that the railroad has de- approved the Fatigue Avoidance Sched-
termined cannot be mitigated so as to uling ToolTM (FAST) issued on July 15,
present a risk for a level of fatigue that 2009, by Fatigue Science, Inc. (with a
does not violate the applicable fatigue fatigue threshold for the purpose of
threshold by the use of fatigue mitiga- this regulation less than or equal to 70
tion tools, and that the railroad has de- for 20 percent or more of the time
termined are operationally necessary. worked in a duty tour), and Fatigue
The basis for the determination must Audit InterDyneTM (FAID) version 2,
also be submitted. issued in September 2007 by Inter-
Dynamics Pty Ltd. (Australian Com-
(2) If a railroad performs the analysis
pany Number (ACN) 057 037 635) (with a
of its schedules required by paragraph
fatigue threshold for the purpose of
(a) of this section, and determines that
this regulation greater than or equal to
none of them violates the applicable fa-
72 for 20 percent or more of the time
tigue threshold, and therefore none of worked in a duty tour) as scientifically
them presents a risk for fatigue that valid, biomathematical models of
requires it to be submitted to the Asso- human performance and fatigue for the
ciate Administrator pursuant to this purpose of making the analysis re-
paragraph, that railroad shall, no later quired by paragraph (a) or (d) of this
than April 12, 2012, submit to the Asso- section. Other versions of the models
ciate Administrator a written declara- identified in this paragraph must be
tion, signed by an officer of the rail- submitted to FRA for approval prior to
road, that the railroad has performed use as provided by paragraph (c)(1) of
the required analysis and determined this section.
that it has no schedule that is required (3) If a new model is submitted to
to be submitted. FRA for approval, pursuant to para-
(3) FRA will review submitted work graph (c)(1) of this section, FRA will
schedules, proposed fatigue mitigation publish notice of the submission in the
tools, and determinations of oper- FEDERAL REGISTER, and will provide an
ational necessity. If FRA identifies any opportunity for comment, prior to the
exceptions to the submitted informa- Associate Administrator’s making a
tion, the agency will notify the rail- final determination as to its disposi-
road within 120 days of receipt of the tion. If the Associate Administrator
railroad’s submission. Railroads are re- approves a new model as having been
quired to correct any deficiencies iden- validated and calibrated, so that it can
tified by FRA within the time frame be used for schedule analysis in compli-
specified by FRA. ance with this regulation, FRA will
(4) FRA will audit railroad work also publish notice of this determina-
schedules and fatigue mitigation tools tion in the FEDERAL REGISTER.
every two years to ensure compliance (d) Analysis of certain later changes in
with this section. work schedules. (1) Additional follow-up
444
analysis must be performed each time of fatigue at which safety may be com-
that the railroad changes one of its promised (as described by paragraph (a)
work schedules in a manner— of this section;
(i) That would differ from the FRA- (ii) The railroad’s selection of appro-
approved parameters for hours of duty priate fatigue mitigation tools; and
of any work schedule previously ana- (iii) All submissions by the railroad
lyzed pursuant to paragraph (a) of this to the Associate Administrator for ap-
section; or proval that are required by this sec-
(ii) That would alter the work sched- tion.
ule to the extent that train employees
(2) For purposes of this section, the
who work the schedule may be at risk
term ‘‘directly affected employee’’
of experiencing a level of fatigue that
means an employee to whom one of the
violates the FRA-approved fatigue
threshold established by paragraph (a) work schedules applies or would apply
of this section. if approved.
(2) Such additional follow-up analysis (3) If the railroad and its directly af-
must be submitted for FRA approval as fected employees, including any non-
provided under paragraph (b) of this profit employee labor organization rep-
section, as soon as practicable, prior to resenting a class or craft of directly af-
the use of the new schedule for an em- fected employees of the railroad, can-
ployee subject to this subpart. FRA ap- not reach consensus on any area de-
proval is not necessary before a new scribed in paragraph (f)(1) of this sec-
schedule may be used; however, a tion, then directly affected employees
schedule that has been disapproved by and any such organization may file a
FRA may not be used. statement with the Associate Adminis-
(3) FRA will review submitted revised trator explaining their views on any
work schedules, and any accompanying issue on which consensus was not
fatigue mitigation tools, and deter- reached. The Associate Administrator
minations of operational necessity. If shall consider such views during review
FRA identifies any exceptions to the and approval of items required by this
submitted information, the agency will section.
notify the railroad as soon as possible. (g) Schedules not requiring analysis.
Railroads are required to correct any The types of schedules described in
deficiencies identified by FRA within paragraphs (1) and (2) of this paragraph
the time frame specified by FRA. do not require the analysis described in
(e) Fatigue mitigation plans. A written paragraphs (a) or (d) of this section.
plan must be developed and adopted by (1) Schedules consisting solely of
the railroad to mitigate the potential Type 1 assignments do not have to be
for fatigue for any work schedule iden- analyzed.
tified through the analysis required by
(2) Schedules containing Type 2 as-
paragraph (a) or (d) of this section as
signments do not have be analyzed if—
at risk, including potential fatigue
caused by unscheduled work assign- (i) The Type 2 assignment is no
ments. Compliance with the fatigue longer in duration than, and fully con-
mitigation plan is mandatory. The rail- tained within, the schedule of another
road shall review and, if necessary, up- Type 2 assignment that has already
date the plan at least once every two been determined to present an accept-
years after adopting the plan. able level of risk for fatigue that does
(f) Consultation. (1) Each railroad sub- not violate the fatigue threshold; and
ject to this subpart shall consult with, (ii) If the longer Type 2 schedule
employ good faith, and use its best ef- within which another Type 2 schedule
forts to reach agreement with, all of its is contained requires mitigations to be
directly affected employees, including applied in order to achieve an accept-
any nonprofit employee labor organiza- able level of risk for fatigue that does
tion representing a class or craft of di- not violate the fatigue threshold, the
rectly affected employees of the rail- same or more effective mitigations
road, on the following subjects: must be applied to the shorter Type 2
(i) The railroad’s review of work schedule that is fully contained within
schedules found to be at risk for a level the already acceptable Type 2 schedule.
445
§ 228.409 49 CFR Ch. II (10–1–11 Edition)
§ 228.409 Requirements for railroad- (c) Timing of initial training. Initial

provided employee sleeping quar- training shall be provided to affected
ters during interim releases and current employees not later than De-
other periods available for rest cember 31, 2012, and to new employees
within a duty tour.
subject to this subpart before the em-
(a) If a railroad subject to this sub- ployee first works a schedule subject to
part provides sleeping quarters for the analysis under this subpart, or not
use of a train employee subject to this later than December 31, 2012, whichever
subpart during interim periods of re- occurs later.
lease as a method of mitigating fatigue (d) Timing of refresher training. (1) At
identified by the analysis of work a minimum, refresher training shall be
schedules required by § 228.407(a) and provided every three calendar years.
(d), such sleeping quarters must be
(2) Additional refresher training shall
‘‘clean, safe, and sanitary,’’ and give
also be provided when significant
the employee ‘‘an opportunity for rest
free from the interruptions caused by changes are made to the railroad’s fa-
noise under the control of the’’ railroad tigue mitigation plan or to the avail-
within the meaning of section able fatigue mitigation tools applied to
21106(a)(1) of title 49 of the United an employee’s assignment or assign-
States Code. ments at the location where he or she
(b) Any sleeping quarters provided by works.
a railroad that are proposed as a fa- (e) Records of training. A railroad
tigue mitigation tool pursuant to shall maintain a record of each em-
§ 228.407(b)(1)(i), are subject to the re- ployee provided training in compliance
quirements of § 228.407(f), Consultation. with this section and shall retain these
records for three years.
§ 228.411 Training. (f) Conditional exclusion. A railroad
(a) Individuals to be trained. Except as engaged in tourist, scenic, historic, or
provided by paragraph (f) of this sec- excursion rail passenger transpor-
tion, each railroad subject to this sub- tation, may be excluded from the re-
part shall provide training for its em- quirements of this section, if its train
ployees subject to this subpart, and the employees subject to this rule are as-
immediate supervisors of its employees signed to work only schedules wholly
subject to this subpart. within the hours of 4 a.m. and 8 p.m. on
(b) Subjects to be covered. The training the same calendar day that comply
shall provide, at a minimum, informa- with the provisions of § 228.405, upon
tion on the following subjects that is that railroad’s submission to the Asso-
based on the most current available ciate Administrator of a written dec-
scientific and medical research lit- laration, signed by an officer of the
erature: railroad, indicating that the railroad
(1) Physiological and human factors
meets the limitations established in
that affect fatigue, as well as strate-
this paragraph.
gies to reduce or mitigate the effects of
fatigue; § 228.413 Compliance date for regula-
(2) Opportunities for identification, tions; exemption from compliance
diagnosis, and treatment of any med- with statute.
ical condition that may affect alert-
ness or fatigue, including sleep dis- (a) General. Except as provided by
orders; paragraph (d) of this section or as pro-
(3) Alertness strategies, such as poli- vided in § 228.411, on and after April 12,
cies on napping, to address acute 2012, railroads subject to this subpart
drowsiness and fatigue while an em- shall comply with this subpart and
ployee is on duty; §§ 228.11(c)(1)–(2) and 228.19(c)(5)–(c)(8)
(4) Opportunities to obtain restful with respect to their train employees
sleep at lodging facilities, including who are engaged in commuter or inter-
employee sleeping quarters provided by city rail passenger transportation.
the railroad; and (b) Exemption from compliance with
(5) The effects of abrupt changes in statute. On and after October 15, 2011,
rest cycles for employees. railroads subject to this subpart or any
446
provision of this subpart shall be ex- service commonly include locomotive engi-
empt from complying with the provi- neers, firemen, conductors, trainmen,
sions of old section 21103 and new sec- switchmen, switchtenders (unless their du-
ties come under the provisions of section 3)
tion 21103 for such employees.
and hostlers. With the passage of the 1976
(c) Definitions. In this section— amendments, both inside and outside hos-
(1) The term ‘‘new section 21103’’ tlers are considered to be connected with the
means section 21103 of title 49, United movement of trains. Previously, only outside
States Code, as amended by the Rail hostlers were covered. Any other employee
Safety Improvement Act of 2008 (RSIA) who is actually engaged in or connected with
effective July 16, 2009. the movement of any train is also covered,
(2) The term ‘‘old section 21103’’ regardless of his job title.
means section 21103 of title 49, United Limitations on Hours. The Act establishes
States Code, as it was in effect on the two limitations on hours of service. First, no
employee engaged in train or engine service
day before the enactment of the RSIA.
may be required or permitted to work in ex-
(d) Exceptions. (1) On and after Octo- cess of twelve consecutive hours. After work-
ber 15, 2011, railroads subject to this ing a full twelve consecutive hours, an em-
subpart shall comply with §§ 228.401, ployee must be given at least ten consecu-
228.403, 228.405(a)(1), (a)(2), (b), and (c), tive hours off duty before being permitted to
and 228.409(a). return to work.
(2) Railroads engaged in tourist, sce- Second, no employee engaged in train or
nic, historic, or excursion rail pas- engine service may be required or permitted
senger transportation, subject to this to continue on duty or go on duty unless he
subpart, must comply with the sections has had at least eight consecutive hours off
duty within the preceding twenty-four hours.
listed in paragraph (d)(1) of this section This latter limitation, when read in conjunc-
on and after October 15, 2011, but are tion with the requirements with respect to
not required to comply with the other computation of duty time (discussed below)
provisions of this subpart and results in several conclusions:
§§ 228.11(c)(1)–(2) and 228.19(c)(5)–(c)(8) (1) When an employee’s work tour is bro-
until April 12, 2013. ken or interrupted by a valid period of in-
terim release (4 hours or more at a des-
APPENDIX A TO PART 228—REQUIRE- ignated terminal), he may return to duty for
MENTS OF THE HOURS OF SERVICE the balance of the total 12-hour work tour
ACT: STATEMENT OF AGENCY POLICY during a 24-hour period.
AND INTERPRETATION (2) After completing the 12 hours of broken
duty, or at the end of the 24-hour period,
First enacted in 1907, the Hours of Service whichever occurs first, the employee may
Act was substantially revised in 1969 by Pub- not be required or permitted to continue on
lic Law 91–169. Further amendments were en- duty or to go on duty until he has had at
acted as part of the Federal Railroad Safety least 8 consecutive hours off duty.
Authorization Act of 1976, Public Law 94–348 (3) The 24-hour period referred to in para-
and by the Rail Safety Improvement Act of graphs 1 and 2 above shall begin upon the
1988, Public Law 100–342. The purpose of the commencement of a work tour by the em-
law is ‘‘to promote the safety of employees ployee immediately after his having received
and travelers upon railroads by limiting the a statutory off-duty period of 8 or 10 hours as
hours of service of employees * * *.’’ This ap- appropriate.
pendix is designed to explain the effect of the Duty time and effective periods of release. On-
law in commonly-encountered situations. duty time commences when an employee re-
The Act governs the maximum work hours ports at the time and place specified by the
of employees engaged in one or more of the railroad and terminates when the employee
basic categories of covered service treated is finally released of all responsibilities.
below. If an individual performs more than (Time spent in deadhead transportation to a
one kind of covered service during a tour of duty assignment is also counted as time on
duty, then the most restrictive of the appli- duty. See discussion below.) Any period
cable limitations control. available for rest that is of four or more
The act applies to any railroad, as that hours and is at a designated terminal is off-
term is defined in 45 U.S.C. 431(e). It governs duty time. All other periods available for
the carrier’s operations over its own railroad rest must be counted as time on duty under
and all lines of road which it uses. the law, regardless of their duration.
The term ‘‘designated terminal’’ means a
TRAIN AND ENGINE SERVICE
terminal (1) which is designated in or under
Covered Service. Train or engine service re- a collective bargaining agreement as the
fers to the actual assembling or operation of ‘‘home’’ or ‘‘away-from-home’’ terminal for a
trains. Employees who perform this type of particular crew assignment and (2) which has
447
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
specific crew assignment. However, carrier If an employee utilizes personal auto-
and employee representatives may agree to mobile transportation to a point of duty as-
designate additional terminals having suit- signment other than the regular reporting
able facilities for food and lodging as appro- point in lieu of deadhead transportation pro-
priate points of release under the Hours of vided by the carrier, such actual travel time
Service Act. is considered as deadheading time. However,
(2) A road crew operates a train in turn- if the actual travel time from his home to
around service from home terminal ‘‘A’’ to the point of duty assignment exceeds a rea-
turn-around point ‘‘B’’ and back to ‘‘A’’. Ter- sonable travel time from the regular report-
minal ‘‘A’’ is the only designated terminal ing point to the point of duty assignment,
for this specific crew assignment, unless car- then only the latter period is counted. Of
rier and employee representatives have course, actual travel time must be reason-
agreed to designate additional terminals able and must not include diversions for per-
having suitable facilities for food and lodg- sonal reasons.
ing. Example: Employee A receives an assign-
(3) A crew is assigned to operate a mainte- ment from an ‘‘extra board’’ located at his
nance-of-way work train from home ter- home terminal to protect a job one hour’s
minal ‘‘A’’, work on line of road and tie up drive from the home terminal. In lieu of
for rest along the line of road at point ‘‘B’’. transporting the employee by carrier con-
Home terminal ‘‘A’’ and tie-up point ‘‘B’’ veyance, the railroad pays the employee a
both qualify as designated terminals for this fixed amount to provide his own transpor-
specific work train crew assignment. Of tation to and from the outlying point. The
course, suitable facilities for food and lodg-
employee is permitted to go directly from
ing must be available at tie-up point ‘‘B’’.
his home to the outlying point, a drive which
Deadheading. Under the Act time spent in
takes 40 minutes. The normal driving time
deadhead transportation receives special
between his regular reporting point at his
treatment. Time spent in deadhead transpor-
home terminal and the outlying point is 60
tation to a duty assignment by a train or en-
minutes. The actual driving time, 40 minutes
gine service employee is considered on-duty
is considered deadhead time and is counted
time. Time spent in deadhead transportation
as time on duty under the Act.
from the final duty assignment of the work
tour to the point of final release is not com- Employee A performs local switching serv-
puted as either time on duty or time off ice at the outlying point. When the employee
duty. Thus, the period of deadhead transpor- returns from the outlying point that
tation to point of final release may not be evening, and receives an ‘‘arbitrary’’ pay-
included in the required 8- or 10-hour off- ment for his making the return trip by pri-
duty period. Time spent in deadhead trans- vate automobile, 40 minutes of his time in
portation to a duty assignment is calculated transportation home is considered
from the time the employee reports for deadheading to point of final release and is
deadhead until he reaches his duty assign- not counted as either time on duty or time
ment. off duty.
All time spent awaiting the arrival of a Wreck and relief trains. Prior to the 1976
deadhead vehicle for transportation from the amendments, crews of wreck and relief
final duty assignment of the work tour to trains were exempted entirely from the limi-
the point of final release is considered limbo tations on hours of service. Under present
time, i.e., neither time on duty nor time off law that is no longer the case. The crew of a
duty, provided that the employee is given no wreck or relief train may be permitted to be
specific responsibilities to perform during on duty for not to exceed 4 additional hours
this time. However, if an employee is rein any period of 24 consecutive hours when-
quired to perform service of any kind during ever an actual emergency exists and the
448
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
this provision when the track is cleared and Scheduled Hours Classification
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.
Example: The crew of a wreck train is dis- employees scheduled).
patched to clear the site of a derailment 7 a.m. to 3 p.m. 8 a.m. to 4 p.m. (Two 2 shifts.
which has just occurred on a main line. The employees scheduled).
wreck crew re-rails or clears the last car and
the maintenance of way department releases Duty time and effective periods of release. If,
the track to the operating department 14 after reporting to his place of duty, an em-
hours and 30 minutes into the duty tour. ployee is required to perform duties at other
Since the line is not clear until the wreck places during this same tour of duty, the
train is itself out of the way, the crew may time spent traveling between such places is
operate the wreck train to its terminal, pro- considered as time on duty. Under the tradi-
vided this can be accomplished within the tional administrative interpretation of sec-
total of 16 hours on duty. tion 3, other periods of transportation are
Emergencies. The Act contains no general viewed as personal commuting and, thus, off-
exception using the term ‘‘emergency’’ with duty time.
respect to train or engine service or related A release period is considered off-duty
work. See ‘‘casualties,’’ etc., under ‘‘General time if it provides a meaningful period of re-
Provisions’’. laxation and if the employee is free of all re-
sponsibilities to the carrier. One hour is the
COMMUNICATION OF TRAIN ORDERS minimum acceptable release period for this
type of covered service.
Covered Service. The handling of orders gov-
erning the movement of trains is the second Emergencies. The section of the Act dealing
type of covered service. This provision of the with dispatchers, operators, and others who
Act applies to any operator, train dispatcher transmit or receive train orders contains its
or other employee who by the use of the tele- own emergency provision. In case of emer-
graph, telephone, radio, or any other gency, an employee subject to the 9 or 12-
electical or mechanical device dispatches, hour limitation is permitted to work an ad-
reports, transmits, receives, or delivers or- ditional four hours in any 24-hour period, but
ders pertaining to or affecting train move- only for a maximum of three days in any pe-
ments. riod of seven consecutive days. However,
The approach of the law is functional. even in an emergency situation the carrier
Thus, though a yardmaster normally is not must make reasonable efforts to relieve the
covered by this provision, a yardmaster or employee.
other employee who performs any of the
GENERAL PROVISIONS
specified service during a duty tour is sub-
ject to the limitations on service for that en- (APPLICABLE TO ALL COVERED SERVICE)
tire tour.
Limitations on hours. No employee who per- Commingled Service. All duty time for a
forms covered service involving communica- railroad even though not otherwise subject
tion of train orders may be required or per- to the Act must be included when computing
mitted to remain on duty for more than nine total on-duty time of an individual who per-
hours, whether consecutive or in the aggre- forms one or more of the type of service cov-
gate, in any 24-hour period in any office, ered by the Act. This is known as the prin-
tower, station or place where two or more ciple of ‘‘commingled service’’.
shifts are employed. Where only one shift is For example, if an employee performs duty
employed, the employee is restricted to 12 for 8 hours as a trainman and then is used as
hours consecutively or in the aggregate dur- a trackman (not covered by the law) in the
ing any 24-hour period. same 24-hour period, total on-duty time is
The provision on emergencies, discussed determined by adding the duty time as
below, may extend the permissible hours of trackman to that as trainman. The law does
employees performing this type of service. not distinguish treatment of situations in
Shifts. The term ‘‘shift’’ is not defined by which non-covered service follows, rather
the Act, but the legislative history of the than precedes, covered service. The limita-
1969 amendments indicates that it means a tions on total hours apply on both cases. It
tour of duty constituting a day’s work for should be remembered that attendance at re-
one or more employee performing the same quired rules classes is duty time subject to
class of work at the same station who are the provisions on ‘‘commingling’’. Similarly,
449
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
foreseen.’’ This passage is commonly re- bargaining for shorter hours of service and
ferred to as the ‘‘emergency provision’’. Ju- time on duty.
dicial construction of this sentence has lim- Penalty. As amended by the Rail Safety
ited the relief which it grants to situations Improvement Act of 1988 and the Rail Safety
which are truly unusual and exceptional. Enforcement and Review Act of 1992, the
The courts have recognized that delays and penalty provisions of the law apply to any
operational difficulties are common in the person (an entity of any type covered under
industry and must be regarded as entirely 1 U.S.C. 1, including but not limited to the
foreseeable; otherwise, the Act will provide following: a railroad; a manager, supervisor,
no protection whatsoever. Common oper- official, or other employee or agent of a rail-
ational difficulties which do not provide re- road; any owner, manufacturer, lessor, or
lief from the Act include, but are not limited lessee of railroad equipment, track, or facili-
to, broken draw bars, locomotive malfunc- ties; any independent contractor providing
tions, equipment failures, brake system fail- goods or services to a railroad; and any em-
ures, hot boxes, unexpected switching, dou- ployee of such owner, manufacturer, lessor,
bling hills and meeting trains. Nor does the lessee, or independent contractor), except
need to clear a main line or cut a crossing that a penalty may be assessed against an
justify disregard of the limitations of the individual only for a willful violation. See
Act. Such contingencies must normally be appendix A to 49 CFR part 209. For violations
anticipated and met within the 12 hours. that occurred on September 3, 1992, a person
Even where an extraordinary event or com- who violates the Act is liable for a civil pen-
bination of events occurs which, by itself, alty, as the Secretary of Transportation
would be sufficient to permit excess service, deems reasonable, in an amount not less
the carrier must still employ due diligence than $500 nor more than $11,000, except that
to avoid or limit such excess service. The where a grossly negligent violation or a pat-
burden of proof rests with the carrier to es- tern of repeated violations has created an
tablish that excess service could not have imminent hazard of death or injury to per-
been avoided. sons, or has caused death or injury, a penalty
Sleeping Quarters. Under the 1976 amend- not to exceed $22,000 may be assessed. The
ments to the Act it is unlawful for any com- Federal Civil Penalties Inflation Adjustment
mon carrier to provide sleeping quarters for Act of 1990 as amended by the Debt Collec-
persons covered by the Hours of Service Act tion Improvement Act of 1996 required agen-
which do not afford such persons an oppor- cies to increase the maximum civil mone-
tunity for rest, free from interruptions tary penalty for inflation. The amounts in-
caused by noise under the control of the rail- creased from $10,000 to $11,000 and from
road, in clean, safe, and sanitary quarters. $20,000 to $22,000 respectively. According to
Such sleeping quarters include crew quar- the same law, in 2004, the minimum penalty
ters, camp or bunk cars, and trailers. of $500 was raised to $550, and the maximum
450
penalty for a grossly negligent violation or a exemption is subject to review at least annu-
pattern of repeated violations that has ally.
caused an imminent hazard of death or in-
jury to individuals or has caused death or in- FR 30804, July 18, 1978; 53 FR 28601, July 28,
jury, was increased from $22,000 to $27,000. 1988; 55 FR 30893, July 27, 1990; 58 FR 18165,
The $11,000 maximum penalty was not ad- Apr. 8, 1993; 61 FR 20495, May 7, 1996; 63 FR
justed. Effective October 9, 2007, the ordinary 11622, Mar. 10, 1998; 69 FR 30594, May 28, 2004;
maximum penalty of $11,000 was raised to 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30,
$16,000 as required under law. Effective 2008]
March 2, 2009, the minimum penalty, ordi-
nary maximum penalty and aggravated max- APPENDIX B TO PART 228—SCHEDULE OF
imum penalty were raised again. The min- CIVIL PENALTIES 1
imum penalty was increased from $550 to $650
pursuant to the law’s requirement. Mean- Willful viola-
while, the ordinary maximum penalty was
increased from $16,000 to $25,000 and the ag- Subpart B—Records and Re-
gravated maximum was increased from porting:
$27,000 to $100,000 in accordance with the au- 228.9 Railroad records $650 $1,000
thority provided under the Rail Safety Im- 228.11 Hours of duty
provement Act of 2008. records ..................... 650 1,000
228.17 Dispatcher’s
Each employee who is required or per- record ...................... 650 1,000
mitted to be on duty for a longer period than 228.19 Monthly reports
prescribed by law or who does not receive a of excess service ..... 1,000 2,000
required period of rest represents a separate 1A penalty may be assessed against an individual only for
and distinct violation and subjects the rail- a willful violation. The Administrator reserves the right to as-
road to a separate civil penalty. In the case sess a penalty of up to $100,000 for any violation where cir-
cumstances warrant. See 49 CFR part 209, appendix A.
of a violation of section 2(a)(3) or (a)(4) of the
Act, each day a facility is in noncompliance
constitutes a separate offense and subjects
FR 30594, May 28, 2004; 73 FR 79703, Dec. 30,
the railroad to a separate civil penalty.
2008]
In compromising a civil penalty assessed
under the Act, FRA takes into account the APPENDIX C TO PART 228—GUIDELINES
nature, circumstances, extent, and gravity of FOR CLEAN, SAFE, AND SANITARY
the violation committed, and, with respect
RAILROAD PROVIDED CAMP CARS
to the person found to have committed such
violation, the degree of culpability, any his- 1. Definitions applicable to these Guidelines.
tory of prior or subsequent offenses, ability (a) Camp Cars mean trailers and on-track
to pay, effect on ability to continue to do vehicles, including outfit, camp, or bunk
business and such other matters as justice cars or modular homes mounted on flat cars,
may require. used to house or accommodate railroad em-
Statute of limitations. No suit may be ployees. Wreck trains are not included.
brought after the expiration of two years (b) Employee means any worker whose serv-
from the date of violation unless administra- ice is covered by the Hours of Service Act or
tive notification of the violation has been who is defined as an employee for purposes of
provided to the person to be charged within section 2(a)(3) of that Act.
that two year period. In no event may a suit (c) Lavatory means a basin or similar ves-
be brought after expiration of the period sel used primarily for washing of the hands,
specified in 28 U.S.C. 2462. arms, face, and head.
Exemptions. A railroad which employs not (d) Nonwater carriage toilet facility means a
more than 15 persons covered by the Hours of toilet facility not connected to a sewer.
Service Act (including signalmen and hos- (e) Number of employees means the number
of employees assigned to occupy the camp
tlers) may be exempted from the law’s re-
cars.
quirements by the FRA after hearing and for
(f) Personal service room means a room used
good cause shown. The exemption must be
for activities not directly connected with the
supported by a finding that it is in the public production or service function performed by
interest and will not adversely affect safety. the carrier establishment. Such activities in-
The exemption need not relate to all carrier clude, but are not limited to, first-aid, med-
employees. In no event may any employee of ical services, dressing, showering, toilet use,
an exempt railroad be required or permitted washing, and eating.
to work beyond 16 hours continuously or in (g) Potable water means water that meets
the aggregate within any 24-hour period. Any the quality standards prescribed in the U.S.
Public Health Service Drinking Water
Standards, published at 42 CFR part 72, or is
451
approved for drinking purposes by the State premises, and personal service rooms where
or local authority having jurisdiction. such facilities are provided.
(h) Toilet facility means a fixture main- (2) Potable drinking water dispensers
tained within a toilet room for the purpose should be designed, constructed, and serviced
of defecation or urination, or both. so that sanitary conditions are maintained,
(i) Toilet room means a room maintained should be capable of being closed, and should
within or on the premises containing toilet be equipped with a tap.
facilities for use by employees. (3) Open containers such as barrels, pails,
(j) Toxic material means a material in con- or tanks for drinking water from which the
centration or amount of such toxicity as to water must be dipped or poured, whether or
constitute a recognized hazard that is caus- not they are fitted with a cover, should not
ing or is likely to cause death or serious be used.
physical harm. (4) A common drinking cup and other com-
(k) Urinal means a toilet facility main- mon utensils should not be used.
tained within a toilet room for the sole pur- (b) The distribution lines should be capable
pose of urination. of supplying water at sufficient operating
(l) Water closet means a toilet facility pressures to all taps for normal simulta-
maintained within a toilet room for the pur- neous operation.
pose of both defecation and urination and 6. Toilet facilities.
which is flushed with water. (a) Toilet facilities. (1) Toilet facilities
(m) Leq (8) means the equivalent steady adequate for the number of employees
sound level which in 8 hours would contain housed in the camp car should be provided in
the same acoustic energy as the time-vary- convenient and safe location(s), and separate
ing sound level during the same time period. toilet rooms for each sex should be provided
2. Housekeeping. in accordance with table l of this paragraph.
(a) All camp cars should be kept clean to The number of facilities to be provided for
the extent that the nature of the work al- each sex should be based on the number of
lows. employees of that sex for whom the facilities
(b) To facilitate cleaning, every floor, are furnished. Where toilet rooms will be oc-
working place, and passageway should be cupied by no more than one person at a time,
kept free from protruding nails, splinters, can be locked from the inside, and contain at
loose boards, and unnecessary holes and least one water closet or nonwater carriage
openings. toilet facility, separate toilet rooms for each
3. Waste Disposal. sex need not be provided. Where such single-
(a) Any exterior receptacle used for putres- occupancy rooms have more than one toilet
cible solid or liquid waste or refuse should be facility, only one such facility in each toilet
so constructed that it does not leak and may room should be counted for the purpose of
be thoroughly cleaned and maintained in a table 1.
sanitary condition. Such a receptacle should
be equipped with a solid tight-fitting cover, TABLE 1
unless it can be maintained in a sanitary
condition without a cover. This requirement Minimum
No. of toi-
does not prohibit the use of receptacles de- No. of employees let facili-
signed to permit the maintenance of a sani- ties 1
tary condition without regard to the afore-
mentioned requirements. 1 to 10 ................................................................... 1
11 to 25 ................................................................. 2
(b) All sweepings, solid or liquid wastes,
26 to 49 ................................................................. 3
refuse, and garbage should be removed in 50 to 100 ............................................................... 5
such a manner as to avoid creating a menace Over 100 ................................................................ 2
to health and as often as necessary or appro-
1 Where toilet facilities will not be used by women, urinals
priate to maintain a sanitary condition.
may be provided instead of water closets or nonwater car-
4. Vermin Control. riage toilet facilities, except that the number of water closets
(a) Camp cars should be so constructed, or facilities in such cases should not be reduced to less than
2⁄3 of the minimum specified.
equipped, and maintained, so far as reason- 2 One additional fixture for each additional 25 employees.
ably practicable, as to prevent the entrance
or harborage of rodents, insects, or other (2) When toilet facilities are provided in
vermin. A continuing and effective extermi- separate cars, toilet rooms should have a
nation program should be instituted where window space of not less than 6 square feet
their presence is detected. in area opening directly to the outside area
5. Water Supply. or otherwise be satisfactorily ventilated. All
(a) Potable water. (1) Potable water should outside openings should be screened with
be adequately and conveniently provided to material that is equivalent to or better than
all employees in camp cars for drinking, 16-mesh. No fixture, water closet, nonwater
washing of the person, cooking, washing of carriage toilet facility or urinal should be lo-
foods, washing of cooking or eating utensils, cated in a compartment used for other than
washing of food preparation or processing toilet purposes.
452
(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
practical on the same side of the track on cars are provided, there should be a closable
which camp cars are sited. door between the living or sleeping quarters
(3) Each toilet facility should be lighted into a kitchen or dining hall car.
naturally, or artificially by a safe type of 10. Consumption of food and beverages on the
lighting available at all hours of the day and premises.
night. Flashlights can be substituted by the (a) Application. This paragraph should
railroad when nonwater carriage toilet fa- apply only where employees are permitted to
cilities are used. consume food or beverages, or both, on the
(4) An adequate supply of toilet paper premises.
should be provided in each water closet, or (b) Eating and drinking areas. No employee
nonwater carriage toilet facility, unless pro- should be allowed to consume food or bev-
vided to the employees individually. erages in a toilet room or in any area ex-
(5) Toilet facilities should be kept in a posed to a toxic material.
clean and sanitary condition. They should be (c) Sewage disposal facilities. All sewer lines
cleaned regularly when occupied. In the case and floor drains from camp cars should be
of nonwater carriage toilet facilities, they connected to public sewers where available
should be cleaned and changed regularly.
and practical, unless the cars are equipped
7. Lavatories.
with holding tanks that are emptied in a
(a) Lavatories should be made available to
sanitary manner.
all rail employees housed in camp cars.
(b) Each lavatory should be provided with (d) Waste disposal containers provided for the
either hot and cold running water or tepid interior of camp cars. An adequate number of
running water. receptacles constructed of smooth, corrosion
(c) Unless otherwise provided by agree- resistant, easily cleanable, or disposable ma-
ment, hand soap or similar cleansing agents terials, should be provided and used for the
should be provided. disposal of waste food. Receptacles should be
(d) Unless otherwise provided by agree- provided with a solid tightfitting cover un-
ment, individual hand towels or sections less sanitary conditions can be maintained
thereof, of cloth or paper, warm air blowers without use of a cover. The number, size and
or clean individual sections of continuous location of such receptacles should encour-
cloth toweling, convenient to the lavatories, age their use and not result in overfilling.
should be provided. They should be emptied regularly and main-
(e) One lavatory basin per six employees tained in a clean and sanitary condition.
should be provided in shared facilities. (e) Sanitary storage. No food or beverages
8. Showering facilities. should be stored in toilet rooms or in an area
(a) Showering facilities should be provided exposed to a toxic material.
in the following ratio: one shower should be (f) Food handling. (1) All employee food
provided for each 10 employees of each sex, service facilities and operations should be
or numerical fraction thereof, who are re- carried out in accordance with sound hygien-
quired to shower during the same shift. ic principles. In all places of employment
(b) Shower floors should be constructed of
where all or part of the food service is pro-
non-slippery materials. Floor drains should
vided, the food dispensed should be whole-
be provided in all shower baths and shower
some, free from spoilage, and should be proc-
rooms to remove waste water and facilitate
essed, prepared, handled, and stored in such
cleaning. All junctions of the curbing and
the floor should be sealed. The walls and par- a manner as to be protected against con-
titions of shower rooms should be smooth tamination.
and impervious to the height of splash. (2) No person with any disease commu-
(c) An adequate supply of hot and cold run- nicable through contact with food or food
ning water should be provided for showering preparation items should be employed or
purposes. Facilities for heating water should permitted to work in the preparation, cook-
be provided. ing, serving, or other handling of food, food-
(d) Showers. 1. Unless otherwise provided stuffs, or materials used therein, in a kitch-
by agreement, body soap or other appro- en or dining facility operated in or in con-
priate cleansing agent convenient to the nection with camp cars.
showers should be provided. 11. Lighting. Each habitable room in a
2. Showers should be provided with hot and camp car should be provided with adequate
cold water feeding a common discharge line. lighting.
453
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. mal cold weather and no greater than 78 de-
13. Shelter. grees F., or 20 degrees below ambient, which-
(a) Every camp car should be constructed ever is warmer, during normal hot weather.
in a manner that will provide protection (l) Existing camp cars may be grand-
against the elements. fathered so as to only be subject to subpara-
(b) All steps, entry ways, passageways and graphs (c), (d), (f), (h), and (k), in accordance
corridors providing normal entry to or be- with the following as recommended maxi-
tween camp cars should be constructed of du- mums:
rable weather resistant material and prop- 13 (c), (d), and (h)—by January 1, 1994.
erly maintained. Any broken or unsafe fix- 13(f)—Indefinitely insofar as the ten percent
tures or components in need of repair should (10%) requirement for window spacing is
be repaired or replaced promptly. concerned.
(c) Each camp car used for sleeping pur- 13(k)—by January 1, 1992.
poses should contain at least 48 square feet 14. Location. Camp cars occupied exclu-
of floor space for each occupant. At least a 7- sively by individuals employed for the pur-
foot ceiling measured at the entrance to the pose of maintaining the right-of-way of a
car should be provided. railroad should be located as far as practical
(d) Beds, cots, or bunks and suitable stor- from where ‘‘switching or humping oper-
age facilities such as wall lockers or space ations’’ of ‘‘placarded cars’’ occur, as defined
for foot lockers for clothing and personal ar- in 49 CFR 228.101 (c)(3) and (c)(4), respec-
ticles should be provided in every room used tively. Every reasonable effort should be
for sleeping purposes. Except where parti- made to locate these camp cars at least one-
tions are provided, such beds or similar fa- half mile (2,640 feet) from where such switch-
cilities should be spaced not closer than 36 ing or humping occurs. In the event employ-
inches laterally (except in modular units ees housed in camp cars located closer than
which cannot be spaced closer than 30 one-half mile (2,640 feet) from where such
inches) and 30 inches end to end, and should switching or humping of cars takes place are
be elevated at least 12 inches from the floor. exposed to an unusual hazard at such loca-
If double-deck bunks are used, they should tion, the employees involved should be
be spaced not less than 48 inches both lat- housed in other suitable accommodations.
erally and end to end. The minimum clear An unusual hazard means an unsafe condi-
space between the lower and upper bunk tion created by an occurrence other than
should be not less than 27 inches. Triple-deck normal switching or humping.
bunks should not be used. 15. General provisions. (a) Sleeping quarters
(e) Floors should be of smooth and tight are not considered to be ‘‘free of interrup-
construction and should be kept in good re- tions caused by noise under the control of
pair. the railroad’’ if noise levels attributable to
(f) All living quarters should be provided noise sources under the control of the rail-
with windows the total of which should be road exceed an Leq (8) value of 55 dB(A), with
not less than 10 percent of the floor area. At windows closed and exclusive of cooling,
least one-half of each window designed to be heating, and ventilating equipment.
opened should be so constructed that it can (b) A railroad should, within 48 hours after
be opened for purposes of ventilation. Dura- notice of noncompliance with these rec-
ble opaque window coverings should be pro- ommendations, fix the deficient condition(s).
vided to reduce the entrance of light during Where holidays or weekends intervene, the
sleeping hours. railroad should fix the condition within 8
(g) All exterior openings should be effec- hours after the employees return to work. In
tively screened with 16-mesh material. All the event such condition(s) affects the safety
screen doors should be equipped with self- or health of the employees, such as water,
closing devices. cooling, heating or eating facilities, the rail-
(h) In a facility where workers cook, live, road should provide alternative arrange-
and sleep, a minimum of 90 square feet per ments for housing and eating until the non-
person should be provided. Sanitary facili- complying condition is fixed.
ties should be provided for storing and pre- [55 FR 30893, July 27, 1990]
paring food.
(i) In camp cars where meals are provided, APPENDIX D TO PART 228—GUIDANCE ON
adequate facilities to feed employees within FATIGUE MANAGEMENT PLANS
a 60-minute period should be provided.
(j) All heating, cooking, ventilation, air (a) Railroads subject to subpart F of this
conditioning and water heating equipment part, Substantive Hours of Service Require-
should be installed in accordance with appli- ments for Train Employees Engaged in Com-
cable local regulations governing such in- muter or Intercity Rail Passenger Transpor-
stallations. tation, may wish to consider adopting a
454
written fatigue management plan that is de- the employing railroad or its managers, su-
signed to reduce the fatigue experienced by pervisors, officers, or agents; and
their train employees subject to that subpart (9) Avoidance of abrupt changes in rest cy-
and to reduce the likelihood of accidents, in- cles for employees.
cidents, injuries, and fatalities caused by the (c) Finally, if a railroad chooses to adopt a
fatigue of these employees. If a railroad is fatigue management plan, FRA suggests
required to have a fatigue mitigation plan that the railroad review the plan and update
under § 228.407 (containing the fatigue miti- it periodically as the railroad sees fit if
gation tools that the railroad has deter- changes are warranted.
mined will mitigate the risk posed by a par-
[76 FR 50400, Aug. 12, 2011]
ticular work schedule for a level of fatigue at
or above the fatigue threshold), then the EFFECTIVE DATE NOTE: At 76 FR 50400, Aug.
railroad’s fatigue management plan could in- 12, 2011, appendix D was added, effective Oc-
clude the railroad’s written fatigue mitiga- tober 15, 2011.
tion plan, designated as such to distinguish
it from the part of the plan that is optional,
or could be a separate document. As provided
PART 229—RAILROAD
in § 228.407(a)(2) and (e), compliance with the LOCOMOTIVE SAFETY STANDARDS
fatigue mitigation plan itself is mandatory.
(b) A good fatigue management plan con- Subpart A—General
tains targeted fatigue countermeasures for
the particular railroad. In other words, the Sec.
plan takes into account varying cir- 229.1 Scope.
cumstances of operations by the railroad on 229.3 Applicability.
different parts of its system, and should pre- 229.4 Information collection.
scribe appropriate fatigue countermeasures 229.5 Definitions.
to address those varying circumstances. In 229.7 Prohibited acts.
addition, the plan addresses each of the fol- 229.9 Movement of non-complying loco-
lowing items, as applicable: motives.
(1) Employee education and training on the 229.11 Locomotive identification.
physiological and human factors that affect 229.13 Control of locomotives.
fatigue, as well as strategies to reduce or 229.14 Non-MU control cab locomotives.
mitigate the effects of fatigue, based on the 229.17 Accident reports.
most current scientific and medical research 229.19 Prior waivers.
and literature;
(2) Opportunities for identification, diag- Subpart B—Inspections and Tests
nosis, and treatment of any medical condi-
229.21 Daily inspection.
tion that may affect alertness or fatigue, in- 229.23 Periodic inspection: General.
cluding sleep disorders; 229.25 Tests: Every periodic inspection.
(3) Effects on employee fatigue of an em- 229.27 Annual tests.
ployee’s short-term or sustained response to 229.29 Biennial tests.
emergency situations, such as derailments 229.31 Main reservoir tests.
and natural disasters, or engagement in 229.33 Out-of-use credit.
other intensive working conditions;
(4) Scheduling practices for employees, in- Subpart C—Safety Requirements
cluding innovative scheduling practices, on-
duty call practices, work and rest cycles, in- GENERAL REQUIREMENTS
creased consecutive days off for employees,
229.41 Protection against personal injury.
changes in shift patterns, appropriate sched-
229.43 Exhaust and battery gases.
uling practices for varying types of work,
229.45 General condition.
and other aspects of employee scheduling
that would reduce employee fatigue and cu- BRAKE SYSTEM
mulative sleep loss;
(5) Methods to minimize accidents and in- 229.46 Brakes: General.
cidents that occur as a result of working at 229.47 Emergency brake valve.
times when scientific and medical research 229.49 Main reservoir system.
has shown that increased fatigue disrupts 229.51 Aluminum main reservoirs.
employees’ circadian rhythm; 229.53 Brake gauges.
(6) Alertness strategies, such as policies on 229.55 Piston travel.
napping, to address acute drowsiness and fa- 229.57 Foundation brake gear.
229.59 Leakage.
tigue while an employee is on duty;
(7) Opportunities to obtain restful sleep at DRAFT SYSTEM
lodging facilities, including employee sleep-
ing quarters provided by the railroad; 229.61 Draft system.
(8) The increase of the number of consecu-
SUSPENSION SYSTEM
tive hours of off-duty rest, during which an
employee receives no communication from 229.63 Lateral motion.
455
§ 229.1 49 CFR Ch. II (10–1–11 Edition)
229.64 Plain bearings. 229.211 Processing of petitions.
229.65 Spring rigging. 229.213 Locomotive manufacturing informa-
229.67 Trucks. tion.
229.69 Side bearings. 229.215 Retention and inspection of designs.
229.71 Clearance above top of rail. 229.217 Fuel tank.
229.73 Wheel sets.
229.75 Wheel and tire defects. APPENDIX A TO PART 229—FORM FRA 6180–
49A [NOTE]
ELECTRICAL SYSTEM APPENDIX B TO PART 229—SCHEDULE OF CIVIL
PENALTIES
229.77 Current collectors.
APPENDIX C TO PART 229—FRA LOCOMOTIVE
229.79 Third rail shoes.
STANDARDS—CODE OF DEFECTS [NOTE]
229.81 Emergency pole; shoe insulation.
229.83 Insulation or grounding of metal APPENDIX D TO PART 229—CRITERIA FOR CER-
TIFICATION OF CRASHWORTHY EVENT RE-
parts.
CORDER MEMORY MODULE
229.85 Doors and cover plates marked
‘‘Danger’’. APPENDIX E TO PART 229—PERFORMANCE CRI-
229.87 Hand-operated switches. TERIA FOR LOCOMOTIVE CRASHWORTHINESS
229.89 Jumpers; cable connections. APPENDIXES F–G TO PART 229 [RESERVED]
229.91 Motors and generators. APPENDIX H TO PART 229—STATIC NOISE TEST
PROTOCOLS—IN-CAB STATIC
INTERNAL COMBUSTION EQUIPMENT
AUTHORITY: 49 U.S.C. 20103, 20107, 20133,
229.93 Safety cut-off device. 20137–38, 20143, 20701–03, 21301–02, 21304; 28
229.95 Venting. U.S.C. 2401, note; and 49 CFR 1.49(c), (m).
229.97 Grounding fuel tanks.
229.99 Safety hangers. SOURCE: 45 FR 21109, Mar. 31, 1980, unless
229.101 Engines. otherwise noted.
STEAM GENERATORS
Subpart A—General
229.103 Safe working pressure; factor of
safety. § 229.1 Scope.
229.105 Steam generator number.
229.107 Pressure gauge. This part prescribes minimum Fed-
229.109 Safety valves. eral safety standards for all loco-
229.111 Water-flow indicator. motives except those propelled by
229.113 Warning notice. steam power.
CABS AND CAB EQUIPMENT § 229.3 Applicability.
229.115 Slip/slide alarms.
229.117 Speed indicators.
(a) Except as provided in paragraphs
229.119 Cabs, floors, and passageways. (b) through (e) of this section, this part
229.121 Locomotive cab noise. applies to all standard gage railroads.
229.123 Pilots, snowplows, end plates. (b) This part does not apply to:
229.125 Headlights and auxiliary lights. (1) A railroad that operates only on
229.127 Cab lights. track inside an installation which is
229.129 Locomotive horn. not part of the general railroad system
229.131 Sanders.
229.133 Interim locomotive conspicuity of transportation; or
measures—auxiliary external lights. (2) Rapid transit operations in an
229.135 Event recorders. urban area that are not connected with
229.137 Sanitation, general requirements. the general railroad system of trans-
229.139 Sanitation, servicing requirements. portation.
(c) Paragraphs (a) and (b) of § 229.125
Subpart D—Locomotive Crashworthiness do not apply to Tier II passenger equip-
Design Requirements ment as defined in § 238.5 of this chap-
229.141 Body structure, MU locomotives. ter (i.e., passenger equipment operating
229.201 Purpose and scope. at speeds exceeding 125 mph but not ex-
229.203 Applicability. ceeding 150 mph).
229.205 General requirements. (d) On or after November 8, 1999,
229.206 Design requirements. paragraphs (a)(1) and (b)(1) of § 229.141
229.207 New locomotive crashworthiness de-
do not apply to ‘‘passenger equipment’’
sign standards and changes to existing
FRA-approved locomotive crash- as defined in § 238.5 of this chapter, un-
worthiness design standards. less such equipment is excluded from
229.209 Alternative locomotive crash- the requirements of §§ 238.203 through
worthiness designs. 238.219, and § 238.223 of this chapter by
456
operation of § 238.201(a)(2) of this chap- the manufacturer or remanufacturer to

ter. the customer, or if the railroad manu-
(e) Paragraphs (a)(2) through (a)(4), factures or remanufactures the loco-
and (b)(2) through (b)(4) of § 229.141 do motive itself, the date on which the lo-
not apply to ‘‘passenger equipment’’ as comotive is released from the manufac-
defined in § 238.5 of this chapter that is ture or remanufacture facility.
placed in service for the first time on Cab means that portion of the super-
or after September 8, 2000, unless such structure designed to be occupied by
equipment is excluded from the re- the crew operating the locomotive.
quirements of §§ 238.203 through 238.219, Carrier means railroad, as that term
and § 238.223 of this chapter by oper- is in this section.
ation of § 238.201(a)(2) of this chapter. Collision posts means structural mem-
[54 FR 33229, Aug. 14, 1989, as amended at 64 bers of the end structures of a rail ve-
FR 25659, May 12, 1999] hicle that extend vertically from the
underframe to which they are securely
§ 229.4 Information collection. attached and that provide protection
(a) The information collection re- to occupied compartments from an ob-
quirements in this part have been reject penetrating the vehicle during a
viewed by the Office of Management collision.
and Budget pursuant to the Paperwork Corner posts means structural mem-
Reduction Act of 1980, Public Law 96– bers located at the intersection of the
511, and have been assigned OMB con- front or rear surface with the side sur-
trol number 2130–0004. face of a rail vehicle and which extend
(b) The information collection re- vertically from the underframe to the
quirements are found in the following roof.
sections: §§ 229.9, 229.17, 229.21, 229.23, Commuter service means the type of
229.25, 229.27, 229.29, 229.31, 229.33, 229.55, railroad service described under the
229.103, 229.105, 229.113, 229.121, 229.135, heading ‘‘Commuter Operations’’ in 49
and appendix H to part 229. CFR part 209, Appendix A.
Commuter work train is a non-revenue
FR 36613, July 8, 1993; 71 FR 63136, Oct. 27,
service train used in the administra-
2006] tion and upkeep service of a commuter
railroad.
§ 229.5 Definitions. Control cab locomotive means a loco-
As used in this part— motive without propelling motors but
AAR means the Association of Amer- with one or more control stands.
ican Railroads. Controlling remote distributed power lo-
Acceptable quality level (AQL). The comotive means the locomotive in a dis-
AQL is expressed in terms of percent tributed power consist that receives
defective or defects per 100 units. Lots the coded signal from the lead loco-
having a quality level equal to a speci- motive consist of the train whether
fied AQL will be accepted approxi- commanded automatically by the dis-
mately 95 percent of the time when tributed power system or manually by
using the sampling plans prescribed for the locomotive engineer.
that AQL. Crack means a fracture without com-
Anti-climbers means the parts at the plete separation into parts, except that
ends of adjoining rail vehicles in a castings with shrinkage cracks or hot
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
457
§ 229.5 49 CFR Ch. II (10–1–11 Edition)
may be actual or ‘‘passed through’’ val- locomotive is producing an unusual

ues or may be derived from a combina- level of noise that significantly inter-
tion of values from other sources. feres with normal cab communications
dB(A) means the sound pressure level or that is a concern with respect to
in decibels measured on the A-weighted hearing conservation.
scale. Electronic air brake means a brake
Dead locomotive means— system controlled by a computer which
(1) A locomotive, other than a con- provides the means for control of the
trol cab locomotive, that does not have locomotive brakes or train brakes or
any traction device supplying tractive both.
power; or Event recorder means a device, de-
(2) A control cab locomotive that has signed to resist tampering, that mon-
a locked and unoccupied cab. itors and records data, as detailed in
Decibel (dB) means a unit of measure- § 229.135(b), over the most recent 48
ment of sound pressure levels. hours of operation of the electrical sys-
Defective means, for purposes of sec- tem of the locomotive on which the de-
tion 229.129 of this part, a locomotive vice is installed. However, a device, de-
equipped with an audible warning designed to resist tampering, that mon-
vice that produces a maximum sound itors and records the specified data
level in excess of 110 dB(A) and/or a only when the locomotive is in motion
minimum sound level below 96 dB(A), meets this definition if the device was
as measured 100 feet forward of the lo- installed prior to November 5, 1993 and
comotive in the direction of travel. if it records the specified data for the
Designated service means exclusive op- last eight hours the locomotive was in
eration of a locomotive under the fol- motion.
lowing conditions: Event recorder memory module means
(1) The locomotive is not used as an that portion of the event recorder used
independent unit or the controlling to retain the recorded data as detailed
unit in a consist of locomotives except in § 229.135(b).
when moving for the purposes of serv- FRA means the Federal Railroad Ad-
icing or repair within a single yard ministration.
area; Fuel tank, external means a fuel con-
(2) The locomotive is not occupied by tainment vessel that extends outside
operating or deadhead crews outside a the car body structure of a locomotive.
single yard area; and Fuel tank, internal means a fuel con-
(3) The locomotive is stenciled ‘‘Des- tainment vessel that does not extend
ignated Service—DO NOT OCCUPY.’’ outside the car body structure of a lo-
Design standard means a criterion comotive.
adopted by an industry or voluntary High voltage means an electrical po-
consensus standards body, which ad- tential of more than 150 volts.
dresses the design of a locomotive with Initial terminal means a location
respect to its crashworthiness and where a train is originally assembled.
crashworthiness features. In-service event recorder means an
Distributed power system means a sys- event recorder that was successfully
tem that provides control of a number tested as prescribed in § 229.27(d) and
of locomotives dispersed throughout a whose subsequent failure to operate as
train from a controlling locomotive lo- intended, if any, is not actually known
cated in the lead position. The system by the railroad operating the loco-
provides control of the rearward locomotive on which it is installed.
motives by command signals origi- Lateral means the horizontal direc-
nating at the lead locomotive and tion perpendicular to the direction of
transmitted to the remote (rearward) travel.
locomotives. Lead locomotive means the first loco-
DMU locomotive means a diesel-pow- motive proceeding in the direction of
ered multiple unit operated locomotive movement.
with one or more propelling motors de- Lite locomotive means a locomotive or
signed to carry passenger traffic. a consist of locomotives not attached
Excessive noise report means a report to any piece of equipment or attached
by a locomotive cab occupant that the only to a caboose.
458
Locomotive means a piece of on-track substantially less than the full width
equipment other than hi-rail, special- of the locomotive.
ized maintenance, or other similar Occupied service means the operation
equipment— of a locomotive when the cab is phys-
(1) With one or more propelling mo- ically occupied by a person.
tors designed for moving other equip- Other short-haul passenger service
ment; means the type of railroad service de-
(2) With one or more propelling mo- scribed under the heading ‘‘Other
tors designed to carry freight or pas- short-haul passenger service’’ in 49
senger traffic or both; or CFR part 209, appendix A.
(3) Without propelling motors but Permanent deformation means the un-
with one or more control stands. dergoing of a permanent change in
Locomotive cab means the compart- shape of a structural member of a rail
ment or space on board a locomotive vehicle.
where the control stand is located and Potable water means water that meets
which is normally occupied by the en- the requirements of 40 CFR part 141,
gineer when the locomotive is oper- the Environmental Protection Agen-
ated. cy’s Primary Drinking Water Regula-
Longitudinal means in a direction tions, or water that has been approved
parallel to the normal direction of for drinking and washing purposes by
travel. the pertinent state or local authority
having jurisdiction. For purposes of
Lot means a collection of loco-
this part, commercially available, bot-
motives, equipped with the same horn
tled drinking water is deemed potable
model, configuration, and location, and
water.
the same air pressure and delivery sys-
Powered axle is an axle equipped with
tem, which has been manufactured or
a traction device.
processed under essentially the same
Power car means a rail vehicle that
conditions.
propels a Tier II passenger train or is
Mandatory directive means any move-
the lead vehicle in a Tier II passenger
ment authority or speed restriction
train, or both.
that affects a railroad operation.
Railroad means all forms of non-high-
Manufacture means the act of con- way ground transportation that run on
structing a locomotive. rails or electromagnetic guideways, in-
Modesty lock means a latch that can cluding:
be operated in the normal manner only (1) Commuter or other short-haul rail
from within the sanitary compartment, passenger service in a metropolitan or
that is designed to prevent entry of an- suburban area, and
other person when the sanitary com- (2) High speed ground transportation
partment is in use. A modesty lock systems that connect metropolitan
may be designed to allow deliberate areas, without regard to whether they
forced entry in the event of an emer- use new technologies not associated
gency. with traditional railroads. Such term
Monocoque design locomotive means a does not include rapid transit oper-
locomotive design where the shell or ations within an urban area that are
skin acts as a single unit with the sup- not connected to the general railroad
porting frame to resist and transmit system of transportation.
the loads acting on the locomotive. Remanufacture means the act of con-
MU locomotive means a multiple unit structing a remanufactured loco-
operated electric locomotive— motive.
(1) With one or more propelling mo- Remanufactured locomotive means a
tors designed to carry freight or pas- locomotive rebuilt or refurbished from
senger traffic or both; or a previously used or refurbished
(2) Without propelling motors but underframe (‘‘deck’’), containing fewer
with one or more control stands and a than 25% previously used components
means of picking-up primary power (measured by dollar value of the com-
such as a pantograph or third rail. ponents). For calculation purposes, the
Narrow-nose locomotive means a loco- percentage of previously used compo-
motive with a short hood that spans nents is determined with equivalent
459
§ 229.5 49 CFR Ch. II (10–1–11 Edition)
value of new parts and is calculated single unit with the supporting frame
using dollar values from the same year to resist and transmit the loads acting
as the new parts used to remanufacture on the locomotive.
the locomotive. Semi-permanently coupled means cou-
Roof rail means the longitudinal pled by means of a drawbar or other
structural member at the intersection coupling mechanism that requires
of the side wall and the roof sheathing. tools to perform the uncoupling oper-
Sand delivery system means a perma- ation.
nently stationed or fixed device de- Serious injury means an injury that
signed to deliver sand to locomotive results in the amputation of any ap-
sand boxes that do not require the sand pendage, the loss of sight in an eye, the
to be manually delivered or loaded. A fracture of a bone, or confinement in a
sand delivery system will be considered hospital for a period of more than 24
permanently stationed if it is at a loca- consecutive hours.
tion at least five days a week for at Short hood means the part of the lo-
least eight hours per day. comotive above the underframe located
Sanitary means lacking any condition between the cab and the nearest end of
in which any significant amount of the locomotive.
filth, trash, or human waste is present Standards body means an industry
in such a manner that a reasonable and/or professional organization or as-
person would believe that the condition sociation which conducts research and
might constitute a health hazard; or of develops and/or issues policies, criteria,
strong, persistent, chemical or human principles, and standards related to the
waste odors sufficient to deter use of rail industry.
the facility, or give rise to a reasonable Switching service means the classifica-
concern with respect to exposure to tion of railroad freight and passenger
hazardous fumes. Such conditions in- cars according to commodity or des-
clude, but are not limited to, a toilet tination; assembling cars for train
bowl filled with human waste, soiled movements; changing the position of
toilet paper, or other products used in cars for purposes of loading, unloading,
the toilet compartment, that are or weighing; placing locomotives and
present due to a defective toilet facil- cars for repair or storage; or moving
ity that will not flush or otherwise re- rail equipment in connection with
move waste; visible human waste res- work service that does not constitute a
idue on the floor or toilet seat that is train movement.
present due to a toilet that overflowed; Throttle position means any and all of
an accumulation of soiled paper towels the discrete output positions indi-
or soiled toilet paper on the floor, toi- cating the speed/tractive effort char-
let facility, or sink; an accumulation of acteristic requested by the operator of
visible dirt or human waste on the the locomotive on which the throttle is
floor, toilet facility, or sink; and installed. Together, the discrete output
strong, persistent chemical or human positions shall cover the entire range
waste odors in the compartment. of possible speed/tractive effort charac-
Sanitation compartment means an en- teristics. If the throttle has continu-
closed compartment on a railroad loco- ously variable segments, the event re-
motive that contains a toilet facility corder shall capture either:
for employee use. (1) The exact level of speed/tractive
Self-monitoring event recorder means effort characteristic requested, on a
an event recorder that has the ability scale of zero (0) to one hundred percent
to monitor its own operation and to (100%) of the output variable or
display an indication to the locomotive (2) A value converted from a percent-
operator when any data required to be age to a comparable 0 to 8 digital sig-
stored are not stored or when the nal.
stored data do not match the data re- Tier II means operating at speeds ex-
ceived from sensors or data collection ceeding 125 mph but not exceeding 150
points. mph.
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
460
manufacturer. In either case, the re- antibacterial waterless soap and paper
corder must be able to convert to an towels; or antibacterial moist
accurate time-of-day with the time towelettes and paper towels; or any
zone stated unless it is Greenwich other combination of suitable anti-
mean time (UTC). bacterial cleansing agents.
Toilet facility means a system that Wide-nose locomotive means a loco-
automatically or on command of the motive with a short hood that spans
user removes human waste to a place the full width of the locomotive.
where it is treated, eliminated, or re-
tained such that no solid or non-treat- [70 FR 37938, June 30, 2005, as amended at 71
ed liquid waste is thereafter permitted FR 36911, June 28, 2006; 71 FR 47666, Aug. 17,
to be released into the bowl, urinal, or 2006; 71 FR 61857, Oct. 19, 2006; 71 FR 63136,
room and that prevents harmful dis- Oct. 27, 2006; 72 FR 59223, Oct. 19, 2007]
charges of gases or persistent offensive
§ 229.7 Prohibited acts.
odors.
Transfer service means a freight train (a) The Locomotive Inspection Act
that travels between a point of origin (45 U.S.C. 22–34) makes it unlawful for
and a point of final destination not ex- any carrier to use or permit to be used
ceeding 20 miles and that is not per- on its line any locomotive unless the
forming switching service. entire locomotive and its appur-
Ultimate strength means the load at tenances—
which a structural member fractures or (1) Are in proper condition and safe
ceases to resist any load. to operate in the service to which they
Unsanitary means having any condi- are put, without unnecessary peril to
tion in which any significant amount life or limb; and
of filth, trash, or human waste is
(2) Have been inspected and tested as
present in such a manner that a rea-
required by this part.
sonable person would believe that the
condition might constitute a health (b) Any person (an entity of any type
hazard; or strong, persistent, chemical covered under 1 U.S.C. 1, including but
or human waste odors sufficient to not limited to the following: a railroad;
deter use of the facility, or give rise to a manager, supervisor, official, or
a reasonable concern with respect to other employee or agent of a railroad;
exposure to hazardous fumes. Such any owner, manufacturer, lessor, or
conditions include, but are not limited lessee of railroad equipment, track, or
to, a toilet bowl filled with human facilities; any independent contractor
waste, soiled toilet paper, or other providing goods or services to a rail-
products used in the toilet compart- road; and any employee of such owner,
ment, that are present due to a defec- manufacturer, lessor, lessee, or inde-
tive toilet facility that will not flush pendent contractor) who violates any
or otherwise remove waste; visible requirement of this part or of the Loco-
human waste residue on the floor or motive Inspection Act or causes the
toilet seat that is present due to a toi- violation of any such requirement is
let that overflowed; an accumulation of subject to a civil penalty of at least
soiled paper towels or soiled toilet $650 and not more than $25,000 per vio-
paper on the floor, toilet facility, or lation, except that: Penalties may be
sink; an accumulation of visible dirt or assessed against individuals only for
human waste on the floor, toilet facil-
willful violations, and, where a grossly
ity, or sink; and strong, persistent
negligent violation or a pattern of re-
chemical or human waste odors in the
compartment. peated violations has created an immi-
Upper 99% confidence limit means the nent hazard of death or injury to per-
noise level below which 99% of all noise sons, or has caused death or injury, a
level measurements must lie. penalty not to exceed $100,000 per viola-
Washing system means a system for tion may be assessed. Each day a viola-
use by railroad employees to maintain tion continues shall constitute a sepa-
personal cleanliness that includes a se- rate offense. See appendix B to this
cured sink or basin, water, anti-
bacterial soap, and paper towels; or
461
§ 229.9 49 CFR Ch. II (10–1–11 Edition)
part for a statement of agency civil tinue to utilize its propelling motors, if
penalty policy. the requirements of paragraph (a) are
otherwise fully met, until the earlier
[45 FR 21109, Mar. 31, 1980, as amended at 53
FR 28601, July 28, 1988; 53 FR 52931, Dec. 29, of—
1988; 63 FR 11622, Mar. 10, 1998; 69 FR 30594, (1) The next calendar day inspection,
May 28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR or
79703, Dec. 30, 2008] (2) The nearest forward point where
the repairs necessary to bring it into
§ 229.9 Movement of non-complying lo- compliance can be made.
comotives. (c) A non-complying locomotive may
(a) Except as provided in paragraphs be moved lite or dead within a yard, at
(b), (c), § 229.125(g), and § 229.131(b) and speeds not in excess of 10 miles per
(c)(1), a locomotive with one or more hour, without meeting the require-
conditions not in compliance with this ments of paragraph (a) of this section if
part may be moved only as a lite loco- the movement is solely for the purpose
motive or a dead locomotive after the of repair. The carrier is responsible to
carrier has complied with the fol- insure that the movement may be safe-
lowing: ly made.
(1) A qualified person shall deter- (d) A dead locomotive may not con-
mine— tinue in use following a calendar day
(i) That it is safe to move the loco- inspection as a controlling locomotive
motive; and or at the head of a train or locomotive
(ii) The maximum speed and other re- consist.
strictions necessary for safely con- (e) A locomotive does not cease to be
ducting the movement; a locomotive because its propelling
(2)(i) The engineer in charge of the motor or motors are inoperative or be-
movement of the locomotive shall be cause its control jumper cables are not
notified in writing and inform all other connected.
crew members in the cab of the pres- (f) Nothing in this section authorizes
ence of the non-complying locomotive the movement of a locomotive subject
and the maximum speed and other re- to a Special Notice for Repair unless
strictions determined under paragraph the movement is made in accordance
(a)(1)(ii) of this section. with the restrictions contained in the
(ii) A copy of the tag described in Special Notice.
paragraph (a)(3) of this section may be (g) Paragraphs (a), (b), and (c) of this
used to provide the notification re- section shall not apply to sanitation
quired by paragraph (a)(2)(i) of this sec- conditions covered by §§ 229.137 and
tion. 229.139. Sections 229.137 and 229.139 set
(3) A tag bearing the words ‘‘non- forth specific requirements for the
complying locomotive’’ and containing movement and repair of locomotives
the following information, shall be se- with defective sanitation compart-
curely attached to the control stand on ments.
each MU or control cab locomotive and [45 FR 21109, Mar. 31, 1980, as amended at 61
to the isolation switch or near the en- FR 8887, Mar. 6, 1996; 67 FR 16050, Apr. 4, 2002;
gine start switch on every other type 72 FR 59223, Oct. 19, 2007]
of locomotive—
(i) The locomotive number; § 229.11 Locomotive identification.
(ii) The name of the inspecting car- (a) The letter ‘‘F’’ shall be legibly
rier; shown on each side of every locomotive
(iii) The inspection location and near the end which for identification
date; purposes will be known as the front
(iv) The nature of each defect; end.
(v) Movement restrictions, if any; (b) The locomotive number shall be
(vi) The destination; and displayed in clearly legible numbers on
(vii) The signature of the person each side of each locomotive.
making the determinations required by
this paragraph. § 229.13 Control of locomotives.
(b) A locomotive that develops a non- Except when a locomotive is moved
complying condition enroute may con- in accordance with § 229.9, whenever
462
two or more locomotives are coupled in § 229.19 Prior waivers.

remote or multiple control, the propul-
All waivers of every form and type
sion system, the sanders, and the
from any requirement of any order or
power brake system of each locomotive
regulation implementing the Loco-
shall respond to control from the cab of
motive Inspection Act, applicable to
the controlling locomotive. If a dy- one or more locomotives except those
namic brake or regenerative brake sys- propelled by steam power, shall lapse
tem is in use, that portion of the sys- on August 31, 1980, unless a copy of the
tem in use shall respond to control grant of waiver is filed prior to that
from the cab of the controlling loco- date with the Office of Safety (RRS–23),
motive. Federal Railroad Administration,
Washington, DC 20590.
§ 229.14 Non-MU control cab loco-
motives.
On each non-MU control cab loco-
Subpart B—Inspections and Tests
motive, only those components added § 229.21 Daily inspection.
to the passenger car that enable it to
serve as a lead locomotive, control the (a) Except for MU locomotives, each
locomotive actually providing tractive locomotive in use shall be inspected at
power, and otherwise control the move- least once during each calendar day. A
ment of the train, are subject to this written report of the inspection shall
part. be made. This report shall contain the
name of the carrier; the initials and
§ 229.17 Accident reports. number of the locomotive; the place,
date and time of the inspection; a de-
(a) In the case of an accident due to scription of the non-complying condi-
a failure from any cause of a loco- tions disclosed by the inspection; and
motive or any part or appurtenance of the signature of the employee making
a locomotive, or a person coming in the inspection. Except as provided in
contact with an electrically energized §§ 229.9, 229.137, and 229.139, any condi-
part or appurtenance, that results in tions that constitute non-compliance
serious injury or death of one or more with any requirement of this part shall
persons, the carrier operating the loco- be repaired before the locomotive is
motive shall immediately report the used. Except with respect to conditions
accident by toll free telephone, Area that do not comply with § 229.137 or
Code 800–424–0201. The report shall § 229.139, a notation shall be made on
state the nature of the accident, num- the report indicating the nature of the
ber of persons killed or seriously in- repairs that have been made. Repairs
jured, the place at which it occurred, made for conditions that do not comply
the location at which the locomotive with § 229.137 or § 229.139 may be noted
or the affected parts may be inspected on the report, or in electronic form.
by the FRA, and the name, title and The person making the repairs shall
phone number of the person making sign the report. The report shall be
the call. The locomotive or the part or filed and retained for at least 92 days in
parts affected by the accident shall be the office of the carrier at the terminal
preserved intact by the carrier until at which the locomotive is cared for. A
after the FRA inspection. record shall be maintained on each lo-
(b) Written confirmation of the oral comotive showing the place, date and
report required by paragraph (a) of this time of the previous inspection.
section shall be immediately mailed to (b) Each MU locomotive in use shall
the Federal Railroad Administration, be inspected at least once during each
RRS–25, Washington, DC 20590, and con- calendar day and a written report of
tain a detailed description of the acci- the inspection shall be made. This re-
dent, including to the extent known, port may be part of a single master re-
the causes and the number of persons port covering an entire group of MU’s.
killed and injured. The written report If any non-complying conditions are
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
463
§ 229.23 49 CFR Ch. II (10–1–11 Edition)
the locomotive; the place, date, and (c) After April 30, 1980, each new loco-
time of the inspection; the non-com- motive shall receive an initial periodic
plying conditions found; and the signa- inspection before it is used. Except as
ture of the inspector. Except as pro- provided in § 229.33, each locomotive in
vided in §§ 229.9, 229.137, and 229.139, any use on or before April 30, 1980, shall re-
conditions that constitute non-compli- ceive an initial periodic inspection
ance with any requirement of this part within 92 days of the last 30-day inspec-
shall be repaired before the locomotive tion performed under the prior rules (49
is used. Except with respect to condi- CFR 230.331 and 230.451). At the initial
tions that do not comply with § 229.137 periodic inspection, the date and place
or § 229.139, a notation shall be made on of the last tests performed that are the
the report indicating the nature of the equivalent of the tests required by
repairs that have been made. Repairs §§ 229.27, 229.29, and 229.31 shall be en-
made for conditions that do not comply tered on Form FRA F 6180–49A. These
with § 229.137 or § 229.139 may be noted dates shall determine when the tests
on the report, or in electronic form. A first become due under §§ 229.27, 229.29,
notation shall be made on the report and 229.31. Out of use credit may be
indicating the nature of the repairs carried over from Form FRA F 6180–49
that have been made. The person mak- and entered on Form FRA F 6180–49A.
ing the repairs shall sign the report. (d) Each periodic inspection shall be
The report shall be filed in the office of recorded on Form FRA F 6180–49A. The
the carrier at the place where the inform shall be signed by the person con-
spection is made or at one central loca- ducting the inspection and certified by
tion and retained for at least 92 days. that person’s supervisor that the work
(c) Each carrier shall designate quali- was done. The form shall be displayed
fied persons to make the inspections under a transparent cover in a con-
required by this section. spicuous place in the cab of each loco-
motive.
[45 FR 21109, Mar. 31, 1980, as amended at 50 (e) At the first periodic inspection in
FR 6953, Feb. 19, 1985; 67 FR 16050, Apr. 4, each calendar year the carrier shall re-
2002] move from each locomotive Form FRA
F 6180–49A covering the previous cal-
§ 229.23 Periodic inspection: General.
endar year. If a locomotive does not re-
(a) Each locomotive and steam gener- ceive its first periodic inspection in a
ator shall be inspected at each periodic calendar year before April 2 because it
inspection to determine whether it is out of use, the form shall be prompt-
complies with this part. Except as pro- ly replaced. The Form FRA F 6180–49A
vided in § 229.9, all non-complying con- covering the preceding year for each
ditions shall be repaired before the lo- locomotive, in or out of use, shall be
comotive or the steam generator is signed by the railroad official respon-
used. Except as provided in § 229.33, the sible for the locomotive and filed as re-
interval between any two periodic in- quired in § 229.23(f). The date and place
spections may not exceed 92 days. Peri- of the last periodic inspection and the
odic inspections shall only be made date and place of the last test per-
where adequate facilities are available. formed under §§ 229.27, 229.29, and 229.31
At each periodic inspection, a loco- shall be transferred to the replacement
motive shall be positioned so that a Form FRA F 6180–49A.
person may safely inspect the entire (f) The mechanical officer of each
underneath portion of the locomotive. railroad who is in charge of a loco-
(b) The periodic inspection of the motive shall maintain in his office a
steam generator may be postponed in- secondary record of the information re-
definitely if the water suction pipe to ported on Form FRA F 6180–49A under
the water pump and the leads to the this part. The secondary record shall
main switch (steam generator switch) be retained until Form FRA F 6180–49A
are disconnected, and the train line has been removed from the locomotive
shut-off-valve is wired closed or a blind and filed in the railroad office of the
gasket applied. However, the steam mechanical officer in charge of the lo-
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
464
clearly legible, the secondary record (1) A written or electronic copy of

shall be retained until the Form FRA F the instructions in use shall be kept at
6180–49A for the succeeding year is the point where the work is performed
filed. The Form F 6180–49A removed and a hard-copy version, written in the
from a locomotive shall be retained English language, shall be made avail-
until the Form FRA F 6180–49A for the able upon request of a governmental
succeeding year is filed. agent empowered to request it.
[45 FR 21109, Mar. 31, 1980, as amended at 45 (2) The event recorder shall be tested
FR 39852, June 12, 1980; 50 FR 6953, Feb. 19, before any maintenance work is per-
1985] formed on it. At a minimum, the event
recorder test shall include cycling, as
§ 229.25 Tests: Every periodic inspec- practicable, all required recording ele-
tion. ments and determining the full range
Each periodic inspection shall in- of each element by reading out re-
clude the following: corded data.
(a) All mechanical gauges used by the (3) If the pre-maintenance test does
engineer to aid in the control or brak- not reveal that the device is recording
ing of the train or locomotive, except all the specified data and that all re-
load meters used in conjunction with cordings are within the designed re-
an auxiliary brake system, shall be cording elements, this fact shall be
tested by comparison with a dead- noted, and maintenance and testing
weight tester or a test gauge designed shall be performed as necessary until a
for this purpose. subsequent test is successful.
(b) All electrical devices and visible (4) When a successful test is accom-
insulation shall be inspected. plished, a copy of the data-verification
(c) All cable connections between lo- results shall be maintained in any me-
comotives and jumpers that are de- dium with the maintenance records for
signed to carry 600 volts or more shall the locomotive until the next one is
be thoroughly cleaned, inspected, and filed.
tested for continuity. (5) A railroad’s event recorder peri-
(d) Each steam generator that is not odic maintenance shall be considered
isolated as prescribed in § 229.23(b) shall effective if 90 percent of the recorders
be inspected and tested as follows: on locomotives inbound for periodic in-
(1) All automatic controls, alarms spection in any given calendar month
and protective devices shall be in- are still fully functional; maintenance
spected and tested. practices and test intervals shall be ad-
(2) Steam pressure gauges shall be justed as necessary to yield effective
tested by comparison with a dead- periodic maintenance.
weight tester or a test gauge designed [45 FR 21109, Mar. 31, 1980, as amended at 58
for this purpose. The siphons to the FR 36614, July 8, 1993; 60 FR 27905, May 26,
steam gauges shall be removed and 1995; 66 FR 4192, Jan. 17, 2001; 70 FR 37939,
their connections examined to deter- June 30, 2005]
mine that they are open.
(3) Safety valves shall be set and § 229.27 Annual tests.
tested under steam after the steam A locomotive, except for a DMU or
pressure gauge is tested. MU locomotive, shall be subjected to
(e) Event recorder. A microprocessor- the tests and inspections prescribed in
based self-monitoring event recorder, if paragraphs (a), (b), and (c) of this sec-
installed, is exempt from periodic in- tion. A DMU locomotive or an MU lo-
spection under paragraphs (e)(1) comotive shall be subjected to the tests
through (e)(5) of this section and shall and inspections prescribed in para-
be inspected annually as required by graphs (b) and (c) of this section. A lo-
§ 229.27(d). Other types of event record- comotive, including a DMU locomotive
ers, if installed, shall be inspected, or an MU locomotive, equipped with a
maintained, and tested in accordance microprocessor-based event recorder
with instructions of the manufacturer, that includes a self-monitoring feature,
supplier, or owner thereof and in ac- shall be subjected to the tests and in-
cordance with the following criteria: spections prescribed in paragraph (d) of
465
§ 229.29 49 CFR Ch. II (10–1–11 Edition)
this section. All testing under this sec- water-flow indicator shall be removed
tion shall be performed at intervals and inspected.
that do not exceed 368 calendar days. (d) A microprocessor-based event re-
(a)(1) The filtering devices or dirt corder with a self-monitoring feature
collectors located in the main reservoir equipped to verify that all data ele-
supply line to the air brake system ments required by this part are re-
shall be cleaned, repaired, or replaced. corded, requires further maintenance
(2) Brake cylinder relay valve por- only if either or both of the following
tions, main reservoir safety valves, conditions exist:
brake pipe vent valve portions, feed (1) The self-monitoring feature dis-
and reducing valve portions in the air plays an indication of a failure. If a
brake system (including related dirt failure is displayed, further mainte-
collectors and filters) shall be cleaned, nance and testing must be performed
repaired, and tested. until a subsequent test is successful.
(3) The date and place of the clean- When a successful test is accomplished,
ing, repairing, and testing shall be re- a record, in any medium, shall be made
corded on Form FRA F 6180–49A and of that fact and of any maintenance
the person performing the work and work necessary to achieve the success-
that person’s supervisor shall sign the ful result. This record shall be avail-
form. A record of the parts of the air able at the location where the loco-
brake system that are cleaned, re- motive is maintained until a record of
paired, and tested shall be kept in the a subsequent successful test is filed.
carrier’s files or in the cab of the loco- (2) A download of the event recorder,
motive. taken within the preceding 30 days and
(4) At its option, a carrier may frag- reviewed for the previous 48 hours of
ment the work required by this para- locomotive operation, reveals a failure
graph. In that event, a separate air to record a regularly recurring data
record shall be maintained under a element or reveals that any required
transparent cover in the cab. The air data element is not representative of
record shall include the locomotive the actual operations of the locomotive
number, a list of the air brake compo- during this time period. If the review is
nents, and the date and place of the not successful, further maintenance
last inspection and test of each compo- and testing shall be performed until a
nent. The signature of the person per- subsequent test is successful. When a
forming the work and the signature of successful test is accomplished, a
that person’s supervisor shall be in- record, in any medium, shall be made
cluded for each component. A duplicate of that fact and of any maintenance
record shall be maintained in the car- work necessary to achieve the success-
rier’s files. ful result. This record shall be kept at
(b) The load meter shall be tested. the location where the locomotive is
Each device used by the engineer to aid maintained until a record of a subse-
in the control or braking of the train quent successful test is filed. The
download shall be taken from informa-
or locomotive that provides an indica-
tion stored in the certified crash-
tion of air pressure electronically shall
worthy crash hardened event recorder
be tested by comparison with a test
memory module if the locomotive is so
gauge or self-test designed for this pur-
equipped.
pose. An error of greater than five per-
cent or three pounds per square inch [45 FR 21109, Mar. 31, 1980, as amended at 66
shall be corrected. The date and place FR 4192, Jan. 17, 2001; 70 FR 37940, June 30,
of the test shall be recorded on Form 2005]
FRA F 6180–49A, and the person con-
ducting the test and that person’s su- § 229.29 Biennial tests.
pervisor shall sign the form. (a) Except for the valves and valve
(c) Each steam generator that is not portions on non-MU locomotives that
isolated as prescribed in § 229.23(b), are cleaned, repaired, and tested as pre-
shall be subjected to a hydrostatic scribed in § 229.27(a), all valves, valve
pressure at least 25 percent above the portions, MU locomotive brake cyl-
working pressure and the visual return inders and electric-pneumatic master
466
controllers in the air brake system (in- days. The test date and place shall be
cluding related dirt collectors and fil- recorded on Form FRA F 6180–49A, and
ters) shall be cleaned, repaired, and the person performing the test and
tested at intervals that do not exceed that person’s supervisor shall sign the
736 calendar days. The date and place form.
of the cleaning, repairing, and testing (c) Each welded main reservoir origi-
shall be recorded on Form FRA F 6180– nally constructed to withstand at least
49A, and the person performing the five times the maximum working pres-
work and that person’s supervisor shall sure fixed by the chief mechanical offi-
sign the form. A record of the parts of
cer may be drilled over its entire sur-
the air brake system that are cleaned,
face with telltale holes that are three-
repaired, and tested shall be kept in
sixteenths of an inch in diameter. The
the carrier’s files or in the cab of the
locomotive. holes shall be spaced not more than 12
(b) At its option, a carrier may frag- inches apart, measured both longitu-
ment the work required by this sec- dinally and circumferentially, and
tion. In that event, a separate air drilled from the outer surface to an ex-
record shall be maintained under a treme depth determined by the for-
transparent cover in the cab. The air mula—
record shall include the locomotive D = (.6PR/S–0.6P)
number, a list of the air brake compo-
nents, and the date and place of the in- Where:
spection and test of each component. D = extreme depth of telltale holes in inches
The signature of the person performing but in no case less than one-sixteenth inch;
the work and the signature of that per- P = certified working pressure in pounds per
son’s supervisor shall be included for square inch;
each component. A duplicate record S = one-fifth of the minimum specified ten-
sile strength of the material in pounds per
shall be maintained in the carrier’s
square inch; and
files.
R = inside radius of the reservoir in inches.
§ 229.31 Main reservoir tests. One row of holes shall be drilled
(a) Before it is placed in service, each lengthwise of the reservoir on a line
main reservoir other than an alu- intersecting the drain opening. A res-
minum reservoir shall be subjected to a ervoir so drilled does not have to meet
pneumatic or hydrostatic pressure of the requirements of paragraphs (a) and
at least 25 percent more than the max- (b) of this section, except the require-
imum working pressure fixed by the ment for a pneumatic or hydrostatic
chief mechanical officer. The test date, test before it is placed in use. When-
place, and pressure shall be recorded on ever any such telltale hole shall have
Form FRA F 6180–49A, block eighteen. penetrated the interior of any res-
Except as provided in paragraph (c) of ervoir, the reservoir shall be perma-
this section, at intervals that do not nently withdrawn from service. A res-
exceed 736 calendar days, each main ervoir now in use may be drilled in lieu
reservoir other than an aluminum res- of the tests provided for by paragraphs
ervoir shall be subjected to a hydro- (a) and (b) of this section, but shall re-
static pressure of at least 25 percent
ceive a hydrostatic test before it is re-
more than the maximum working pres-
turned to use or may receive a pneu-
sure fixed by the chief mechanical offi-
matic test if conducted by the manu-
cer. The test date, place, and pressure
shall be recorded on Form FRA F 6180– facturer in an appropriately safe envi-
49A, and the person performing the test ronment.
and that person’s supervisor shall sign (d) Each aluminum main reservoir
the form. before being placed in use and at inter-
(b) Except as provided in paragraph vals that do not exceed 736 calendar
(c) of this section, each main reservoir days thereafter, shall be—
other than an aluminum reservoir shall (1) Cleaned and given a thorough vis-
be hammer tested over its entire sur- ual inspection of all internal and exter-
face while the reservoir is empty at in- nal surfaces for evidence of defects or
tervals that do not exceed 736 calendar deterioration; and
467
§ 229.33 49 CFR Ch. II (10–1–11 Edition)
(2) Subjected to a hydrostatic pres- other compartments under usual oper-

sure at least twice the maximum work- ating conditions.
ing pressure fixed by the chief mechan- (b) Battery containers shall be vent-
ical officer, but not less than 250 p.s.i. ed and batteries kept from gassing ex-
The test date, place, and pressure shall cessively.
be recorded on Form FRA F 6180–49A,
and the person conducting the test and § 229.45 General condition.
that person’s supervisor shall sign the All systems and components on a lo-
form. comotive shall be free of conditions
[45 FR 21109, Mar. 31, 1980, as amended at 71
that endanger the safety of the crew,
FR 61857, Oct. 19, 2006] locomotive or train. These conditions
include: insecure attachment of compo-
§ 229.33 Out-of-use credit. nents, including third rail shoes or
beams, traction motors and motor gear
When a locomotive is out of use for 30
cases, and fuel tanks; fuel, oil, water,
or more consecutive days or is out of
steam, and other leaks and accumula-
use when it is due for any test or in-
tions of oil on electrical equipment
spection required by § 229.23, § 229.25,
that create a personal injury hazard;
§ 229.27, § 229.29, or § 229.31, an out-of-use
improper functioning of components,
notation showing the number of out-of-
including slack adjusters, pantograph
use days shall be made on an inspec-
operating cylinders, circuit breakers,
tion line on Form FRA F 6180–49A. A
contactors, relays, switches, and fuses;
supervisory employee of the carrier
and cracks, breaks, excessive wear and
who is responsible for the locomotive
other structural infirmities of compo-
shall attest to the notation. If the loco-
nents, including quill drives, axles,
motive is out of use for one or more pe-
gears, pinions, pantograph shoes and
riods of at least 30 consecutive days
horns, third rail beams, traction motor
each, the interval prescribed for any
gear cases, and fuel tanks.
test or inspection under this part may
be extended by the number of days in BRAKE SYSTEM
each period the locomotive is out of
use since the last test or inspection in § 229.46 Brakes: General.
question. A movement made in accord- The carrier shall know before each
ance with § 229.9 is not a use for pur- trip that the locomotive brakes and de-
poses of determining the period of the vices for regulating all pressures, in-
out-of-use credit. cluding but not limited to the auto-
matic and independent brake valves,
Subpart C—Safety Requirements operate as intended and that the water
and oil have been drained from the air
GENERAL REQUIREMENTS brake system.
§ 229.41 Protection against personal § 229.47 Emergency brake valve.
injury.
(a) Except for locomotives with cabs
Fan openings, exposed gears and pin- designed for occupancy by only one
ions, exposed moving parts of mecha- person, each road locomotive shall be
nisms, pipes carrying hot gases and equipped with a brake pipe valve that
high-voltage equipment, switches, cir- is accessible to a member of the crew,
cuit breakers, contactors, relays, grid other than the engineer, from that
resistors, and fuses shall be in non-haz- crew member’s position in the cab. On
ardous locations or equipped with car body type locomotives, a brake
guards to prevent personal injury. pipe valve shall be attached to the wall
adjacent to each end exit door. The
§ 229.43 Exhaust and battery gases. words ‘‘Emergency Brake Valve’’ shall
(a) Products of combustion shall be be legibly stenciled or marked near
released entirely outside the cab and each brake pipe valve or shall be shown
other compartments. Exhaust stacks on an adjacent badge plate.
shall be of sufficient height or other (b) DMU, MU, and control cab loco-
means provided to prevent entry of motives operated in road service shall
products of combustion into the cab or be equipped with an emergency brake
468
valve that is accessible to another crew neers (ASME) Specification SB–209, as

member in the passenger compartment defined in the ‘‘ASME Boiler and Pres-
or vestibule. The words ‘‘Emergency sure Vessel Code’’ (1971 edition), sec-
Brake Valve’’ shall be legibly stenciled tion II, Part B, page 123, with a min-
or marked near each valve or shall be imum tensile strength of 40,000 p.s.i. (40
shown on an adjacent badge plate. k.s.i.).
[45 FR 21109, Mar. 31, 1980, as amended at 71 (2) Each aluminum main reservoir
FR 61857, Oct. 19, 2006] shall be designed and fabricated in ac-
cordance with the ‘‘ASME Boiler and
§ 229.49 Main reservoir system.
Pressure Vessel Code,’’ section VIII,
(a)(1) The main reservoir system of Division I (1971 edition), except as oth-
each locomotive shall be equipped with erwise provided in this part.
at least one safety valve that shall pre- (3) An aluminum main reservoir shall
vent an accumulation of pressure of be constructed to withstand at least
more than 15 pounds per square inch
five times its maximum working pres-
above the maximum working air pres-
sure or 800 p.s.i., whichever is greater.
sure fixed by the chief mechanical offi-
cer of the carrier operating the loco- (4) Each aluminum main reservoir
motive. shall have at least two inspection open-
(2) Except for non-equipped MU loco- ings to permit complete circumferen-
motives built prior to January 1, 1981, tial visual observation of the interior
each locomotive that has a pneumati- surface. On reservoirs less than 18
cally actuated system of power con- inches in diameter, the size of each in-
trols shall be equipped with a separate spection opening shall be at least that
reservoir of air under pressure to be of 11⁄2-inch threaded iron pipe, and on
used for operating those power con- reservoirs 18 or more inches in diame-
trols. The reservoir shall be provided ter, the size of each opening shall be at
with means to automatically prevent least that of 2-inch threaded iron pipe.
the loss of pressure in the event of a (b) The following publications, which
failure of main air pressure, have stor- contain the industry standards incor-
age capacity for not less than three porated by reference in paragraph (a) of
complete operating cycles of control this section, may be obtained from the
equipment and be located where it is
publishers and are also on file in the
not exposed to damage.
(b) A governor shall be provided that Office of Safety of the Federal Railroad
stops and starts or unloads and loads Administration, Washington, DC 20590.
the air compressor within 5 pounds per Sections II and VIII of the ‘‘ASME
square inch above or below the max- Boiler and Pressure Vessel Code’’ (1971
imum working air pressure fixed by the edition) are published by the American
carrier. Society of Mechanical Engineers,
(c) Each compressor governor used in United Engineering Center, 345 East
connection with the automatic air 47th Street, New York, New York 10017.
brake system shall be adjusted so that
the compressor will start when the § 229.53 Brake gauges.
main reservoir pressure is not less than All mechanical gauges and all de-
15 pounds per square inch above the vices providing indication of air pres-
maximum brake pipe pressure fixed by sure electronically that are used by the
the carrier and will not stop the com- engineer to aid in the control or brak-
pressor until the reservoir pressure has ing of the train or locomotive shall be
increased at least 10 pounds.
located so that they may be conven-
§ 229.51 Aluminum main reservoirs. iently read from the engineer’s usual
position during operation of the loco-
(a) Aluminum main reservoirs used
motive. A gauge or device shall not be
on locomotives shall be designed and
fabricated as follows: more than five percent or three pounds
(1) The heads and shell shall be made per square inch in error, whichever is
of Aluminum Association Alloy No. less.
5083–0, produced in accordance with [66 FR 4192, Jan. 17, 2001]
American Society of Mechnical Engi-
469
§ 229.55 49 CFR Ch. II (10–1–11 Edition)
§ 229.55 Piston travel. ceed an average of 3 pounds per square

inch per minute for 3 minutes after the
(a) Brake cylinder piston travel shall
pressure has been reduced to 60 percent
be sufficient to provide brake shoe
of the maximum pressure.
clearance when the brakes are released.
(b) Brake pipe leakage may not ex-
(b) When the brakes are applied on a
ceed 5 pounds per square inch per
standing locomotive, the brake cyl-
minute.
inder piston travel may not exceed 11⁄2
(c) With a full service application at
inches less than the total possible pis-
maximum brake pipe pressure and with
ton travel. The total possible piston
communication to the brake cylinders
travel for each locomotive shall be en-
closed, the brakes shall remain applied
tered on Form FRA F 6180–49A.
at least 5 minutes.
(c) The minimum brake cylinder
(d) Leakage from control air res-
pressure shall be 30 pounds per square
ervoir, related piping, and pneumati-
inch.
cally operated controls may not exceed
§ 229.57 Foundation brake gear. an average of 3 pounds per square inch
per minute for 3 minutes.
A lever, rod, brake beam, hanger, or
pin may not be worn through more DRAFT SYSTEM
than 30 percent of its cross-sectional
area, cracked, broken, or missing. All § 229.61 Draft system.
pins shall be secured in place with (a) A coupler may not have any of
cotters, split keys, or nuts. Brake the following conditions:
shoes shall be fastened with a brake (1) A distance between the guard arm
shoe key and aligned in relation to the and the knuckle nose of more than 51⁄8
wheel to prevent localized thermal inches on standard type couplers (MCB
stress in the edge of the rim or the contour 1904) or more than 55⁄16 inches
flange. on D&E couplers.
(2) A crack or break in the side wall
§ 229.59 Leakage. or pin bearing bosses outside of the
(a) Leakage from the main air res- shaded areas shown in Figure 1 or in
ervoir and related piping may not ex- the pulling face of the knuckle.
(3) A coupler assembly without anti- (5) A broken or cracked coupler car-
creep protection. rier.
(4) Free slack in the coupler or draw- (6) A broken or cracked yoke.
bar not absorbed by friction devices or (7) A broken draft gear.
draft gears that exceeds one-half (b) A device shall be provided under
inches. the lower end of all drawbar pins and
470
EC01AP91.004</GPH>
articulated connection pins to prevent vent the truck and locomotive body
the pin from falling out of place in case from separating in case of derailment.
of breakage. (c) A truck may not have a loose tie
bar or a cracked or broken center cast-
SUSPENSION SYSTEM ing, motor suspension lug, equalizer,
hanger, gib or pin. A truck frame may
§ 229.63 Lateral motion. not be broken or have a crack in a
(a) Except as provided in paragraph stress area that may affect its struc-
(b), the total uncontrolled lateral mo- tural integrity.
tion between the hubs of the wheels
and boxes, between boxes and pedestals § 229.69 Side bearings.
or both, on any pair of wheels may not (a) Friction side bearings with
exceed 1 inch on non-powered axles and springs designed to carry weight may
friction bearing powered axles, or 3⁄4 not have more than 25 percent of the
inch on all other powered axles. springs in any one nest broken.
(b) The total uncontrolled lateral (b) Friction side bearings may not be
motion may not exceed 11⁄4 inches on run in contact unless designed to carry
the center axle of three-axle trucks. weight. Maximum clearance of side
bearings may not exceed one-fourth
§ 229.64 Plain bearings. inch on each side or a total of one-half
A plain bearing box shall contain inch on both sides, except where more
visible free oil and may not be cracked than two side bearings are used under
to the extent that it will leak oil. the same rigid superstructure. The
clearance on one pair of side bearings
§ 229.65 Spring rigging. under the same rigid superstructure
(a) Protective construction or safety shall not exceed one-fourth inch on
hangers shall be provided to prevent each side or a total of one-half inch on
spring planks, spring seats or bolsters both sides; the other side bearings
from dropping to track structure in under the same rigid superstructure
event of a hanger or spring failure. may have one-half inch clearance on
(b) An elliptical spring may not have each side or a total of 1 inch on both
its top (long) leaf broken or any other sides. These clearances apply where the
three leaves broken, except when that spread of the side bearings is 50 inches
spring is part of a nest of three or more or less; where the spread is greater, the
springs and none of the other springs in side bearing clearance may only be in-
the nest has its top leaf or any other creased proportionately.
three leaves broken. An outer coil
spring or saddle may not be broken. An § 229.71 Clearance above top of rail.
equalizer, hanger, bolt, gib, or pin may No part or appliance of a locomotive
not be cracked or broken. A coil spring except the wheels, flexible nonmetallic
may not be fully compressed when the sand pipe extension tips, and trip cock
locomotive is at rest. arms may be less than 21⁄2 inches above
(c) A shock absorber may not be bro- the top of rail.
ken or leaking clearly formed droplets
of oil or other fluid. § 229.73 Wheel sets.
(a) The variation in the circum-
§ 229.67 Trucks. ference of wheels on the same axle may
(a) The male center plate shall ex- not exceed 1⁄4 inch (two tape sizes)
tend into the female center plate at when applied or turned.
least 3⁄4 inch. On trucks constructed to (b) The maximum variation in the di-
transmit tractive effort through the ameter between any two wheel sets in
center plate or center pin, the male a three-powered-axle truck may not ex-
center plate shall extend into the fe- ceed 3⁄4 inch, except that when shims
male center plate at least 11⁄2 inches. are used at the journal box springs to
Maximum lost motion in a center plate compensate for wheel diameter vari-
assemblage may not exceed 1⁄2 inch. ation, the maximum variation may not
(b) Each locomotive shall have a de- exceed 11⁄4 inch. The maximum vari-
vice or securing arrangement to pre- ation in the diameter between any two
471
§ 229.75 49 CFR Ch. II (10–1–11 Edition)
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
on wide flange wheels may not be less locking device to secure them in the
than 53 inches or more than 531⁄4 inches. down position.
(d) The distance back to back of (b) Each pantograph operating on an
flanges of wheels mounted on the same overhead trolley wire shall have a de-
axle shall not vary more than 1⁄4 inch. vice for locking and grounding it in the
lowest position, that can be applied
§ 229.75 Wheels and tire defects. and released only from a position
Wheels and tires may not have any of where the operator has a clear view of
the following conditions: the pantograph and roof without
(a) A single flat spot that is 21⁄2 mounting the roof.
inches or more in length, or two ad-
joining spots that are each two or more § 229.79 Third rail shoes.
inches in length. When locomotives are equipped with
(b) A gouge or chip in the flange that both third rail and overhead collectors,
is more than 11⁄2 inches in length and 1⁄2 third-rail shoes shall be deenergized
inch in width. while in yards and at stations when
(c) A broken rim, if the tread, meas- current collection is exclusively from
ured from the flange at a point five- the overhead conductor.
eighths inch above the tread, is less
than 33⁄4 inches in width. § 229.81 Emergency pole; shoe insula-
(d) A shelled-out spot 21⁄2 inches or tion.
more in length, or two adjoining spots (a) Each locomotive equipped with a
that are each two or more inches in pantograph operating on an overhead
length. trolley wire shall have an emergency
(e) A seam running lengthwise that is pole suitable for operating the panto-
within 33⁄4 inches of the flange. graph. Unless the entire pole can be
(f) A flange worn to a 7⁄8 inch thick- safely handled, the part of the pole
ness or less, gauged at a point 3⁄8 inch which can be safely handled shall be
above the tread. marked to so indicate. This pole shall
(g) A tread worn hollow 5⁄16 inch or be protected from moisture when not
more on a locomotive in road service in use.
or 3⁄8 inch or more on a locomotive in (b) Each locomotive equipped with
switching service. third-rail shoes shall have a device for
(h) A flange height of 11⁄2 inches or insulating the current collecting appa-
more measured from tread to the top of ratus from the third rail.
the flange.
(i) Tires less than 11⁄2 inches thick. § 229.83 Insulation or grounding of
(j) Rims less than 1 inch thick on a metal parts.
locomotive in road service or less than All unguarded noncurrent-carrying
3⁄4 inch on a locomotive in yard service. metal parts subject to becoming
(k) A crack or break in the flange, charged shall be grounded or thor-
tread, rim, plate, or hub. oughly insulated.
(l) A loose wheel or tire.
(m) Fusion welding may not be used § 229.85 Doors and cover plates
on tires or steel wheels of locomotives, marked ‘‘Danger’’.
except for the repair of flat spots and All doors and cover plates guarding
worn flanges on locomotives used ex- high voltage equipment shall be
clusively in yard service. A wheel that marked ‘‘Danger—High Voltage’’ or
472
with the word ‘‘Danger’’ and the nor- § 229.95 Venting.

mal voltage carried by the parts so pro-
Fuel tank vent pipes may not dis-
tected.
charge on the roof nor on or between
§ 229.87 Hand-operated switches. the rails.
All hand-operated switches carrying § 229.97 Grounding fuel tanks.
currents with a potential of more than
Fuel tanks and related piping shall
150 volts that may be operated while
be electrically grounded.
under load shall be covered and shall be
operative from the outside of the cover. § 229.99 Safety hangers.
Means shall be provided to show wheth-
er the switches are open or closed. Drive shafts shall have safety hang-
Switches that should not be operated ers.
while under load shall be legibly
§ 229.101 Engines.
marked with the words ‘‘must not be
operated under load’’ and the voltage (a) The temperature and pressure
carried. alarms, controls and related switches
of internal combustion engines shall
§ 229.89 Jumpers; cable connections. function properly.
(a) Jumpers and cable connections (b) Whenever an engine has been shut
between locomotives shall be so lo- down due to mechanical or other prob-
cated and guarded to provide sufficient lems, a distinctive warning notice giv-
vertical clearance. They may not hang ing reason for the shut-down shall be
with one end free. conspicuously attached near the engine
(b) Cable and jumper connections be- starting control until repairs have been
tween locomotive may not have any of made.
the following conditions: (c) Wheel slip/slide protection shall
(1) Broken or badly chafed insulation. be provided on a locomotive with an
(2) Broken plugs, receptacles or ter- engine displaying a warning notice
minals. whenever required by § 229.115(b).
(3) Broken or protruding strands of
wire. STEAM GENERATORS
§ 229.91 Motors and generators. § 229.103 Safe working pressure; factor

of safety.
A motor or a generator may not have
The safe working pressure for each
any of the following conditions:
steam generator shall be fixed by the
(a) Be shorted or grounded.
chief mechanical officer of the carrier.
(b) Throw solder excessively.
The minimum factor of safety shall be
(c) Show evidence of coming apart.
four. The fixed safe working pressure
(d) Have an overheated support bear-
shall be indicated on FRA Form F 6180–
ing.
(e) Have an excessive accumulation 49A.
of oil. § 229.105 Steam generator number.
INTERNAL COMBUSTION EQUIPMENT An identification number shall be
marked on the steam generator’s sepa-
§ 229.93 Safety cut-off device. rator and that number entered on FRA
The fuel line shall have a safety cut- Form F 6180–49A.
off device that—
(a) Is located adjacent to the fuel § 229.107 Pressure gauge.
supply tank or in another safe loca- (a) Each steam generator shall have
tion; an illuminated steam gauge that cor-
(b) Closes automatically when rectly indicates the pressure. The
tripped and can be reset without haz- steam pressure gauge shall be grad-
ard; and uated to not less than one and one-half
(c) Can be hand operated from clearly times the allowed working pressure of
marked locations, one inside the cab the steam generator.
and one on each exterior side of the lo- (b) Each steam pressure gauge on a
comotive. steam generator shall have a siphon
473
§ 229.109 49 CFR Ch. II (10–1–11 Edition)
that prevents steam from entering the slip/slide alarm of each locomotive
gauge. The pipe connection shall di- shall be shown in the cab of the con-
rectly enter the separator and shall be trolling locomotive.
steam tight between the separator and (b) Except as provided in § 229.9, an
the gauge. equipped locomotive may not be dis-
patched in road service, or continue in
§ 229.109 Safety valves. road service following a daily inspec-
Every steam generator shall be tion, unless the wheel slip/slide protec-
equipped with at least two safety tive device of whatever type—
valves that have a combined capacity (1) Is functioning for each powered
to prevent an accumulation of pressure axle under power; and
of more than five pounds per square (2) Would function on each powered
inch above the allowed working pres- axle if it were under power.
sure. The safety valves shall be inde- (c) Effective January 1, 1981, all new
pendently connected to the separator locomotives capable of being used in
and located as closely to the separator road service shall be equipped with a
as possible without discharging inside device that detects wheel slip/slide for
of the generator compartment. The each powered axle when it is under
ends of the safety valve discharge lines power. The device shall produce an au-
shall be located or protected so that dible or visual alarm in the cab.
discharged steam does not create a haz-
ard. § 229.117 Speed indicators.
§ 229.111 Water-flow indicator. (a) After December 31, 1980, each lo-
comotive used as a controlling loco-
(a) Steam generators shall be motive at speeds in excess of 20 miles
equipped with an illuminated visual re- per hour shall be equipped with a speed
turn water-flow indicator. indicator which is—
(b) Steam generators shall be
(1) Accurate within ±3 miles per hour
equipped with an operable test valve or
of actual speed at speeds of 10 to 30
other means of determining whether
miles per hour and accurate within ±5
the steam generator is filled with
miles per hour at speeds above 30 miles
water. The fill test valve may not dis-
per hour; and
charge steam or hot water into the
(2) Clearly readable from the engi-
steam generator compartment.
neer’s normal position under all light
§ 229.113 Warning notice. conditions.
(b) Each speed indicator required
Whenever any steam generator has
shall be tested as soon as possible after
been shut down because of defects, a
departure by means of speed test sec-
distinctive warning notice giving rea-
tions or equivalent procedures.
sons for the shut-down shall be con-
spicuously attached near the steam § 229.119 Cabs, floors, and passage-
generator starting controls until the ways.
necessary repairs have been made. The
locomotive in which the steam gener- (a) Cab seats shall be securely
ator displaying a warning notice is lo- mounted and braced. Cab doors shall be
cated may continue in service until the equipped with a secure and operable
next periodic inspection. latching device.
(b) Cab windows of the lead loco-
CABS AND CAB EQUIPMENT motive shall provide an undistorted
view of the right-of-way for the crew
§ 229.115 Slip/slide alarms. from their normal position in the cab.
(a) Except for MU locomotives, each (See also, Safety Glazing Standards, 49
locomotive used in road service shall CFR part 223, 44 FR 77348, Dec. 31, 1979.)
be equipped with a device that provides (c) Floors of cabs, passageways, and
an audible or visual alarm in the cab of compartments shall be kept free from
either slipping or sliding wheels on oil, water, waste or any obstruction
powered axles under power. When two that creates a slipping, tripping or fire
or more locomotives are coupled in hazard. Floors shall be properly treated
multiple or remote control, the wheel to provide secure footing.
474
(d) The cab shall be provided with (a)(1) of this section; and, to the extent
proper ventilation and with a heating reasonably necessary to evaluate the
arrangement that maintains a tem- effect of alterations during mainte-
perature of at least 50 degrees Fahr- nance, to determine compliance with
enheit 6 inches above the center of paragraph (a)(2) of this section.
each seat in the cab. (b) Maintenance of locomotives. (1) If a
(e) Similar locomotives with open railroad receives an excessive noise re-
end platforms coupled in multiple con- port, and if the condition giving rise to
trol and used in road service shall have the noise is not required to be imme-
a means of safe passage between them; diately corrected under part 229, the
no passageway is required through the railroad shall maintain a record of the
nose of car body locomotives. There report, and repair or replace the item
shall be a continuous barrier across the identified as substantially contributing
full width of the end of a locomotive or to the noise:
a continuous barrier between loco- (i) On or before the next periodic in-
motives. spection required by § 229.23; or
(f) Containers shall be provided for
(ii) If the railroad determines that
carrying fusees and torpedoes. A single
the repair or replacement of the item
container may be used if it has a parti-
requires significant shop or material
tion to separate fusees from torpedoes.
resources that are not readily avail-
Torpedoes shall be kept in a closed
able, at the time of the next major
metal container.
equipment repair commonly used for
§ 229.121 Locomotive cab noise. the particular type of maintenance
needed.
(a) Performance standards for loco-
(2) Conditions that may lead a loco-
motives. (1) When tested for static noise
motive cab occupant to file an exces-
in accordance with paragraph (a)(3) of
sive noise report include, but are not
this section, all locomotives of each de-
sign or model that are manufactured limited to: defective cab window seals;
after October 29, 2007, shall average less defective cab door seals; broken or in-
than or equal to 85 dB(A), with an operative windows; deteriorated insula-
upper 99% confidence limit of 87 dB(A). tion or insulation that has been re-
The railroad may rely on certification moved for other reasons; broken or in-
from the equipment manufacturer for a operative doors; and air brakes that
production run that this standard is vent inside of the cab.
met. The manufacturer may determine (3) A railroad has an obligation to re-
the average by testing a representative spond to an excessive noise report that
sample of locomotives or an initial se- a locomotive cab occupant files. The
ries of locomotives, provided that there railroad meets its obligation to re-
are suitable manufacturing quality spond to an excessive noise report, as
controls and verification procedures in set forth in paragraph (b)(1) of this sec-
place to ensure product consistency. tion, if the railroad makes a good faith
(2) In the maintenance of loco- effort to identify the cause of the re-
motives that are manufactured in ac- ported noise, and where the railroad is
cordance with paragraph (a)(1) of this successful in determining the cause, if
section, a railroad shall not make any the railroad repairs or replaces the
alterations that cause the average items cause the noise.
sound level for that locomotive design (4) Recordkeeping. (i) A railroad shall
or model to exceed: maintain a written or electronic record
(i) 82 dB(A) if the average sound level of any excessive noise report, inspec-
for a locomotive design or model is less tion, test, maintenance, replacement,
than 82 dB(A); or or repair completed pursuant to
(ii) 85 dB(A) if the average sound § 229.121(b) and the date on which that
level for a locomotive design or model inspection, test, maintenance, replace-
is 82 dB(A) to 85 dB(A), inclusive, ment, or repair occurred. If a railroad
(3) The railroad or manufacturer elects to maintain an electronic
shall follow the static test protocols record, the railroad must satisfy the
set forth in appendix H of this part to conditions listed in § 227.121(a)(2)(i)
determine compliance with paragraph through (v).
475
§ 229.123 49 CFR Ch. II (10–1–11 Edition)
(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-
(iii) The railroad shall establish an sity.
internal, auditable, monitorable sys- (b) Each locomotive or locomotive
tem that contains these records. consist used in yard service shall have
[71 FR 63136, Oct. 27, 2006] two headlights, one located on the
front of the locomotive or locomotive
§ 229.123 Pilots, snowplows, end plates. consist and one on its rear. Each head-
After January 1, 1981, each lead loco- light shall produce at least 60,000 can-
motive shall be equipped with an end dela and shall be arranged to illu-
plate that extends across both rails, a minate a person at least 300 feet ahead
pilot, or a snowplow. The minimum and in front of the headlight.
clearance above the rail of the pilot, (c) Headlights shall be provided with
snowplow or end plate shall be 3 inches, a device to dim the light.
and the maximum clearance 6 inches. (d) Effective December 31, 1997, each
lead locomotive operated at a speed
§ 229.125 Headlights and auxiliary greater than 20 miles per hour over one
lights. or more public highway-rail crossings
(a) Each lead locomotive used in road shall be equipped with operative auxil-
service shall have a headlight that pro- iary lights, in addition to the headlight
duces a peak intensity of at least required by paragraph (a) or (b) of this
200,000 candela. If a locomotive or loco- section. A locomotive equipped on
motive consist in road service is regu- March 6, 1996 with auxiliary lights in
larly required to run backward for any conformance with § 229.133 shall be
portion of its trip other than to pick up deemed to conform to this section until
a detached portion of its train or to March 6, 2000. All locomotives in com-
make terminal movements, it shall pliance with § 229.133(c) shall be deemed
also have on its rear a headlight that to conform to this section. Auxiliary
produces at least 200,000 candela. Each lights shall be composed as follows:
headlight shall be arranged to illu- (1) Two white auxiliary lights shall
minate a person at least 800 feet ahead be placed at the front of the loco-
and in front of the headlight. For pur- motive to form a triangle with the
poses of this section, a headlight shall headlight.
be comprised of either one or two (i) The auxiliary lights shall be at
lamps. least 36 inches above the top of the
(1) If a locomotive is equipped with a rail, except on MU locomotives and
single-lamp headlight, the single lamp control cab locomotives where such
shall produce a peak intensity of at placement would compromise the in-
least 200,000 candela. The following tegrity of the car body or be otherwise
lamps meet the standard set forth in impractical. Auxiliary lights on such
this paragraph (a)(1): a single operative MU locomotives and control cab loco-
PAR–56, 200-watt, 30-volt lamp; or an motives shall be at least 24 inches
operative lamp of equivalent design above the top of the rail.
and intensity. (ii) The auxiliary lights shall be
(2) If a locomotive is equipped with a spaced at least 36 inches apart if the
dual-lamp headlight, a peak intensity vertical distance from the headlight to
of at least 200,000 candela shall be pro- the horizontal axis of the auxiliary
duced by the headlight based either on lights is 60 inches or more.
a single lamp capable of individually (iii) The auxiliary lights shall be
producing the required peak intensity spaced at least 60 inches apart if the
or on the candela produced by the vertical distance from the headlight to
headlight with both lamps illuminated. the horizontal axis of the auxiliary
If both lamps are needed to produce the lights is less than 60 inches.
required peak intensity, then both (2) Each auxiliary light shall produce
lamps in the headlight shall be oper- a peak intensity of at least 200,000 can-
ational. The following lamps meet the dela or shall produce at least 3,000 can-
standard set forth in this paragraph dela at an angle of 7.5 degrees and at
476
least 400 candela at an angle of 20 de- initial terminal inspection is required

grees from the centerline of the loco- for that train.
motive when the light is aimed parallel (2) A locomotive with only one auxil-
to the tracks. Any of the following iary light that has failed after depar-
lamps meet the standard set forth in ture from an initial terminal, must be
this paragraph (d)(2): an operative repaired not later than the next cal-
PAR–56, 200-watt, 30-volt lamp; an op- endar inspection required by § 229.21.
erative PAR–56, 350-watt, 75-volt lamp; (3) A lead locomotive with two failed
or an operative lamp of equivalent de- auxiliary lights may only proceed to
sign and intensity. the next place where repairs can be
(3) The auxiliary lights shall be fo- made. This movement must be con-
cused horizontally within 15 degrees of sistent with § 229.9.
the longitudinal centerline of the loco- (h) Any locomotive subject to Part
motive. 229, that was built before December 31,
(e) Auxiliary lights required by para- 1948, and that is not used regularly in
graph (d) of this section may be ar- commuter or intercity passenger serv-
ranged ice, shall be considered historic equip-
(1) To burn steadily or ment and excepted from the require-
(2) Flash on approach to a crossing. ments of paragraphs (d) through (h) of
If the auxiliary lights are arranged to this section.
flash; [45 FR 21109, Mar. 31, 1980, as amended at 61
(i) They shall flash alternately at a FR 8887, Mar. 6, 1996; 68 FR 49717, Aug. 19,
rate of at least 40 flashes per minute 2003; 69 FR 12537, Mar. 16, 2004]
and at most 180 flashes per minute,
(ii) The railroad’s operating rules § 229.127 Cab lights.
shall set a standard procedure for use (a) Each locomotive shall have cab
of flashing lights at public highway- lights which will provide sufficient il-
rail grade crossings, and lumination for the control instru-
(iii) The flashing feature may be acti- ments, meters, and gauges to enable
vated automatically, but shall be capa- the engine crew to make accurate read-
ble of manual activation and deactiva- ings from their normal positions in the
tion by the locomotive engineer. cab. These lights shall be located, con-
(f) Auxiliary lights required by para- structed, and maintained so that light
graph (d) of this section shall be con- shines only on those parts requiring il-
tinuously illuminated immediately lumination and does not interfere with
prior to and during movement of the the crew’s vision of the track and sig-
locomotive, except as provided by rail- nals. Each controlling locomotive shall
road operating rules, timetable or spe- also have a conveniently located light
cial instructions, unless such exception that can be readily turned on and off
is disapproved by FRA. A railroad may by the persons operating the loco-
except use of auxiliary lights at a spe- motive and that provides sufficient il-
cific public highway-rail grade crossing lumination for them to read train or-
by designating that exception in the ders and timetables.
railroad’s operating rules, timetable, (b) Cab passageways and compart-
or a special order. Any exception from ments shall have adequate illumina-
use of auxiliary lights at a specific pub- tion.
lic grade crossing can be disapproved
for a stated cause by FRA’s Associate § 229.129 Locomotive horn.
Administrator for Safety or any one of (a) Each lead locomotive shall be
FRA’s Regional Administrators, after equipped with a locomotive horn that
investigation by FRA and opportunity produces a minimum sound level of 96
for response from the railroad. dB(A) and a maximum sound level of
(g) Movement of locomotives with de- 110 dB(A) at 100 feet forward of the lo-
fective auxiliary lights. comotive in its direction of travel. The
(1) A lead locomotive with only one locomotive horn shall be arranged so
failed auxiliary light must be repaired that it can be conveniently operated
or switched to a trailing position be- from the engineer’s usual position dur-
fore departure from the place where an ing operation of the locomotive.
477
§ 229.129 49 CFR Ch. II (10–1–11 Edition)
(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
or less of rejecting a lot with a propor- interference with the sound being
tion of defectives equal to an AQL of measured.
1% or less, as set forth in 7 CFR part (5) The test site shall be free of large
43. reflective structures, such as barriers,
(2) Each locomotive built before Sep- hills, billboards, tractor trailers or
tember 18, 2006 shall be tested in ac- other large vehicles, locomotives or
cordance with this section before June rail cars on adjacent tracks, bridges or
24, 2010 to ensure that the horn in- buildings, within 200 feet to the front
stalled on such locomotive is in com- and sides of the locomotive. The loco-
pliance with paragraph (a) of this sec- motive shall be positioned on straight,
tion. level track.
(3) Each remanufactured locomotive, (6) Measurements shall be taken only
as determined pursuant to § 229.5 of this when ambient air temperature is be-
part, shall be tested in accordance with tween 32 degrees and 104 degrees Fahr-
this section to ensure that the horn in- enheit inclusively; relative humidity is
stalled on such locomotive is in com- between 20 percent and 95 percent in-
pliance with paragraph (a). clusively; wind velocity is not more
than 12 miles per hour and there is no
(4)(i) Except as provided in paragraph
precipitation.
(b)(4)(ii) of this section, each loco-
(7) With the exception of cab-mount-
motive equipped with a replacement lo-
ed or low-mounted horns, the micro-
comotive horn shall be tested, in ac- phone shall be located 100 feet forward
cordance with paragraph (c) of this sec- of the front knuckle of the locomotive,
tion, before the next two annual tests 15 feet above the top of the rail, at an
required by § 229.27 of this part are angle no greater than 20 degrees from
completed. the center line of the track, and ori-
(ii) Locomotives that have already ented with respect to the sound source
been tested individually or through ac- according to the manufacturer’s rec-
ceptance sampling, in accordance with ommendations. For cab-mounted and
paragraphs (b)(1), (b)(2), or (b)(3) of this low-mounted horns, the microphone
section, shall not be required to under- shall be located 100 feet forward of the
go sound level testing when equipped front knuckle of the locomotive, four
with a replacement locomotive horn, feet above the top of the rail, at an
provided the replacement locomotive angle no greater than 20 degrees from
horn is of the same model as the loco- the center line of the track, and ori-
motive horn that was replaced and the ented with respect to the sound source
mounting location and type of mount- according to the manufacturer’s rec-
ing are the same. ommendations. The observer shall not
(c) Testing of the locomotive horn stand between the microphone and the
sound level shall be in accordance with horn.
the following requirements: (8) Background noise shall be mini-
(1) A properly calibrated sound level mal: the sound level at the test site im-
meter shall be used that, at a min- mediately before and after each horn
imum, complies with the requirements sounding event shall be at least 10
of International Electrotechnical Com- dB(A) below the level measured during
mission (IEC) Standard 61672–1 (2002–05) the horn sounding.
for a Class 2 instrument. (9) Measurement procedures. The sound
(2) An acoustic calibrator shall be level meter shall be set for A-weighting
used that, at a minimum, complies with slow exponential response and
478
shall be calibrated with the acoustic (ii) Arrival at a location where it is

calibrator immediately before and placed in a facility with a sand delivery
after compliance tests. Any change in system;
the before and after calibration levels (iii) The next periodic inspection
shall be less than 0.5 dB. After the out- under § 229.23; or
put from the locomotive horn system (iv) Fourteen calendar days from the
has reached a stable level, the A- date the sanders are first discovered to
weighted equivalent sound level (slow be inoperative; and
response) for a 10-second duration (2) A trailing locomotive being used
(LAeq, 10s) shall be obtained either di- in road service that experiences inoper-
rectly using an integrating-averaging ative sanders after departure from an
sound level meter, or recorded once per initial terminal may continue in serv-
second and calculated indirectly. The ice until the earliest of the following
arithmetic-average of a series of at occurrence:
least six such 10-second duration read- (i) Arrival at the next initial ter-
ings shall be used to determine compli- minal;
ance. The standard deviation of the
(ii) Arrival at a location where it is
readings shall be less than 1.5 dB.
placed in a facility with a sand delivery
(10) Written reports of locomotive
system; or
horn testing required by this part shall
be made and shall reflect horn type; (iii) The next periodic inspection
the date, place, and manner of testing; under § 229.23.
and sound level measurements. These (c) A locomotive being used in
reports, which shall be signed by the switching service shall be equipped
person who performs the test, shall be with operative sanders that deposit
retained by the railroad, at a location sand on each rail in front of the first
of its choice, until a subsequent loco- power operated wheel set in the direc-
motive horn test is completed and shall tion of movement. If the sanders be-
be made available, upon request, to come inoperative, the locomotive shall
FRA as provided by 49 U.S.C. 20107. be handled in accordance with the fol-
(d) This section does not apply to lo- lowing:
comotives of rapid transit operations (1) A locomotive being used in
which are otherwise subject to this switching service at a location not
part. equipped with a sand delivery system
may continue in service for seven cal-
[71 FR 47666, Aug. 17, 2006]
endar days from the date the sanders
§ 229.131 Sanders. are first discovered inoperative or until
its next periodic inspection under
(a) Prior to departure from an initial § 229.23, which ever occurs first; and
terminal, each locomotive, except for (2) A locomotive being used in
MU locomotives, shall be equipped switching service at locations equipped
with operative sanders that deposit with a sand delivery system shall be
sand on each rail in front of the first handled in accordance with the re-
power operated wheel set in the direc- quirements contained in § 229.9.
tion of movement or shall be handled
(d) A locomotive being handled under
in accordance with the requirements
the provisions contained in paragraph
contained in § 229.9.
(b) and (c)(1) of this section shall be
(b) A locomotive being used in road
tagged in accordance with § 229.9(a).
service with sanders that become inop-
erative after departure from an initial [72 FR 59223, Oct. 19, 2007]
terminal shall be handled in accord-
ance with the following: § 229.133 Interim locomotive con-
(1) A lead locomotive being used in spicuity measures—auxiliary exter-
road service that experiences inoper- nal lights.
ative sanders after departure from an (a) A locomotive at the head of a
initial terminal may continue in serv- train or other movement is authorized
ice until the earliest of the following to be equipped with auxiliary external
occurrences: lights, additional to the headlight re-
(i) Arrival at the next initial ter- quired by § 229.125, for the purpose of
minal; improved conspicuity. A locomotive
479
§ 229.133 49 CFR Ch. II (10–1–11 Edition)
that is equipped with auxiliary exter- zontal axis of the ditch lights is 60
nal lights in conformance with the inches or more.
specifications or performance stand- (iii) Crossing lights shall be spaced at
ards set forth in paragraph (b) of this least 60 inches apart if the vertical dis-
section on the date of issuance of a tance from the headlight to the hori-
final rule that requires additional or zontal axis of the ditch lights is less
other external lights on locomotives than 60 inches.
for improved conspicuity, as required (iv) Each crossing light shall produce
by section 202(u) of the Federal Rail- at least 200,000 candela, either steadily
road Safety Act of 1970, shall be burning or alternately flashing.
deemed to conform to the requirements (v) The flash rate of crossing lights
of the final rule for four years fol- shall be at least 40 flashes per minute
lowing the date of issuance of that and at most 180 flashes per minute.
final rule. (vi) Crossing lights shall be focused
(b) Each qualifying arrangement of horizontally within 15 degrees of the
auxiliary external lights shall conform longitudinal centerline of the loco-
to one of the following descriptions: motive.
(1) Ditch lights. (i) Ditch lights shall (4) Oscillating light. (i) An oscillating
consist of two white lights, each pro- light shall consist of:
ducing a steady beam of at least 200,000 (A) One steadily burning white light
candela, placed at the front of the loco- producing at least 200,000 candela in a
motive, at least 36 inches above the top moving beam that depicts a circle or a
of the rail. horizontal figure ‘‘8’’ to the front,
(ii) Ditch lights shall be spaced at about the longitudinal centerline of
least 36 inches apart if the vertical dis- the locomotive; or
tance from the headlight to the hori- (B) Two or more white lights pro-
zontal axis of the ditch lights is 60 ducing at least 200,000 candela each, at
inches or more. one location on the front of the loco-
(iii) Ditch lights shall be spaced at motive, that flash alternately with
least 60 inches apart if the vertical dis- beams within five degrees horizontally
tance from the headlight to the hori- to either side of the longitudinal cen-
zontal axis of the ditch lights is less terline of the locomotive.
than 60 inches. (ii) An oscillating light may incor-
(iv) Ditch lights shall be focused porate a device that automatically ex-
horizontally within 45 degrees of the tinguishes the white light if display of
longitudinal centerline of the loco- a light of another color is required to
motive. protect the safety of railroad oper-
(2) Strobe lights. (i) Strobe lights shall ations.
consist of two white stroboscopic (c)(1) Any lead locomotive equipped
lights, each with ‘‘effective intensity,’’ with oscillating lights as described in
as defined by the Illuminating Engi- paragraph (b)(4) that were ordered for
neering Society’s Guide for Calculating installation on that locomotive prior
the Effective Intensity of Flashing Sig- to January 1, 1996, is considered in
nal Lights (November 1964), of at least compliance with § 229.125(d) (1) through
500 candela. (3).
(ii) The flash rate of strobe lights (2) Any lead locomotive equipped
shall be at least 40 flashes per minute with strobe lights as described in para-
and at most 180 flashes per minute. graph (b)(2) and operated at speeds no
(iii) Strobe lights shall be placed at greater than 40 miles per hour, is con-
the front of the locomotive, at least 48 sidered in compliance with § 229.125(d)
inches apart, and at least 36 inches (1) through (3) until the locomotive is
above the top of the rail. retired or rebuilt, whichever comes
(3) Crossing lights. (i) Crossing lights first.
shall consist of two white lights, placed (3) Any lead locomotive equipped
at the front of the locomotive, at least with two white auxiliary lights spaced
36 inches above the top of the rail. at least 44 inches apart on at least one
(ii) Crossing lights shall be spaced at axis which was equipped with these
least 36 inches apart if the vertical dis- auxiliary lights before May 30, 1994,
tance from the headlight to the hori- will be considered in compliance with
480
§ 229.125(d) (1) through (3) until the lo- (iv) Distance;

comotive is retired or rebuilt, which- (v) Throttle position;
ever comes first. (vi) Applications and operations of
[58 FR 6902, Feb. 3, 1993, as amended at 59 FR the train automatic air brake;
24963, May 13, 1994; 59 FR 39705, Aug. 4, 1994; (vii) Applications and operations of
61 FR 8887, Mar. 6, 1996] the independent brake;
(viii) Applications and operations of
§ 229.135 Event recorders. the dynamic brake, if so equipped; and
(a) Duty to equip and record. Except as (ix) Cab signal aspect(s), if so
provided in paragraphs (c) and (d) of equipped and in use.
this section, a train operated faster (2) A locomotive originally manufac-
than 30 miles per hour shall have an in- tured before October 1, 2006, and
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
481
§ 229.135 49 CFR Ch. II (10–1–11 Edition)
of brake controls at the position nor- graph. If it can be calibrated against

mally occupied by the locomotive engi- other data required by this part, such
neer. In the case of a brake application train control data may, at the election
or release that is responsive to a com- of the railroad, be retained in a sepa-
mand originating from or executed by rate certified crashworthy memory
an on-board computer (e.g., electronic module.
braking system controller, locomotive (4) A DMU locomotive and an MU lo-
electronic control system, or train con- comotive originally ordered on or after
trol computer), the system shall October 1, 2006 or placed in service on
record, or provide a means of deter- or after October 1, 2009, shall be
mining, the involvement of any such equipped with an event recorder with a
computer; certified crashworthy event recorder
(vii) Applications and operations of memory module that meets the re-
the independent brake; quirements of Appendix D of this part.
(viii) Applications and operations of The certified event recorder memory
the dynamic brake, if so equipped; module shall be mounted for its max-
(ix) Cab signal aspect(s), if so imum protection. (Although other
equipped and in use;
mounting standards may meet this
(x) End-of-train (EOT) device loss of
standard, an event recorder memory
communication front to rear and rear
module mounted behind the collision
to front;
posts and above the platform level is
(xi) Electronic controlled pneumatic
deemed to be mounted ‘‘for its max-
braking (ECP) message (and loss of
such message), if so equipped; imum protection.’’) The event recorder
(xii) EOT armed, emergency brake shall record, and the certified crash-
command, emergency brake applica- worthy event recorder memory module
tion; shall retain, the following data ele-
(xiii) Indication of EOT valve failure; ments:
(xiv) EOT brake pipe pressure (EOT (i) Train speed;
and ECP devices); (ii) Selected direction of motion;
(xv) EOT marker light on/off; (iii) Time;
(xvi) EOT ‘‘low battery’’ status; (iv) Distance;
(xvii) Position of on/off switch for (v) Throttle position;
headlights on lead locomotive; (vi) Applications and operations of
(xviii) Position of on/off switch for the train automatic air brake, includ-
auxiliary lights on lead locomotive; ing emergency applications. The sys-
(xix) Horn control handle activation; tem shall record, or provide a means of
(xx) Locomotive number; determining, that a brake application
(xxi) Locomotive automatic brake or release resulted from manipulation
valve cut in; of brake controls at the position nor-
(xxii) Locomotive position in consist mally occupied by the locomotive engi-
(lead or trail); neer. In the case of a brake application
(xxiii) Tractive effort; or release that is responsive to a com-
(xxiv) Cruise control on/off, if so mand originating from or executed by
equipped and in use; and an on-board computer (e.g., electronic
(xxv) Safety-critical train control
braking system controller, locomotive
data routed to the locomotive engi-
electronic control system, or train con-
neer’s display with which the engineer
trol computer), the system shall
is required to comply, specifically in-
record, or provide a means of deter-
cluding text messages conveying man-
mining, the involvement of any such
datory directives and maximum au-
thorized speed. The format, content, computer;
and proposed duration for retention of (vii) Applications and operations of
such data shall be specified in the the independent brake, if so equipped;
Product Safety Plan or PTC Safety (viii) Applications and operations of
Plan submitted for the train control the dynamic brake, if so equipped;
system under subparts H or I, respec- (ix) Cab signal aspect(s), if so
tively, of part 236 of this chapter, sub- equipped and in use;
ject to FRA approval under this para- (x) Emergency brake application(s);
482
(xi) Wheel slip/slide alarm activation same data as the event recorder that
(with a property-specific minimum du- was previously on the locomotive.
ration); (c) Removal from service. Notwith-
(xii) Lead locomotive headlight acti- standing the duty established in para-
vation switch on/off; graph (a) of this section to equip cer-
(xiii) Lead locomotive auxiliary tain locomotives with an in-service
lights activation switch on/off; event recorder, a railroad may remove
(xiv) Horn control handle activation; an event recorder from service and, if a
(xv) Locomotive number; railroad knows that an event recorder
is not monitoring or recording required
(xvi) Locomotive position in consist
data, shall remove the event recorder
(lead or trail);
from service. When a railroad removes
(xvii) Tractive effort;
an event recorder from service, a quali-
(xviii) Brakes apply summary train fied person shall record the date that
line; the device was removed from service on
(xix) Brakes released summary train Form FRA F6180–49A, under the RE-
line; MARKS section, unless the event re-
(xx) Cruise control on/off, if so corder is designed to allow the loco-
equipped and used; and motive to assume the lead position
(xxi) Safety-critical train control only if the recorder is properly func-
data routed to the locomotive engi- tioning.
neer’s display with which the engineer (d) Response to defective equipment.
is required to comply, specifically in- Notwithstanding the duty established
cluding text messages conveying man- in paragraph (a) of this section to equip
datory directives and maximum au- certain locomotives with an in-service
thorized speed. The format, content, event recorder, a locomotive on which
and proposed duration for retention of the event recorder has been taken out
such data shall be specified in the of service as provided in paragraph (c)
Product Safety Plan or PTC Safety of this section may remain as the lead
Plan submitted for the train control locomotive only until the next cal-
system under subparts H or I, respec- endar-day inspection. A locomotive
tively, of part 236 of this chapter, sub- with an inoperative event recorder is
ject to FRA approval under this para- not deemed to be in improper condi-
graph. If it can be calibrated against tion, unsafe to operate, or a non-com-
other data required by this part, such plying locomotive under §§ 229.7 and
train control data may, at the election 229.9, and, other than the requirements
of the railroad, be retained in a sepa- of Appendix D of this part, the inspec-
rate certified crashworthy memory tion, maintenance, and testing of event
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 mounted recording device or devices
that meets the requirements of appen- designed to record information con-
dix D to this part and is capable of re- cerning the functioning of a loco-
cording, at a minimum, the same data motive or train, is involved in an acci-
as the recorder that was on the loco- dent/incident that is required to be re-
motive before it was remanufactured. ported to FRA under part 225 of this
(6) An event recorder originally man- chapter, the railroad that was using
ufactured after January 1, 2010, that is the locomotive at the time of the acci-
installed on any locomotive identified dent shall, to the extent possible, and
in paragraph (b)(1) of this section shall to the extent consistent with the safe-
be an event recorder with a certified ty of life and property, preserve the
crashworthy event recorder memory data recorded by each such device for
module that meets the requirements of analysis by FRA. This preservation re-
appendix D to this part and that is ca- quirement permits the railroad to ex-
pable of recording, at a minimum, the tract and analyze such data, provided
483
§ 229.137 49 CFR Ch. II (10–1–11 Edition)
the original downloaded data file, or an (ii) Possesses a modesty lock by [18
unanalyzed exact copy of it, shall be months after publication of the final
retained in secure custody and shall rule];
not be utilized for analysis or any (3) Equipped with a toilet facility, as
other purpose except by direction of defined in this part;
FRA or the National Transportation (4) Equipped with a washing system,
Safety Board. This preservation re- as defined in this part, unless the rail-
quirement shall expire one (1) year road otherwise provides the washing
after the date of the accident unless system to employees upon reporting
FRA or the Board notifies the railroad for duty or occupying the cab for duty,
in writing that the data are desired for or where the locomotive is equipped
analysis. with a stationary sink that is located
(f) Relationship to other laws. Nothing outside of the sanitation compartment;
in this section is intended to alter the (5) Equipped with toilet paper in suf-
legal authority of law enforcement of- ficient quantity to meet employee
ficials investigating potential viola- needs, unless the railroad otherwise
tion(s) of State criminal law(s), and provides toilet paper to employees
nothing in this chapter is intended to upon reporting for duty or occupying
alter in any way the priority of Na- the cab for duty; and
tional Transportation Safety Board in- (6) Equipped with a trash receptacle,
vestigations under 49 U.S.C. 1131 and unless the railroad otherwise provides
1134, nor the authority of the Secretary portable trash receptacles to employ-
of Transportation to investigate rail- ees upon reporting for duty or occu-
road accidents under 49 U.S.C. 5121, pying the cab for duty.
5122, 20107, 20111, 20112, 20505, 20702, (b) Exceptions. (1) Paragraph (a) of
20703, and 20902. this section shall not apply to:
(g) Disabling event recorders. Except as (i) Locomotives engaged in com-
provided in paragraph (c) of this sec- muter service or other short-haul pas-
tion, any individual who willfully dis- senger service and commuter work
ables an event recorder is subject to trains on which employees have ready
civil penalty and to disqualification access to railroad-provided sanitation
from performing safety-sensitive func- facilities outside of the locomotive or
tions on a railroad as provided in elsewhere on the train, that meet oth-
§ 218.55 of this chapter, and any indi- erwise applicable sanitation standards,
vidual who tampers with or alters the at frequent intervals during the course
data recorded by such a device is sub- of their work shift;
ject to a civil penalty as provided in (ii) Locomotives engaged in switch-
appendix B of part 218 of this chapter ing service on which employees have
and to disqualification from per- ready access to railroad-provided sani-
forming safety-sensitive functions on a tation facilities outside of the loco-
railroad if found unfit for such duties motive, that meet otherwise applicable
under the procedures in part 209 of this sanitation standards, at frequent inter-
chapter. vals during the course of their work
shift;
[45 FR 21109, Mar. 31, 1980, as amended at 75 (iii) Locomotives engaged in transfer
FR 2697, Jan. 15, 2010]
service on which employees have ready
§ 229.137 Sanitation, general require- access to railroad-provided sanitation
ments. facilities outside of the locomotive,
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
484
than switching or transfer service, em- let facility as set forth in this section,
ployees shall have ready access to rail- the requirements of this section per-
road-provided sanitation facilities out- taining to the type of toilet facilities
side of the locomotive that meet other- shall apply on locomotives in use on
wise applicable sanitation standards, July 1, 2003. However, the Class I rail-
at frequent intervals during the course road subject to this exception shall not
of their work shift, or the railroad deliver locomotives with such sanita-
shall arrange for enroute access to tion systems to other railroads for use,
such facilities; in the lead position, during the time
(v) Locomotives of tourist, scenic, between June 3, 2002, and July 1, 2003.
historic, or excursion railroad oper- All other requirements set forth in this
ations, which are otherwise covered by section shall apply to the locomotives
this part because they are not proof this Class I railroad as of June 3,
pelled by steam power and operate on 2002.
the general railroad system of trans- (c) Defective, unsanitary toilet facility;
portation, but on which employees prohibition in lead position. Except as
have ready access to railroad-provided provided in paragraphs (c)(1) through
sanitation facilities outside of the lo- (5) of this section, if the railroad deter-
comotive, that meet otherwise applica- mines during the daily inspection re-
ble sanitation standards, at frequent quired by § 229.21 that a locomotive toi-
intervals during the course of their let facility is defective or is unsani-
work shift; and tary, or both, the railroad shall not use
(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
via gravity to a holding tank where it (2) The locomotive, while noncompli-
is stored and periodically emptied, ant, did not pass through a location
which does not conform to the defini- where it could have been cleaned if un-
tion of toilet facility set forth in this sanitary, repaired if defective, or
section. For these locomotives, the re- switched with another compliant loco-
quirements of this section pertaining motive, since its last daily inspection
to the type of toilet facilities required required by this part;
shall be effective as these toilets be- (3) Upon reasonable request of a loco-
come defective or are replaced with motive crewmember operating a loco-
conforming units, whichever occurs motive with a defective or unsanitary
first. All other requirements set forth toilet facility, the railroad arranges for
in this section shall apply to these lo- access to a toilet facility outside the
comotives as of June 3, 2002; and locomotive that meets otherwise appli-
(ii) With respect to the locomotives cable sanitation standards;
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
485
§ 229.137 49 CFR Ch. II (10–1–11 Edition)
location where the defective or unsani- place the locomotive in trailing posi-
tary condition can be corrected or re- tion, in switching service as set forth
placed with another compliant loco- in paragraph (b)(1)(ii) of this section,
motive, or the next daily inspection re- or in transfer service as set forth in
quired by this part, whichever occurs paragraph (b)(1)(iii) of this section.
first. (h) Door closure and modesty lock. If
(d) Defective, unsanitary toilet facility; the railroad determines during the
use in trailing position. If the railroad daily inspection required by § 229.21
determines during the daily inspection that the sanitation compartment on
required by § 229.21 that a locomotive the lead locomotive is not equipped
toilet facility is defective or is unsani-
with a door that closes, as required by
tary, or both, the railroad may use the
paragraph (a)(2)(i) of this section, the
locomotive in trailing position. If the
railroad places the locomotive in trail- railroad shall repair the door prior to
ing position, they shall not haul em- departure, or place the locomotive in
ployees in the unit unless the sanita- trailing position, in switching service
tion compartment is made sanitary as set forth in paragraph (b)(1)(ii) of
prior to occupancy. If the toilet facil- this section, or in transfer service as
ity is defective and the unit becomes set forth in paragraph (b)(1)(iii) of this
occupied, the railroad shall clearly section. If the railroad determines dur-
mark the defective toilet facility as ing the daily inspection required by
unavailable for use. § 229.21 that the modesty lock required
(e) Defective, sanitary toilet facility; use by paragraph (a)(2)(ii) of this section is
in switching, transfer service. If the rail- defective, the modesty lock shall be re-
road determines during the daily in- paired pursuant to the requirements of
spection required by § 229.21 that a lo- § 229.139(e).
comotive toilet facility is defective, (i) Equipped units; retention and main-
but sanitary, the railroad may use the tenance. Except where a railroad down-
locomotive in switching service, as set grades a locomotive to service in which
forth in paragraph (b)(1)(ii) of this sec- it will never be occupied, where a loco-
tion, or in transfer service, as set forth motive is equipped with a toilet facil-
in paragraph (b)(1)(iii) of this section ity as of [the effective date of the final
for a period not to exceed 10 days. In
rule], the railroad shall retain and
this instance, the railroad shall clearly
maintain the toilet facility in the loco-
mark the defective toilet facility as
motive consistent with the require-
unavailable for use. After expiration of
the 10-day period, the locomotive shall ments of this part, including loco-
be repaired or used in the trailing posi- motives used in switching service pur-
tion. suant to paragraph (b)(1)(ii) of this sec-
(f) Lack of toilet paper, washing system, tion, and in transfer service pursuant
trash receptacle. If the railroad deter- to paragraph (b)(1)(iii) of this section.
mines during the daily inspection re- (j) Newly manufactured units; in-cab
quired by § 229.21 that the lead loco- facilities. All locomotives manufactured
motive is not equipped with toilet after June 3, 2002, except switching
paper in sufficient quantity to meet units built exclusively for switching
employee needs, or a washing system service and locomotives built exclu-
as required by paragraph (a)(4) of this sively for commuter service, shall be
section, or a trash receptacle as re- equipped with a sanitation compart-
quired by paragraph (a)(6) of this sec- ment accessible to cab employees with-
tion, the locomotive shall be equipped out exiting to the out-of-doors for use.
with these items prior to departure. No railroad may use a locomotive built
(g) Inadequate ventilation. If the rail- after June 3, 2002, that does not comply
road determines during the daily in- with this subsection.
spection required by § 229.21 that the (k) Potable water. The railroad shall
sanitation compartment of the lead lo-
utilize potable water where the wash-
comotive in use is not adequately ven-
ing system includes the use of water.
tilated as required by paragraph (a)(1)
of this section, the railroad shall repair [67 16050, Apr. 4, 2002, as amended at 71 FR
the ventilation prior to departure, or 61857, Oct. 19, 2006]
486
§ 229.139 Sanitation, servicing require- (1) The body structure shall resist a
ments. minimum static end load of 800,000
(a) The sanitation compartment of pounds at the rear draft stops ahead of
each lead locomotive in use shall be the bolster on the center line of draft,
sanitary. without developing any permanent de-
formation in any member of the body
(b) All components required by
structure.
§ 229.137(a) for the lead locomotive in
(2) An anti-climbing arrangement
use shall be present consistent with the
shall be applied at each end that is de-
requirements of this part, and shall op-
signed so that coupled MU locomotives
erate as intended such that:
under full compression shall mate in a
(1) All mechanical systems shall
manner that will resist one locomotive
function;
from climbing the other. This arrange-
(2) Water shall be present in suffi- ment shall resist a vertical load of
cient quantity to permit flushing; 100,000 pounds without exceeding the
(3) For those systems that utilize yield point of its various parts or its
chemicals for treatment, the chemical attachments to the body structure.
(chlorine or other comparable oxidizing (3) The coupler carrier and its con-
agent) used to treat waste must be nections to the body structure shall be
present; and designed to resist a vertical downward
(4) No blockage is present that pre- thrust from the coupler shank of 100,000
vents waste from evacuating the bowl. pounds for any horizontal position of
(c) The sanitation compartment of the coupler, without exceeding the
each occupied locomotive used in yield points of the materials used.
switching service pursuant to When yielding type of coupler carrier
§ 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
[67 16050, Apr. 4, 2002] inches above the underframe connec-
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
487
§ 229.201 49 CFR Ch. II (10–1–11 Edition)
this section do not apply to ‘‘passenger (5) The strength of the means of lock-
equipment’’ as defined in § 238.5 of this ing the truck to the body shall be at
chapter that is placed in service for the least the equivalent of an ultimate
first time on or after September 8, 2000, shear value of 250,000 pounds.
unless such equipment is excluded from (6) On or after November 8, 1999, para-
the requirements of §§ 238.203 through graph (a)(1) of this section does not
238.219, and § 238.223 of this chapter by apply to ‘‘passenger equipment’’ as de-
operation of § 238.201(a)(2) of this chap- fined in § 238.5 of this chapter, unless
ter. such equipment is excluded from the
(b) MU locomotives built new after requirements of §§ 238.203 through
April 1, 1956 that are operated in trains 238.219, and § 238.223 of this chapter by
having a total empty weight of less operation of § 238.201(a)(2) of this chap-
than 600,000 pounds shall have a body ter. Paragraphs (a)(2) through (a)(4) of
structure designed to meet or exceed this section do not apply to ‘‘passenger
the following minimum specifications: equipment’’ as defined in § 238.5 of this
(1) The body structure shall resist a chapter that is placed in service for the
minimum static end load of 400,000 first time on or after September 8, 2000,
pounds at the rear draft stops ahead of unless such equipment is excluded from
the bolster on the center line of draft, the requirements of §§ 238.203 through
without developing any permanent de- 238.219, and § 238.223 of this chapter by
formation in any member of the body operation of § 238.201(a)(2) of this chap-
structure. ter.
(2) An anti-climbing arrangement
shall be applied at each end that is de- [45 FR 21109, Mar. 31, 1980, as amended at 71
signed so that coupled locomotives FR 36912, June 28, 2006]
under full compression shall mate in a
manner that will resist one locomotive § 229.201 Purpose and scope.
from climbing the other. This arrange- (a) Purpose. The purpose of this sub-
ment shall resist a vertical load of part is to help protect locomotive cab
75,000 pounds without exceeding the occupants in the event that a loco-
yield point of its various parts or its motive collides with another loco-
attachments to the body structure. motive or piece of on-track equipment,
(3) The coupler carrier and its con- a shifted load on a freight car on an ad-
nections to the body structure shall be jacent parallel track, or a highway ve-
designed to resist a vertical downward hicle at a highway-rail grade crossing.
thrust from the coupled shank of 75,000 (b) This subpart prescribes minimum
pounds for any horizontal position of crashworthiness standards for loco-
the coupler, without exceeding the motives. It also establishes the require-
yield points of the materials used. ments for obtaining FRA approval of:
When a yielding type of coupler carrier new locomotive crashworthiness design
is used, an auxiliary arrangement shall standards; changes to FRA-approved
be provided that complies with these locomotive crashworthiness design
requirements. standards; and alternative locomotive
(4) The outside end of each MU loco- crashworthiness designs.
motive shall be provided with two main
vertical members, one at each side of [71 FR 36912, June 28, 2006]
the diaphragm opening; each main
§ 229.203 Applicability.
member shall have an ultimate shear
value of not less than 200,000 pounds at (a) Except as provided in paragraphs
a point even with the top of the (b) and (c) of this section, this subpart
underframe member to which it is at- applies to all locomotives manufac-
tached. The attachment of these mem- tured or remanufactured on or after
bers at bottom shall be sufficient to de- January 1, 2009.
velop their full shear value, the rein- (b) Cab cars and power cars. The re-
forcement shall have full value for a quirements of this subpart do not apply
distance of 18 inches up from the to cab control cars, MU locomotives,
underframe connection and then taper DMU locomotives, and semi-perma-
to a point approximately 30 inches nently coupled power cars that are sub-
above the underframe connection. ject to the design requirements for
488
such locomotives set forth in part 238 ard or design approved by FRA as pro-
of this chapter. viding at least equivalent safety.
(c) Locomotives used in designated serv- (c) A narrow-nose locomotive must
ice. Locomotives used in designated be designed in accordance with the pro-
service are exempt from the require- visions of AAR S–580, applicable to
ments of this subpart, with the excep- that type of locomotive (notwith-
tion of § 229.233 (minimum require- standing any limitation of scope con-
ments for fuel tank design), which retained in that standard) or in accord-
mains applicable to such locomotives. ance with a standard or design ap-
proved by FRA as providing at least
[71 FR 36912, June 28, 2006]
equivalent safety.
§ 229.205 General requirements. [71 FR 36912, June 28, 2006, as amended at 74
(a) Each wide-nose locomotive used FR 25173, May 27, 2009]
in occupied service must meet the min-
§ 229.206 Design requirements.
imum crashworthiness performance re-
quirements set forth in Appendix E of Each locomotive used in occupied
this part. Compliance with those per- service must meet the minimum anti-
formance criteria must be established climber, emergency egress, emergency
by: interior lighting, and interior configu-
(1) Meeting an FRA-approved crash- ration design requirements set forth in
worthiness design standard (including AAR S–580 (incorporated by reference,
AAR S–580, Locomotive Crash- see § 229.205).
worthiness Requirements). The Direc- [71 FR 36912, June 28, 2006]
tor of the Federal Register approves in-
corporation by reference of the AAR S– § 229.207 New locomotive crash-
580 (revised July 2005), ‘‘Locomotive worthiness design standards and
Crashworthiness Requirements,’’ in changes to existing FRA-approved
this section in accordance with 5 U.S.C. locomotive crashworthiness design
552(a) and 1 CFR part 51. You may ob- standards.
tain a copy of the incorporated stand- (a) General. The following procedures
ard from the Association of American govern consideration and action upon
Railroads, 50 F Street NW, Washington, requests for FRA approval of new loco-
DC 20001. You may inspect a copy of motive crashworthiness design stand-
the incorporated standard at the Fed- ards and changes to existing FRA-ap-
eral Railroad Administration, Docket proved locomotive crashworthiness de-
Clerk, 1200 New Jersey Avenue, SE., sign standards, including AAR S–580
Washington, DC 20590 or at the Na- (incorporated by reference, see
tional Archives and Records Adminis- § 229.205). Only a standards body which
tration (NARA). For information on has adopted an FRA-approved loco-
the availability of this material at motive crashworthiness design stand-
NARA, call 202–741–6030, or go to http:// ard may initiate these procedures for
www.archives.gov/federallregister/ FRA approval of changes to the stand-
codeloflfederallregulations/ ard.
ibrllocations.html; (b) Petitions for FRA approval of new
(2) Meeting new design standards and locomotive crashworthiness design stand-
changes to existing design standards ards. Each petition for FRA approval of
approved by FRA pursuant to § 229.207; a locomotive crashworthiness design
or standard must be titled ‘‘Petition for
(3) Meeting an alternative crash- FRA Approval of a New Locomotive
worthiness design approved by FRA Crashworthiness Design Standard,’’
pursuant to § 229.209. must be submitted to the Associate Ad-
(b) A monocoque or semi-monocoque ministrator for Safety, Federal Rail-
design locomotive must be designed in road Administration, 1200 New Jersey
accordance with the provisions of AAR Avenue, SE., Mail Stop 25, Washington,
S–580, applicable to those types of loco- DC 20590, and must contain the fol-
motives, in accordance with 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
489
§ 229.209 49 CFR Ch. II (10–1–11 Edition)
the primary person to be contacted SE., Mail Stop 25, Washington, DC

with regard to review of the petition; 20590, and must contain the following:
(2) The proposed locomotive design (i) The name, title, address, tele-
standard, in detail; phone number and e-mail address of
(3) The intended type of service for the primary person to be contacted
locomotives designed under the pro- with regard to review of the petition;
posed standard; and (ii) The proposed change, in detail;
(4) Appropriate data and analysis and
showing how the proposed design
(iii) Detailed explanation of how the
standard either satisfies the require-
proposed change results in a non-sub-
ments of § 229.205 for the type of loco-
motive design or provides at least an stantive change to the existing FRA-
equivalent level of safety. Types of approved crashworthiness design stand-
data and analysis to be considered are ard.
described in § 229.211(c)(1). (2) If FRA determines that the pro-
(c) Petitions for FRA approval of sub- posed change is substantive, FRA will
stantive changes to an FRA-approved lo- process the petition in accordance with
comotive crashworthiness design stand- paragraph (c) of this section.
ard. Each petition for approval of a [71 FR 36912, June 28, 2006, as amended at 74
substantive change to an FRA-ap- FR 25173, May 27, 2009]
proved locomotive crashworthiness de-
sign standard must be titled ‘‘Petition § 229.209 Alternative locomotive crash-
for FRA Approval of Changes to a Lo- worthiness designs.
comotive Crashworthiness Design
Standard,’’ must be submitted to the (a) General. The following procedures
Associate Administrator for Safety, govern consideration and action upon
Federal Railroad Administration, 1200 requests for FRA approval of loco-
New Jersey Avenue, SE., Mail Stop 25, motive crashworthiness designs which
Washington, DC 20590, and must con- are not consistent with any FRA-ap-
tain the following: proved locomotive crashworthiness de-
(1) The name, title, address, tele- sign standard.
phone number and e-mail address of (b) Petitions for FRA approval of alter-
the primary person to be contacted native locomotive crashworthiness de-
with regard to review of the petition; signs. Each petition for FRA approval
(2) The proposed change, in detail; of an alternative locomotive crash-
(3) The intended type of service for worthiness design must be titled ‘‘Pe-
locomotives built with the proposed tition for FRA Approval of Alternative
change; and Locomotive Crashworthiness Design,’’
(4) Appropriate data and analysis must be submitted to the Associate Ad-
showing how the resulting standard ei- ministrator for Safety, Federal Rail-
ther satisfies the requirements for the road Administration, 1200 New Jersey
type of locomotive set forth in § 229.205 Avenue, SE., Mail Stop 25, Washington,
or provides at least an equivalent level DC 20590, and must contain the fol-
of safety. Types of data and analysis to lowing:
be considered are described in (1) The name, title, address, tele-
§ 229.211(c)(1). phone number and e-mail address of
(d) Petitions for FRA approval of non-
the primary person to be contacted
substantive changes to the existing FRA-
with regard to review of the petition;
approved crashworthiness design stand-
ards. (1) Each petition for approval of a (2) The proposed locomotive crash-
non-substantive change to an FRA-ap- worthiness design, in detail;
proved locomotive crashworthiness de- (3) The intended type of service for
sign standard must be titled ‘‘Petition locomotives built under the proposed
for FRA Approval of Non-substantive design; and
Changes to a Locomotive Crash- (4) Appropriate data and analysis
worthiness Design Standard,’’ must be showing how the design either satisfies
submitted to the Associate Adminis- the requirements of § 229.205 for the
trator for Safety, Federal Railroad Ad- type of locomotive or provides at least
ministration, 1200 New Jersey Avenue, an equivalent level of safety. Types of
490
data and analysis to be considered are subpart and that the proposed change
described in § 229.211(c)(1). or new design standard satisfies the re-
[71 FR 36913, June 28, 2006, as amended at 74 quirements of § 229.205 for the type of
FR 25173, May 27, 2009] locomotive, the petition will be grant-
ed, normally within 90 days of its re-
§ 229.211 Processing of petitions. ceipt. If the petition is neither granted
(a) Federal Register notice. FRA will nor denied within 90 days, the petition
publish in the FEDERAL REGISTER no- remains pending for decision. FRA may
tice of receipt of each petition sub- attach special conditions to the grant-
mitted under § 229.207(b), § 229.207(c), or ing of the petition. Following the
§ 229.209. granting of a petition, FRA may re-
(b) Comment. Not later than 60 days open consideration of the petition for
from the date of publication of the no- cause stated. Any decision granting or
tice in the FEDERAL REGISTER con- denying a petition is placed in the pub-
cerning a petition submitted under lic docket for the petition.
§ 229.207(b), § 229.207(c), or § 229.209(b),
(3) If FRA finds that the petition
any person may comment on the peti-
does not comply with the requirements
tion.
(1) Each comment must set forth spe- of this subpart, or that the proposed
cifically the basis upon which it is change or new design standard does not
made, and contain a concise statement satisfy the performance criteria con-
of the interest of the commenter in the tained in Appendix E of this part
proceeding. (where applicable), the petition will be
(2) Each comment must be submitted denied, normally within 90 days of its
to the U.S. Department of Transpor- receipt. If the petition is neither grant-
tation Docket Operations (M–30), West ed nor denied within 90 days, the peti-
Building Ground Floor, Room W12–140, tion remains pending for decision. FRA
1200 New Jersey Avenue, SE., Wash- may re-open a denial of a petition for
ington, DC 20590, and must contain the cause stated.
assigned docket number which ap- (4) When FRA grants or denies a peti-
peared in the FEDERAL REGISTER for tion, or reopens consideration of the
that proceeding. The form of such sub- petition, written notice will be sent to
mission may be in written or electronic the petitioner and other interested par-
form consistent with the standards and
ties and a copy of the notice will be
requirements established by the Fed-
placed in the public docket of this pro-
eral Docket Management System and
ceeding.
posted on its Web site at http://
www.regulations.gov. [71 FR 36913, June 28, 2006, as amended at 74
(3) In the event FRA requires addi- FR 25173, May 27, 2009]
tional information to appropriately
consider the petition, FRA will con- § 229.213 Locomotive manufacturing
duct a hearing on the petition in ac- information.
cordance with the procedures provided (a) Each railroad operating a loco-
in § 211.25 of this chapter. motive subject to the requirements of
(c) Disposition of petitions. (1) In order this subpart must retain the following
to determine compliance with the per- information:
formance criteria in appendix E of this (1) The date upon which the loco-
part, FRA will consider proper docu-
motive was manufactured or remanu-
mentation of competent engineering
factured;
analysis, or practical demonstrations,
or both which may include validated (2) The name of the manufacturer or
computer modeling, structural crush remanufacturer of the locomotive; and
analysis, component testing, full scale (3) The design specification to which
crash testing in a controlled environ- the locomotive was manufactured or
ment, or any combination of the fore- remanufactured.
going, together with evidence of effec- (b) The information required in para-
tive peer review. graph (a) of this section must be lo-
(2) If FRA finds that the petition cated permanently in the locomotive
complies with the requirements of this cab or be provided within two business
491
§ 229.215 49 CFR Ch. II (10–1–11 Edition)
days upon request of FRA or an FRA- all responsibility for compliance with
certified State inspector. this section.
[71 FR 36914, June 28, 2006] [71 FR 36914, June 28, 2006]
§ 229.215 Retention and inspection of § 229.217 Fuel tank.

designs. (a) External fuel tanks. Locomotives
(a) Retention of records—original de- equipped with external fuel tanks
signs. Each manufacturer or remanu- shall, at a minimum, comply with the
facturer of a locomotive subject to this requirements of AAR S–5506, ‘‘Per-
subpart shall retain all records of the formance Requirements for Diesel
Electric Locomotive Fuel Tanks’’ (Oc-
original locomotive designs, including
tober 1, 2001), except for section 4.4.
supporting calculations and drawings,
This paragraph does not apply to loco-
pertaining to crashworthiness features motives subject to the fuel tank safety
required by this subpart. These records requirements of § 238.223 or § 238.423 of
must be retained for the lesser period this chapter. The Director of the Fed-
of: eral Register approves incorporation
(1) The life of such locomotive, ex- by reference of the AAR S–5506, ‘‘Per-
cept that records for a locomotive de- formance Requirements for Diesel
stroyed in a rail equipment accident/ Electric Locomotive Fuel Tanks’’ (Oc-
incident shall be retained for at least tober 1, 2001) in this section in accord-
12 months following the accident/inci- ance with 5 U.S.C. 552(a) and 1 CFR
dent; or part 51. You may obtain a copy of the
(2) Twenty years after the date of incorporated standard from the Asso-
manufacture or, if remanufactured, ciation of American Railroads, 50 F
twenty years after the date of remanu- Street NW., Washington, DC 20001. You
facture. may inspect a copy of the incorporated
(b) Retention of records—repairs and standard at the Federal Railroad Ad-
modifications. Each owner or lessee of a ministration, Docket Clerk, 1200 New
locomotive subject to this subpart Jersey Avenue, SE., Washington, DC
shall retain all records of repair or 20590 or at the National Archives and
Records Administration (NARA). For
modification to crashworthiness fea-
more information on the availability of
tures required by this subpart. These
this material at NARA, call 202–741–
records must be retained for the lesser
6030, or go to http://www.archives.gov/
period of:
federallregister/
(1) The life of such locomotive, ex- codeloflfederallregulations/
cept that records for a locomotive de- ibrllocations.html.
stroyed in a rail equipment accident/ (b) Internal fuel tanks. Locomotives
incident shall be retained for at least equipped with internal fuel tanks shall,
12 months following the accident/inci- at a minimum, comply with the re-
dent, or quirements of § 238.223(b) of this chap-
(2) Twenty years after the date on ter.
which the repair or modification was
performed. FR 25173, May 27, 2009]
(c) Inspection of records. Each custo-
dian of records referred to in para- APPENDIX A TO PART 229—FORM FRA
graphs (a) and (b) shall, upon request 6180–49A
by FRA or an FRA-certified State in-
spector, make available for inspection EDITORIAL NOTE: Appendix A, published at
and duplication within 7 days, any 45 FR 21118, Mar. 31, 1980, as part of the origi-
nal document, is not carried in the CFR.
records referred to in paragraphs (a)
Copies of Form FRA F6180–49A are available
and (b) of this section. by contacting the Federal Railroad Adminis-
(d) Third party storage of records. Each tration, Office of Standards and Procedures,
custodian of records referred to in 1200 New Jersey Avenue, SE., Washington,
paragraphs (a) and (b) of this section DC 20590.
may delegate storage duties to a third [45 FR 21109, Mar. 31, 1980, as amended at 74
party; however, the custodian retains FR 25174, May 27, 2009]
492
APPENDIX B TO PART 229—SCHEDULE OF CIVIL PENALTIES 1

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
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
493
Willful viola-
(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
(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 ...................................................................................................... 650 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
494
Willful viola-
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
(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
495
Willful viola-
(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 $16,000 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 $100,000 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; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008]
APPENDIX C TO PART 229—FRA LOCO- 3. A crashworthy ERMM shall be marked

MOTIVE STANDARDS—CODE OF DE- by its manufacturer as specified in Section B
FECTS of this appendix.
B. MARKING REQUIREMENTS
EDITORIAL NOTE: Appendix C, published at
1. The outer surface of the event recorder
45 FR 21121, Mar. 31, 1980, as part of the origi-
containing a certified crashworthy ERMM
nal document, is not carried in the CFR.
shall be colored international orange. In ad-
dition, the outer surface shall be inscribed,
APPENDIX D TO PART 229—CRITERIA FOR on the surface allowing the most visible
CERTIFICATION OF CRASHWORTHY area, in black letters on an international or-
EVENT RECORDER MEMORY MODULE ange background, using the largest type size
that can be accommodated, with the words
Section 229.135(b) requires that certain lo- CERTIFIED DOT CRASHWORTHY, followed
comotives be equipped with an event re- by the ERMM model number (or other such
corder that includes a certified crashworthy designation), and the name of the manufac-
event recorder memory module. This appen- turer of the event recorder. This information
dix prescribes the requirements for certi- may be displayed as follows:
fying an event recorder memory module
CERTIFIED DOT CRASHWORTHY
(ERMM) as crashworthy, including the per-
formance criteria and test sequence for es- Event Recorder Memory Module Model Num-
tablishing the crashworthiness of the ERMM ber
as well as the marking of the event recorder Manufacturer’s Name
containing the crashworthy ERMM. Marking ‘‘CERTIFIED DOT CRASH-
WORTHY’’ on an event recorder designed for
A. GENERAL REQUIREMENTS installation in a railroad locomotive is the
1. Each manufacturer that represents its certification that all performance criteria
ERMM as crashworthy shall, by marking it contained in this appendix have been met
as specified in Section B of this appendix, and all functions performed by, or on behalf
certify that the ERMM meets the perform- of, the manufacturer whose name appears as
ance criteria contained in this appendix and part of the marking, conform to the require-
that test verification data are available to a ments specified in this appendix.
railroad or to FRA upon request. 2. Retro-reflective material shall be ap-
2. The test verification data shall contain, plied to the edges of each visible external
at a minimum, all pertinent original data surface of an event recorder containing a
logs and documentation that the test sample certified crashworthy ERMM.
preparation, test set up, test measuring de-
C. PERFORMANCE CRITERIA FOR THE ERMM
vices and test procedures were performed by
designated, qualified personnel using recog- An ERMM is crashworthy if it has been
nized and acceptable practices. Test successfully tested for survival under condi-
verification data shall be retained by the tions of fire, impact shock, static crush,
manufacturer or its successor as long as the fluid immersion, and hydro-static pressure
specific model of ERMM remains in service contained in one of the two tables shown in
on any locomotive. this section of appendix D. (See Tables 1 and
496
2.) Each ERMM must meet the individual shall include all the recording elements re-
performance criteria in the sequence estab- quired by § 229.135(b). The following tables de-
lished in Section D of this appendix. A per- scribe alternative performance criteria that
formance criterion is deemed to be met if, may be used when testing an ERMM’s crash-
after undergoing a test established in this worthiness. A manufacturer may utilize ei-
appendix D for that criterion, the ERMM has ther table during its testing but may not
preserved all of the data stored in it. The combine the criteria contained in the two ta-
data set stored in the ERMM to be tested 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.

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

Parameter Value Duration Remarks
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.
497
Pt. 229, App. E 49 CFR Ch. II (10–1–11 Edition)
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.
498
ER30JN05.002</GPH>
Federal Railroad Administration, DOT Pt. 229, App. E
(b) Front end structure (short hood) (1) Objec- oriented parallel to the longitudinal axis of
tive. The front end structure of the loco- the locomotive. At impact, the proxy object
motive must withstand an oblique impact must be oriented such that there are 12
with a proxy object intended to simulate an inches of lateral overlap and 30 inches from
intermodal container offset from a freight the bottom of the proxy object to the top of
car on an adjacent parallel track (see figure the locomotive underframe.
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.
499
ER28JN06.004</GPH>
Pt. 229, App. H 49 CFR Ch. II (10–1–11 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, 1200 New
This appendix prescribes the procedures for Jersey Avenue, SE., Washington, DC 20950, or
the in-cab static measurements of loco- at the National Archives and Records Ad-
motives. ministration (NARA). For information on
the availability of this material at NARA,
I. MEASUREMENT INSTRUMENTATION 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.
500
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
501
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,
including: make, model number, serial num- ALLOWABLE STRESS
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.
FR 25174, May 27, 2009] PRESSURE TESTING OF BOILERS
230.35 Pressure testing.
PART 230—STEAM LOCOMOTIVE 230.36 Hydrostatic testing of boilers.
230.37 Steam test following repairs or alter-
INSPECTION AND MAINTENANCE ations.
STANDARDS
STAYBOLTS
Subpart A—General 230.38 Telltale holes.
230.39 Broken staybolts.
Sec.
230.40 Time and method of staybolt testing.
230.41 Flexible staybolts with caps.
230.2 Applicability.
230.3 Implementation. STEAM GAUGES
230.4 Penalties.
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. WATER GLASSES AND GAUGE COCKS
230.14 Thirty-one (31) service day inspec-
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.
502
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-
230.93 Pistons and piston rods. consistent with this part.
503
§ 230.2 49 CFR Ch. II (10–1–11 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 parts 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, 1200 New Jersey
not part of the general system of trans- Avenue, SE., 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.)
504
of the number of service days that re- tion continues shall constitute a sepa-
main in the locomotive’s 1472 service rate offense. See appendix A of part 209
day cycle. Petitions should be sent to for a statement of agency civil penalty
FRA by some form of registered mail policy.
to ensure a record of delivery. FRA will (b) Any person who knowingly and
investigate these petitions and will re- willfully falsifies a record or report re-
spond to these petitions within one quired by this part may be subject to
year of their receipt. FRA will send its criminal penalties under 49 U.S.C.
response by some form of registered 21311.
mail to ensure that a record of delivery [64 FR 62865, Nov. 17, 1999, as amended at 69
is created. In its response, FRA may FR 30594, May 28, 2004; 72 FR 51197, Sept. 6,
grant the petition or deny it. If FRA 2007; 73 FR 79703, Dec. 30, 2008]
grants the petition, the entirety of the
revised requirements will become effec- § 230.5 Preemptive effect.
tive upon receipt of FRA’s response, The Locomotive Boiler Inspection
unless FRA’s response indicates other- Act (49 U.S.C. 20701–20703) preempts all
wise. If FRA denies the petition, the State laws or regulations concerning
rule will become effective as provided locomotive safety. Napier v. Atlantic
in the first paragraph of this section. Coast Line R.R., 272 U.S. 605 (1926). How-
(2) FRA silence. Anyone who does not ever, FRA believes Congress did not in-
receive a response within one year of tend to preempt State laws or regula-
the date they filed their petition, tions concerning rail operations over
whether through administrative or which FRA does not exercise jurisdic-
postal error, must notify FRA that the tion. Therefore, in issuing this part, it
response has not been received. The no- is FRA’s intent that State laws or reg-
tification should be provided to FRA ulations applicable to those rail oper-
by some form of registered mail to en- ations to which this part does not
sure a record of delivery. Upon receipt apply (i.e., insular tourist operations)
of this notification, FRA will ensure not be preempted.
that a response is either issued, or re-
issued, as soon as possible. In the in- § 230.6 Waivers.
terim, however, any operator who is at (a) A person subject to a requirement
the end of their inspection cycle under of this part may petition the Adminis-
the rules in effect prior to January 18, trator of FRA for a waiver of compli-
2000 (See 49 CFR parts 200–999, revised ance with such requirement. The filing
October 1, 1978) will be allowed to re- of such a petition does not affect that
main in service without conducting the person’s responsibility for compliance
required inspection under § 230.17 for an with that requirement while the peti-
additional six months, or until they re- tion is being considered.
ceive FRA’s decision, whichever occurs (b) Each petition for waiver under
first. this section must be filed in the man-
[64 FR 62865, Nov. 17, 1999, as amended at 74 ner and contain the information re-
FR 25174, May 27, 2009] quired by part 211 of this chapter.
§ 230.4 Penalties. waiver of compliance is in the public
(a) Any person who violates any re- interest and is consistent with railroad
quirement of this part or causes the safety, the Administrator may grant
violation of any such requirement is the waiver subject to any conditions
subject to a civil penalty of at least the Administrator deems necessary.
$650 and not more than $25,000 per vio- Where a waiver is granted, the Admin-
lation, except that: Penalties may be istrator publishes a notice containing
assessed against individuals only for the reasons for granting the waiver.
willful violations, and, where a grossly (d) All waivers of every form and
negligent violation or a pattern of re- type from any requirement of any
peated violations has created an immi- order or regulation implementing the
nent hazard of death or injury to per- Locomotive Boiler Inspection Act, 36
sons, or has caused death or injury, a Stat. 913, as amended, 49 U.S.C. 20702,
penalty not to exceed $100,000 per viola- applicable to one or more steam loco-
tion may be assessed. Each day a viola- motives, shall lapse on January 18, 2000
505
§ 230.7 49 CFR Ch. II (10–1–11 Edition)
unless a copy of the grant of waiver is space exposed to that water and steam.
filed for reassessment prior to that The boiler exterior is the opposite sur-
date with the Office of Safety, Federal face of all components directly exposed
Railroad Administration, 1200 New Jer- to the boiler interior. This includes the
sey Avenue, SE., Washington, DC 20590. fire side of the firebox sheets.
FRA will review the waiver and notify Break. A fracture resulting in com-
the applicant whether the waiver has plete separation into parts.
been continued. Code of original construction. The
[64 FR 62865, Nov. 17, 1999, as amended at 74 manufacturer’s or industry code in ef-
FR 25174, May 27, 2009] 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
§ 230.8 Definitions. steam locomotive under contract for a
railroad.
As used in this part, the terms listed
in this section have the following defi- Locomotive owner. Person or entity
nitions: which owns, but which does not nec-
Administrator. The Administrator of essarily operate, one or more steam lo-
the Federal Railroad Administration or comotives that is operated on a rail-
the Administrator’s delegate. road to which this part applies. For
Alteration. Any change to the boiler purposes of inspection and mainte-
which affects its pressure retention ca- nance responsibility, this term in-
pability. Rating changes are considered cludes that entity’s delegate as well.
alterations. MAWP. Maximum allowable working
ANSI. American National Standards pressure as specified by the steam loco-
Institute. motive specification FRA Form No. 4.
API. American Petroleum Institute. (See appendix C of this part.)
ASME. American Society of Mechan- NBIC. National Board Inspection
ical Engineers. Code published by the National Board
Boiler surfaces. The boiler interior is of Boiler and Pressure Vessel Inspec-
all the space inside a boiler occupied tors.
by water or steam under pressure, and NDE. Non-destructive Examination.
all associated surfaces inside that NPS. Nominal Pipe Size.
506
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
507
§ 230.13 49 CFR Ch. II (10–1–11 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
508
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-
operator and the Regional Adminis- vidual competent to do so shall per-
trator are unable to agree on a date for form a flexible staybolt and cap inspec-
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
509
§ 230.17 49 CFR Ch. II (10–1–11 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
510
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
511
§ 230.26 49 CFR Ch. II (10–1–11 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
512
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
513
§ 230.35 49 CFR Ch. II (10–1–11 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
514
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
steam or water to exit the telltale hole
pressure above the MAWP specified on
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
515
§ 230.44 49 CFR Ch. II (10–1–11 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.
(a) Number and capacity. Every boiler
§ 230.44 Time of testing.
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
516
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
517
§ 230.59 49 CFR Ch. II (10–1–11 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.
518
§ 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
519
§ 230.72 49 CFR Ch. II (10–1–11 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;
520
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
Cam Type Driving Wheel Brake ........................ 31⁄2 each day the locomotive is used.
521
§ 230.80 49 CFR Ch. II (10–1–11 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.
522
§ 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
523
§ 230.91 49 CFR Ch. II (10–1–11 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.
524
(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.
525
§ 230.102 49 CFR Ch. II (10–1–11 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
condition for service. tender frame with any of the following
526
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
527
§ 230.112 49 CFR Ch. II (10–1–11 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
528
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
to which they are applied.
may not have a shelled-out spot 21⁄2
529
§ 230.114 49 CFR Ch. II (10–1–11 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.
530
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).
531
APPENDIX B TO PART 230—DIAGRAMS AND DRAWINGS
532
ER17No99.015</GPH>
533
ER17No99.016</GPH>
534
ER17No99.017</GPH>
535
ER17No99.018</GPH>
536
ER17No99.019</GPH>
537
ER17No99.020</GPH>
538
ER17No99.021</GPH>
539
ER17No99.022</GPH>
540
ER17No99.023</GPH>
541
ER17No99.024</GPH>
542
ER17No99.025</GPH>
543
ER17No99.026</GPH>
544
ER17No99.027</GPH>
545
ER17No99.028</GPH>
546
ER17No99.029</GPH>
547
ER17No99.030</GPH>
548
ER17No99.031</GPH>
549
ER17No99.032</GPH>
550
ER17No99.033</GPH>
APPENDIX C TO PART 230—FRA INSPECTION FORMS
551
ER17No99.034</GPH>
552
ER17No99.035</GPH>
553
ER17No99.036</GPH>
554
ER21JY05.063</GPH>
555
ER21JY05.064</GPH>
556
ER21JY05.065</GPH>
557
ER21JY05.066</GPH>
558
ER21JY05.067</GPH>
559
ER21JY05.068</GPH>
560
ER17No99.043</GPH>
[64 FR 62865, Nov. 17, 1999, as amended at 70

FR 41996, July 21, 2005]
561
ER17No99.044</GPH>
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:
562
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
563
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
564
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
565
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
566
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
231.22 Operation of track motor cars.
placed in service before October 1, 1966.
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- height.
ice. 231.33 Procedure for special approval of ex-
231.16 Steam locomotives used in switching isting industry safety appliance stand-
service. ards.
567
§ 231.0 49 CFR Ch. II (10–1–11 Edition)
231.35 Procedure for modification of an ap- (d) As used in this part, carrier means
proved industry safety appliance stand- ‘‘railroad,’’ as that term is defined
ard for new railcar construction. below.
APPENDIX A TO PART 231—SCHEDULE OF CIVIL (e) Railroad means all forms of non-
PENALTIES
highway ground transportation that
AUTHORITY: 49 U.S.C. 20102–20103, 20107, run on rails or electromagnetic guide-
20131, 20301–20303, 21301–21302, 21304; 28 U.S.C. ways, including (1) commuter or other
2461, note; and 49 CFR 1.49. short-haul rail passenger service in a
SOURCE: 33 FR 19663, Dec. 25, 1968, unless metropolitan or suburban area, and (2)
otherwise noted. high speed ground transportation sys-
NOTE: Where rivets or bolts are required in tems that connect metropolitan areas,
this part 231 a two-piece steel rivet may be without regard to whether they use
used consisting of: new technologies not associated with
(a) A solid shank of one-half (1⁄2) inch min- traditional railroads. Such term does
imum diameter steel or material of equal or not include rapid transit operations
greater strength having cold forged head on within an urban area that are not con-
one end, a shank length for material thick-
nected to the general railroad system
ness fastened, locking grooves, breakneck
groove and pull grooves (all annular grooves) of transportation.
on the opposite end. (f) Any person (an entity of any type
(b) A collar of similar material which is covered under 1 U.S.C. 1, including but
cold swaged into the locking grooves form- not limited to the following: a railroad;
ing a head for the opposite end of item (a) a manager, supervisor, official, or
after the pull groove section has been re- other employee or agent of a railroad;
moved.
§ 231.0 Applicability and penalties. lessee of railroad equipment, track, or
facilities; any independent contractor
(a) Except as provided in paragraphs providing goods or services to a rail-
(b) and (c) of this section, this part ap- road; and any employee of such owner,
plies to all standard gage railroads. manufacturer, lessor, lessee, or inde-
(b) This part does not apply to: pendent contractor) who violates any
(1) A railroad that operates only on requirement of this part or causes the
track inside an installation which is violation of any such requirement is
not part of the general railroad system subject to a civil penalty of at least
of transportation; or $650 and not more than $25,000 per vio-
(2) Rapid transit operations in an lation, except that: Penalties may be
urban area that are not connected with assessed against individuals only for
the general railroad system of trans- willful violations, and, where a grossly
portation. negligent violation or a pattern of re-
(3) Freight and other non-passenger peated violations has created an immi-
trains of four-wheel coal cars. nent hazard of death or injury to per-
(4) Freight and other non-passenger sons, or has caused death or injury, a
trains of eight-wheel standard logging penalty not to exceed $100,000 per viola-
cars if the height of each car from the tion may be assessed. Each day a viola-
top of the rail to the center of the cou- tion continues shall constitute a sepa-
pling is not more than 25 inches. rate offense. See appendix A to this
(5) A locomotive used in hauling a part for a statement of agency civil
train referred to in paragraph (b)(4) of penalty policy.
this section when the locomotive and (g) Except as provided in paragraph
cars of the train are used only to trans- (b) of this section, § 231.31 also applies
port logs.
to an operation on a 24-inch, 36-inch, or
(c) Except for the provisions gov- other narrow gage railroad.
erning uncoupling devices, this part
does not apply to Tier II passenger [54 FR 33229, Aug. 14, 1989, as amended at 63
equipment as defined in § 238.5 of this FR 11623, Mar. 10, 1998; 64 FR 25660, May 12,
chapter (i.e., passenger equipment oper- 1999; 66 FR 4192, Jan. 17, 2001; 69 FR 30594,
ating at speeds exceeding 125 mph but May 28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR
not exceeding 150 mph). 79703, Dec. 30, 2008]
568
§ 231.1 Box and other house cars built (iii) Carriers are not required to
or placed in service before October change the brakes from right to left
1, 1966. side on steel or steel-underframe cars
Except for box and other house cars with platform end sills in service July
that comply with either § 231.27 or 1, 1911, except when such appliances are
§ 231.28, each box and other house car renewed, at which time they must be
shall be equipped to meet the following made to comply with the standards
specifications: prescribed.
(a) Handbrake—(1) Number. One effi- (iv) Carriers are not required to
cient handbrake which shall operate in change the location of brake wheels
harmony with the power brake in- and brake shafts on cars in service
stalled on the car. Each such hand-
July 1, 1911, where the appliances are
brake shall (i) provide the same degree
within 3 inches of the required loca-
of safety as the design shown on plate
A, or (ii) provide the same degree of tion, except that when cars undergo
safety as that specified in § 231.27. regular repairs they must then be made
(2) Dimensions. (i) The brake shaft to comply with the standards pre-
shall be not less than 11⁄4 inches in di- scribed.
ameter, of wrought iron or steel with- (4) Manner of application. (i) There
out weld. shall be not less than 4 inches clear-
(ii) The brake wheel may be flat or ance around rim of brake wheel.
dished, not less than 15, preferably 16, (ii) Outside edge of brake wheel shall
inches in diameter, of malleable iron, be not less than 4 inches from a
wrought iron, or steel. vertical plane parallel with end of car
(3) Location. (i) The hand brake shall and passing through the inside face of
be so located that it can be safely oper- knuckle when closed with coupler horn
ated while car is in motion. against the buffer block or end sill.
(ii) The brake shaft shall be located
(iii) Top brake-shaft support shall be
on end of car, to the left of and not less
fastened with not less than 1⁄2-inch
than 17 nor more than 22 inches from
center. bolts or rivets. (See plate A.)
569
§ 231.1 49 CFR Ch. II (10–1–11 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.)
570
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
parallel with end of car and passing
sition on brake shaft by a nut on a
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
571
§ 231.1 49 CFR Ch. II (10–1–11 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
572
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
573
§ 231.1 49 CFR Ch. II (10–1–11 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
12, preferably 9, inches from sides of
with not less than 1⁄2-inch bolts with
nuts outside (when possible) and riv- cars. Center lift arms shall be not less
eted over, or with not less than 1⁄2-inch than 7 inches long.
rivets. (iv) Center of eye at end of center lift
(k) Uncoupling levers—(1) Number. arm shall be not more than 31⁄2 inches
Two. Uncoupling levers may be either beyond center of eye of uncoupling pin
single or double, and of any efficient of coupler when horn of coupler is
design. against the buffer block or end sill.
(2) Dimensions. (i) Handles of uncou- (See plate B.)
pling levers, except those shown on
(v) Ends of handles shall extend not a minimum clearance of 2 inches

less than 4 inches below bottom of end
sill or shall be so constructed as to give
574
EC01AP91.006</GPH>
around handle. Minimum drop of han- (c) Sill steps. Same as specified for
dles shall be 12 inches; maximum, 15 ‘‘Box and other house cars’’ (see
inches over all. (See plate B.) § 231.1(d)).
(vi) Handles of uncoupling levers of (d) Ladders—(1) Number. Same as
the ‘‘rocking’’ or ‘‘push-down’’ type specified for ‘‘Box and other house
shall be not less than 18 inches from cars’’ (see § 231.1(e)(1)).
top of rail when lock block has released (2) Dimensions. Same as specified for
knuckle, and a suitable stop shall be ‘‘Box and other house cars’’ (see
provided to prevent inside arm from § 231.1(e)(2)), except that top ladder
flying up in case of breakage. tread shall be located not more than 4
(3) Location. One on each end of car. inches from top of car.
When single lever is used, it shall be (3) Location. Same as specified for
placed on left side of end of car. ‘‘Box and other house cars’’ (see
(Secs. 2, 4, and 6, 27 Stat. 531, as amended; § 231.1(e)(3)).
secs, 1 and 3, 32 Stat. 943, as amended; sec. (4) Manner of application. Same as
6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8, specified for ‘‘Box and other house
and 10, 11–16 and 49 U.S.C. 103(c)(1)) cars’’ (see § 231.1(e)(4)).
[33 FR 19663, Dec. 25, 1968, as amended at 49 (e) Side handholds. Same as specified
FR 26745, June 29, 1984] for ‘‘Box and other house cars’’ (see
§ 231.1(h)).
§ 231.2 Hopper cars and high-side gon- (f) Horizontal end handholds. Same as
dolas with fixed ends. specified for ‘‘Box and other house
(Cars with sides more than 36 inches cars’’ (see § 231.1(i)).
above the floor are high-side cars.) (g) Vertical end handholds. Same as
(a) Hand brakes—(1) Number. Same as specified for ‘‘Box and other house
specified for ‘‘Box and other house cars’’ (see § 231.1(j)).
cars’’ (see § 231.1(a)(1)). (h) Uncoupling levers. Same as speci-
(2) Dimensions. Same as specified for fied for ‘‘Box and other house cars’’
‘‘Box and other house cars’’ (see (see § 231.1(k)).
§ 231.1(a)(2)). (i) End-ladder clearance. (1) No part of
(3) Location. (i) Each hand brake shall car above end sills within 30 inches
be so located that it can be safely oper- from side of car, except buffer block,
ated while car is in motion. brake shaft, brake wheel, brake step,
(ii) The brake shaft shall be located or uncoupling lever shall extend to
on end of car to the left of, and not within 12 inches of a vertical plane par-
more than 22 inches from, center. allel with end of car and passing
(iii) Carriers are not required to through the inside face of knuckle
change the brakes from right to left when closed with coupler horn against
side on steel or steel-underframe cars the buffer block or end sill, and no
with platform end sills, in service July other part of end of car or fixtures on
1, 1911, except when such appliances are same above end sills, other than excep-
renewed, at which time they must be tions herein noted, shall extend beyond
made to comply with the standards the outer face of buffer block.
prescribed. (2) Carriers are not required to make
(iv) Carriers are not required to changes to secure additional end-ladder
change the location of brake wheels clearance on cars in service July 1,
and brake shafts on cars in service 1911, that have 10 or more inches end-
July 1, 1911, where the appliances are ladder clearance within 30 inches of
within 3 inches of the required loca- side of car, until car is shopped for
tion, except that when cars undergo work amounting to practically rebuild-
regular repairs they must then be made ing body of car, at which time they
to comply with the standards pre- must be made to comply with the
scribed. standards prescribed.
(4) Manner of application. Same as
specified for ‘‘Box and other house § 231.3 Drop-end high-side gondola
cars’’ (see § 231.1(a)(4)). cars.
(b) Brake step. Same as specified for (a) Hand brakes—(1) Number. Same as
‘‘Box and other house cars’’ (see § 231.1 specified for ‘‘Box and other house
(b)). cars’’ (see § 231.1(a)(1)).
575
§ 231.4 49 CFR Ch. II (10–1–11 Edition)
(2) Dimensions. Same as specified for cars in service July 1, 1911, except end
‘‘Box and other house cars’’ (see handholds under end sills, where the
§ 231.1(a)(2)). appliances are within 3 inches of the
(3) Location. (i) Each hand brake shall required location, except that when
be so located that it can be safely oper- cars undergo regular repairs they must
ated while car is in motion. then be made to comply with the
(ii) The brake shaft shall be located standards prescribed.
on end of car to the left of center. (4) Manner of application. Same as
(iii) Carriers are not required to specified for ‘‘Box and other house
change the brakes from right to left cars’’ (see § 231.1(i)(4)).
side on steel or steel-underframe cars (f) Uncoupling levers. Same as speci-
with platform end sills, in service July fied for ‘‘Box and other house cars’’
1, 1911, except when such appliances are (see § 231.1(k)).
renewed, at which time they must be (g) End ladder clearance. (1) No part of
made to comply with the standards car above end sills within 30 inches
prescribed. from side of car, except buffer block,
(4) Manner of application. Same as brake shaft, brake wheel or uncoupling
specified for ‘‘Box and other house lever shall extend to within 12 inches of
cars’’ (see § 231.1(a)(4)). a vertical plane parallel with end of car
(b) Sill steps. Same as specified for and passing through the inside face of
‘‘Box and other house cars’’ (see knuckle when closed with coupler horn
§ 231.1(d)). against the buffer block or end sill, and
(c) Ladders—(1) Number. Two. no other part of end of car or fixtures
(2) Dimensions. Same as specified for on same above end sills, other than ex-
‘‘Box and other house cars’’ (see ceptions noted in this subparagraph,
§ 231.1(e)(2)), except that top ladder shall extend beyond the outer face or
tread shall be located not more than 4 buffer block.
inches from top of car. (2) Carriers are not required to make
(3) Location. (i) One on each side, not changes to secure additional end-ladder
more than 8 inches from right end of clearance on cars in service July 1,
car, measured from inside edge of lad- 1911, that have 10 or more inches end-
der stile or clearance of ladder treads ladder clearance, within 30 inches of
to corner of car. side of car, until car is shopped for
(ii) Carriers are not required to work amounting to practically rebuild-
change the location of ladders on cars ing body of car, at which time they
in service July 1, 1911, where the appli- must be made to comply with the
ances are within 3 inches of the re- standards prescribed.
quired location, except that when cars
undergo regular repairs they must then § 231.4 Fixed-end low-side gondola and
be made to comply with the standards low-side hopper cars.
prescribed. (Cars with sides 36 inches or less
(4) Manner of application. Same as above the floor are low-side cars.)
specified for ‘‘Box and other house (a) Hand brakes—(1) Number. Same as
cars’’ (see § 231.1(e)(4)). specified for ‘‘Box and other house
(d) Side handholds. Same as specified cars’’ (see § 231.1(a)(1)).
for ‘‘Box and other house cars’’ (see (2) Dimensions. Same as specified for
§ 231.1(h)). ‘‘Box and other house cars’’ (see
(e) Horizontal end handholds—(1) Num- § 231.1(a)(2)).
ber. Four. (3) Location. (i) Each hand brake shall
(2) Dimensions. Same as specified for be so located that it can be safely oper-
‘‘Box and other house cars’’ (see ated while car is in motion.
§ 231.1(i)(2)). (ii) The brake shaft shall be located
(3) Location. (i) One near each side of on end of car, to the left of and not
each end of car on face of end sill. more than 22 inches from center.
Clearance of outer end of handhold (iii) Carriers are not required to
shall be not more than 16 inches from change the brakes from right to left
side of car. side on steel or steel-underframe cars
(ii) Carriers are not required to with platform end sills, in service July
change the location of handholds on 1, 1911, except when such appliances are
576
renewed, at which time they must be shall be not more than 8 inches from
made to comply with the standards side of car.
prescribed. (ii) One near each side of each end of
(iv) Carriers are not required to car on face of end sill, projecting out-
change the location of brake wheels ward or downward. Clearance of outer
and brake shafts on cars in service end of handhold shall be not more than
July 1, 1911, where the appliances are 16 inches from side of car.
within 3 inches of the required loca- (iii) Carriers are not required to
tion, except that when cars undergo change the location of handholds on
regular repairs they must then be made cars in service July 1, 1911, except end
to comply with the standards pre- handholds under end sills, where the
scribed. appliances are within 3 inches of the
(4) Manner of application. Same as required location, except that when
specified for ‘‘Box and other house cars undergo regular repairs they must
cars’’ (see § 231.1(a)(4)). then be made to comply with the
(b) Brake step. Same as specified for standards prescribed.
‘‘Box and other house cars’’ (see (4) Manner of application. Same as
§ 231.1(b)). specified for ‘‘Box and other house
(c) Sill steps. Same as specified for cars’’ (see § 231.1(i)(4)).
‘‘Box and other house cars’’ (see (f) Uncoupling levers. Same as speci-
§ 231.1(d)). fied for ‘‘Box and other house cars’’
(d) Side handholds—(1) Number. Same (see § 231.1(k)).
as specified for ‘‘Box and other house (g) End-ladder clearance. (1) No part of
cars’’ (see § 231.1(h)(1)). car above end sills within 30 inches
(2) Dimensions. Same as specified for from side of car, except buffer block,
‘‘Box and other house cars’’ (see brake shaft, brake step, brake wheel or
§ 231.1(h)(2)). uncoupling lever shall extend to within
(3) Location. (i) Horizontal, one near 12 inches of a vertical plane parallel
each end on each side of car, not less with end of car and passing through the
than 24 nor more than 30 inches above inside face of knuckle when closed with
center line of coupler, if car construc- coupler horn against the buffer block
tion will permit, but handhold shall or end sill, and no other part of end of
not project above top of side. Clearance car or fixtures on same above end sills,
of outer end of handhold shall be not other than exceptions noted in this
more than 8 inches from end of car. subparagraph, shall extend beyond the
(ii) Carriers are not required to outer face of buffer block.
change the location of handholds on (2) Carriers are not required to make
cars in service July 1, 1911, except end changes to secure additional end-ladder
handholds under end sills, where the clearance on cars in service July 1,
appliances are within 3 inches of the 1911, that have 10 or more inches end-
required location, except that when ladder clearance, within 30 inches of
cars undergo regular repairs they must side of car, until car is shopped for
then be made to comply with the work amounting to practically rebuild-
standards prescribed. ing body of car, at which time they
(4) Manner of application. Same as must be made to comply with the
specified for ‘‘Box and other house standards prescribed.
cars’’ (see § 231.1(h)(4)).
(e) Horizontal end handholds—(1) Num- § 231.5 Drop-end low-side gondola
ber. Same as specified for ‘‘Box and cars.
other house cars’’ (see § 231.1(i)(1)). (a) Hand brakes—(1) Number. Same as
(2) Dimensions. Same as specified for specified for ‘‘Box and other house
‘‘Box and other house cars’’ (see cars’’ (see § 231.1(a)(1)).
§ 231.1(i)(2)). (2) Dimensions. Same as specified for
(3) Location. (i) One near each side on ‘‘Box and other house cars’’ (see
each end of car, not less than 24 nor § 231.1(a)(2)).
more than 30 inches above center line (3) Location. (i) Each hand brake shall
of coupler, if car construction will per- be so located that it can be safely oper-
mit. Clearance of outer end of handhold ated while car is in motion.
577
§ 231.6 49 CFR Ch. II (10–1–11 Edition)
(ii) The brake shaft shall be located cars undergo regular repairs they must
on end of car to the left of center. then be made to comply with the
(iii) Carriers are not required to standards prescribed.
change the brakes from right to left (4) Manner of application. Same as
side on steel or steel-underframe cars specified for ‘‘Box and other house
with platform end sills, in service July cars’’ (see § 231.1(i)(4)).
1, 1911, except when such appliances are (e) Uncoupling levers. Same as speci-
renewed, at which time they must be fied for ‘‘Box and other house cars’’
made to comply with the standards (see § 231.1(k)).
prescribed. (f) End-ladder clearance. (1) No part of
(4) Manner of application. Same as car above end sills within 30 inches
specified for ‘‘Box and other house from side of car, except buffer block,
cars’’ (see § 231.1(a)(4)), provided that brake shaft, brake wheel or uncoupling
top brake-shaft support may be omit- lever shall extend to within 12 inches of
ted. a vertical plane parallel with end of car
(b) Sill steps. Same as specified for and passing through the inside face of
‘‘Box and other house cars’’ (see knuckle when closed with coupler horn
§ 231.1(d)). against the buffer block or end sill, and
(c) Side handholds—(1) Number. Same no other part of end of car or fixtures
as specified for ‘‘Box and other house on same above end sills, other than ex-
cars’’ (see § 231.1(h)(1)). ceptions noted in this subparagraph
(2) Dimensions. Same as specified for shall extend beyond the outer face of
‘‘Box and other house cars’’ (see buffer block.
§ 231.1(h)(2)). (2) Carriers are not required to make
(3) Location. (i) Horizontal, one near changes to secure additional end-ladder
each end on each side of car, not less clearance on cars in service July 1,
than 24 nor more than 30 inches above 1911, that have 10 or more inches end-
center line of coupler, if car construc- ladder clearance, within 30 inches of
tion will permit, but handhold shall side of car, until car is shopped for
not project above top of side. Clearance work amounting to practically rebuild-
of outer end of handhold shall be no ing body of car, at which time they
more than 8 inches from end of car. must be made to comply with the
(ii) Carriers are not required to standards prescribed.
change the location of handholds on
cars in service July 1, 1911, except end § 231.6 Flat cars.
handholds under end sills, where the (Cars with sides 12 inches or less
appliances are within 3 inches of the above the floor may be equipped the
required location, except that when same as flat cars.)
cars undergo regular repairs they must (a) Hand brakes—(1) Number. Same as
then be made to comply with the specified for ‘‘Box and other house
standards prescribed. cars’’ (see § 231.1(a)(1)).
(4) Manner of application. Same as (2) Dimensions. Same as specified for
specified for ‘‘Box and other house ‘‘Box and other house cars’’ (see
cars’’ (see § 231.1(h)(4)). § 231(a)(2)).
(d) End handholds—(1) Number. Four. (3) Location. (i) Each hand brake shall
(2) Dimensions. Same as specified for be so located that it can be safely oper-
§ 231.1(i)(2)). (ii) The brake shaft shall be located
(3) Location. (i) Horizontal, one near on the end of car to the left of center,
each side of each end of car on face of or on side of car not more than 36
end sill. Clearance of outer end of inches from right-hand end thereof.
handhold shall be not more than 16 (iii) Carriers are not required to
inches from side of car. change the brakes from right to left
(ii) Carriers are not required to side on steel or steel-underframe cars
change the location of handholds on with platform end sills, in service July
cars in service July 1, 1911, except end 1, 1911, except when such appliances are
handholds under end sills, where the renewed, at which time they must be
appliances are within 3 inches of the made to comply with the standards
required location, except that when prescribed.
578
(iv) Carriers are not required to (e) Uncoupling levers. Same as speci-
change the location of brake wheels fied for ‘‘Box and other house cars’’
and brake shafts on cars in service (see § 231.1(k)).
July 1, 1911, where the appliances are
within 3 inches of the required loca- § 231.7 Tank cars with side platforms.
tion, except that when cars undergo (a) Hand brakes—(1) Number. Same as
regular repairs they must then be made specified for ‘‘Box and other house
to comply with the standards pre- cars’’ (see § 231.1(a)(1)).
scribed. (2) Dimensions. Same as specified for
(4) Manner of application. Same as ‘‘Box and other house cars’’ (see
specified for ‘‘Box and other house § 231.1(a)(2)).
cars’’ (see § 231.1(a)(4)). (3) Location. (i) Each hand brake shall
(b) Sill steps. Same as specified for be so located that it can be safely oper-
§ 231.1(d)). (ii) The brake shaft shall be located
(c) Side handholds—(1) Number. Same on end of car to the left of center.
as specified for ‘‘Box and other house (iii) Carriers are not required to
cars’’ (see § 231.1(h)(1)). change the brakes from right to left
(2) Dimensions. Same as specified for side on steel or steel-underframe cars
‘‘Box and other house cars’’ (see with platform end sills in service July
§ 231.1(h)(2)). 1, 1911, except when such appliances are
(3) Location. (i) Horizontal, one on renewed, at which time they must be
face of each side sill near each end. made to comply with the standards
Clearance of outer end of handhold prescribed.
shall be not more than 12 inches from (4) Manner of application. Same as
end of car. specified for ‘‘Box and other house
(ii) Carriers are not required to cars’’ (see § 231.1(a)(4)).
change the location of handholds on (b) Sill steps. Same as specified for
cars in service July 1, 1911, except end ‘‘Box and other house cars’’ (see
handholds under end sills, where the § 231.1(d)).
appliances are within 3 inches of the (c) Side handholds—(1) Number. Four
required location, except that when or more.
cars undergo regular repairs they must (2) Dimensions. Same as specified for
then be made to comply with the ‘‘Box and other house cars’’ (see
standards prescribed. § 231.1(h)(2)).
(4) Manner of application. Same as (3) Location. (i) Horizontal, one on
specified for ‘‘Box and other house face of each side sill near each end.
cars’’ (see § 231.1(h)(4)). Clearance of outer end of handhold
(d) End handholds—(1) Number. Four. shall be not more than 12 inches from
(2) Dimensions. Same as specified for end of car.
‘‘Box and other house cars’’ (see (ii) If side safety railings are at-
§ 231.1(i)(2)). tached to tank or tank bands, four ad-
(3) Location. (i) Horizontal, one near ditional vertical handholds shall be ap-
each side of each end of car on face of plied, one as nearly as possible over
end sill. Clearance of outer end of each sill step and securely fastened to
handhold shall be not more than 16 tank or tankband.
inches from side of car. (iii) Carriers are not required to
(ii) Carriers are not required to change the location of handholds on
change the location of handholds on cars in service July 1, 1911, except end
cars in service July 1, 1911, except end handholds under end sills, where the
handholds under end sills, where the appliances are within 3 inches of the
appliances are within 3 inches of the required location, except that when
required location, except that when cars undergo regular repairs they must
cars undergo regular repairs they must then be made to comply with the
then be made to comply with the standards prescribed.
standards prescribed. (4) Manner of application. Same as
(4) Manner of application. Same as specified for ‘‘Box and other house
specified for ‘‘Box and other house cars’’ (see § 231.1(h)(4)).
cars’’ (see § 231.1(i)(4)). (d) End handholds—(1) Number. Four.
579
§ 231.8 49 CFR Ch. II (10–1–11 Edition)
(2) Dimensions. Same as specified for (4) Manner of application. Safety rail-
‘‘Box and other house cars’’ (see ings shall be securely fastened to tank
§ 231.1(i)(2)). body, tank bands, or posts.
(3) Location. (i) Horizontal, one near (g) Uncoupling levers. Same as speci-
each side of each end of car on face of fied for ‘‘Box and other house cars’’
end sill. Clearance of outer end of (see § 231.1(k)).
handhold shall be not more than 16 (h) End-ladder clearance. (1) No part of
inches from side of car. car above end sills within 30 inches
(ii) Carriers are not required to from side of car, except buffer block,
change the location of handholds on brake shaft, brake-shaft brackets,
cars in service July 1, 1911, except end brake wheel or uncoupling level shall
handholds under end sills, where the extend to within 12 inches of a vertical
appliances are within 3 inches of the plane parallel with end of car and pass-
required location, except that when ing through the inside face of knuckle
cars undergo regular repairs they must when closed with coupler horn against
then be made to comply with the the buffer block or end sill, and no
standards prescribed. other part of end of car or fixtures on
(4) Manner of application. Same as same above end sills, other than excep-
specified for ‘‘Box and other house tions noted in this subparagraph, shall
cars’’ (see § 231.1(i)(4)). extend beyond the outer face of buffer
(e) Tank-head handholds—(1) Number. block.
Two. (Not required if safety railing (2) Carriers are not required to make
runs around ends of tank.) changes to secure additional end-ladder
(2) Dimensions. Minimum diameter, clearance on cars in service July 1,
five-eighths of an inch, wrought iron or 1911, that have 10 or more inches end-
steel. Minimum clearance, 2, preferably ladder clearance, within 30 inches of
21⁄2, inches. Clear length of handholds side of car, until car is shopped for
shall extend to within 6 inches of outer work amounting to practically rebuild-
diameter of tank at point of applica- ing body of car, at which time they
tion. must be made to comply with the
standards prescribed.
(3) Location. (i) Horizontal, one across
each head of tank not less than 30 nor § 231.8 Tank cars without side sills and
more than 60 inches above platform. tank cars with short side sills and
(ii) Carriers are not required to end platforms.
change the location of handholds on (a) Hand brakes—(1) Number. Same as
cars in service July 1, 1911, except end specified for ‘‘Box and other house
handholds under end sills, where the cars’’ (see § 231.1(a)(1)).
appliances are within 3 inches of the (2) Dimensions. Same as specified for
required location, except that when ‘‘Box and other house cars’’ (see
cars undergo regular repairs they must § 231.1(a)(2)).
then be made to comply with the (3) Location. (i) Each hand brake shall
standards prescribed. be so located that it can be safely oper-
(4) Manner of application. Tankhead ated while car is in motion.
handholds shall be securely fastened. (ii) The brake shaft shall be located
(f) Safety railings—(1) Number. One on end of car to the left of center.
continuous safety railing running (iii) Carriers are not required to
around sides and ends of tank, securely change the brakes from right to left
fastened to tank or tank bands at ends side on steel or steel-underframe cars
and sides of tank; or two running full with platform end sills, in service July
length of tank at sides of cars sup- 1, 1911, except when such appliances are
ported by posts. renewed, at which time they must be
(2) Dimensions. Not less than three- made to comply with the standards
fourths of an inch, iron. prescribed.
(3) Location. Running full length of (4) Manner of application. Same as
tank either at side supported by posts specified for ‘‘Box and other house
or securely fastened to tank or tank cars’’ (see § 231.1(a)(4)).
bands, not less than 30 nor more than (b) Running boards—(1) Number. One
60 inches above platform. continuous running board around sides
580
and ends; or two running full length of treads, minimum dimensions, 11⁄2 by 2
tank, one on each side. inches.
(2) Dimensions. Minimum width on (ii) Wrought iron or steel treads,
sides, 10 inches. Minimum width on minimum diameter five-eighths of an
ends, 6 inches. inch. Minimum clearance, 2, preferably
(3) Location. Continuous around sides 21⁄2, inches.
and ends of cars. On tank cars having (3) Location. On cars with continuous
end platforms extending to bolsters, running boards, one at right end of
running boards shall extend from cen- each side. On cars with side running
ter to center of bolsters, one on each boards, one at each end of each running
side. board.
(4) Manner of application. (i) If side (4) Manner of application. Ladders
running boards are applied below cen- shall be securely fastened with not less
ter of tank, outside edge of running than 1⁄2-inch bolts or rivets.
boards shall extend not less than 7 (e) Side handholds—(1) Number. Four
inches beyond bulge of tank. or more.
(ii) The running boards at ends of car (2) Dimensions. Same as specified for
shall be not less than 6 inches from a ‘‘Box and other house cars’’ (see
point vertically above the inside face § 231.1(h)(2)).
of knuckle when closed with coupler (3) Location. (i) Horizontal, one on
horn against the buffer block, end sill face of each side sill near each end on
or back stop. tank cars with short side sills, or one
(iii) Running boards shall be securely attached to top of running board pro-
fastened to tank or tank bands. jecting outward above sill steps or lad-
(c) Sill steps—(1) Number. Same as ders on tank cars without side sills.
specified for ‘‘Box and other house Clearance of outer end of handhold
cars’’ (see § 231.1(d)(1)). shall be not more than 12 inches from
end of car.
(2) Dimensions. Same as specified for
(ii) If side safety railings are at-
‘‘Box and other house cars’’ (see
tached to tank or tank bands four addi-
§ 231.1(d)(2)).
tional vertical handholds shall be ap-
(3) Location. (i) One near each end on
plied, one as nearly as possible over
each side under side handhold.
each sill step and securely fastened to
(ii) Outside edge of tread of step shall tank or tank bands.
be not more than 4 inches inside of face (iii) Carriers are not required to
of side of car, preferably flush with side change the location of handholds on
of car. cars in service July 1, 1911, except end
(iii) Tread shall be not more than 24, handholds under end sills, where the
preferably not more than 22, inches appliances are within 3 inches of the
above the top of rail. required location, except that when
(iv) Carriers are not required to cars undergo regular repairs they must
change the location of sill steps on cars then be made to comply with the
in service July 1, 1911, where the appli- standards prescribed.
ances are within 3 inches of the re- (4) Manner of application. Same as
quired location, except that when cars specified for ‘‘Box and other house
undergo regular repairs they must then cars’’ (see § 231.1(h)(4)).
be made to comply with the standards (f) End handholds—(1) Number. Four.
prescribed in said order. (2) Dimensions. Same as specified for
(4) Manner of application. Same as ‘‘Box and other house cars’’ (see
specified for ‘‘Box and other house § 231.1(i)(2)).
cars’’ (see § 231.1(d)(4)). (3) Location. (i) Horizontal, one near
(d) Ladders. (If running boards are so each side of each end of car on face of
located as to make ladders necessary.) end sill. Clearance of outer end of
(1) Number. Two on cars with contin- handhold shall be not more than 16
uous running boards. Four on cars with inches from side of car.
side running boards. (ii) Carriers are not required to
(2) Dimensions. (i) Minimum clear change the location of handholds on
length of tread, 10 inches. Maximum cars in service July 1, 1911, except end
spacing of treads, 19 inches. Hardwood handholds under end sills, where the
581
§ 231.9 49 CFR Ch. II (10–1–11 Edition)
appliances are within 3 inches of the side face of knuckle when closed with
required location, except that when coupler horn against the buffer block
cars undergo regular repairs they must or end sill, and no other part of end of
then be made to comply with the car or fixtures on same, above end sills,
standards prescribed. other than exceptions herein noted,
(4) Manner of application. Same as shall extend beyond the outer face of
specified for ‘‘Box and other house buffer block.
cars’’ (see § 231.1(i)(4)). (2) Carriers are not required to make
(g) Tank-head handholds—(1) Number. changes to secure additional end-ladder
Two. (Not required if safety railing clearance on cars in service July 1,
runs around ends of tank.) 1911, that have 10 or more inches end-
(2) Dimensions. Minimum diameter, ladder clearance, within 30 inches of
five-eighths of an inch, wrought iron or side of car, until car is shopped for
steel. Minimum clearance, 2, preferably work amounting to practically rebuild-
21⁄2, inches. ing body of car, at which time they
(3) Location. (i) Horizontal, one across must be made to comply with the
each head of tank not less than 30 nor standards prescribed.
more than 60 inches above platform on
running board. Clear length of § 231.9 Tank cars without end sills.
handholds shall extend to within 6 (a) Hand brakes—(1) Number. Same as
inches of outer diameter of tank at specified for ‘‘Box and other house
point of application. cars’’ (see § 231.1(a)(1)).
(ii) Carriers are not required to (2) Dimensions. Same as specified for
change the location of handholds on ‘‘Box and other house cars’’ (see
cars in service July 7, 1911, except end § 231.1(a)(2)).
handholds under end sills, where the (3) Location. Each hand brake shall be
appliances are within 3 inches of the so located that it can be safely oper-
required location, except that when ated while car is in motion. The brake
cars undergo regular repairs they must shaft shall be located on end of car to
then be made to comply with the the left of center.
standards prescribed. (4) Manner of application. Same as
(4) Manner of application. Tankhead specified for ‘‘Box and other house
handholds shall be securely fastened. cars’’ (see § 231.1(a)(4)).
(h) Safety railings—(1) Number. One (b) Brake step. Same as specified for
running around sides and ends of tank ‘‘Box and other house cars’’ (see
or two running full length of tank. § 231.1(b)).
(2) Dimensions. Minimum diameter, (c) Running boards—(1) Number. One.
seven-eighths of an inch, wrought iron (2) Dimensions. Minimum width on
or steel. Minimum clearance, 21⁄2 sides, 10 inches. Minimum width on
inches. ends, 6 inches.
(3) Location. Running full length of (3) Location. Continuous around sides
tank, not less than 30 nor more than 60 and ends of tank.
inches above platform or running (4) Manner of application. (i) If run-
board. ning boards are applied below center of
(4) Manner of application. Safety rail- tank, outside edge of running boards
ings shall be securely fastened to tank shall extend not less than 7 inches be-
or tank bands and secured against end yond bulge of tank.
shifting. (ii) Running boards at ends of car
(i) Uncoupling levers. Same as speci- shall be not less than 6 inches from a
fied for ‘‘Box and other house cars’’ point vertically above the inside face
(see § 231.1(k)). of knuckle when closed with coupler
(j) End-ladder clearance. (1) No part of horn against the buffer block, end sill
car above end sills within 30 inches or back stop.
from side of car, except buffer block, (iii) Running boards shall be securely
brake shaft, brake-shaft brackets, fastened to tank or tank bands.
brake wheel, running boards or uncou- (d) Sill steps—(1) Number. Four. (If
pling lever shall extend to within 12 tank has high running boards, making
inches of a vertical plane parallel with ladders necessary, sill steps must meet
end of car and passing through the in- ladder requirements.)
582
(2) Dimensions. Same as specified for (4) Manner of application. Same as

‘‘Box and other house cars’’ (see specified for ‘‘Box and other house
§ 231.1(d)(2)). cars’’ (see § 231.1(h)(4)).
(3) Location. (i) One near each end on (f) End handholds—(1) Number. Four.
each side, flush with outside edge of (2) Dimensions. Same as specified for
running board as near end of car as ‘‘Box and other house cars’’ (see
practicable. § 231.1(i)(2)).
(ii) Tread not more than 24, pref- (3) Location. (i) Horizontal, one near
erably not more than 22, inches above each side on each end of car on running
the top of rail. board, not more than 2 inches back
(iii) Carriers are not required to from edge of running board projecting
change the location of handholds on downward or outward, or on end of
cars in service July 1, 1911, where the tank not more than 30 inches above
appliances are within 3 inches of the center line of coupler.
required location, except that when (ii) Carriers are not required to
cars undergo regular repairs they must change the location of handholds on
then be made to comply with the cars in service July 1, 1911, except end
standards prescribed. handholds under end sills, where the
(4) Manner of application. (i) Steps ex- appliances are within 3 inches of the
ceeding 18 inches in depth shall have an required location, except that when
additional tread and be laterally cars undergo regular repairs they must
braced. then be made to comply with the
(ii) Sill steps shall be securely fas- standards prescribed.
tened with not less than 1⁄2-inch bolts (4) Manner of application. Same as
with nuts outside (when possible) and, specified for ‘‘Box and other house
riveted over, or with 1⁄2-inch rivets. cars’’ (see § 231.1(i)(4)).
(e) Side handholds—(1) Number. Four (g) Safety railings—(1) Number. One.
or more. (2) Dimensions. Minimum diameter,
(2) Dimensions. Same as specified for seven-eighths of an inch, wrought iron
‘‘Box and other house cars’’ (see or steel. Minimum clearance, 21⁄2
§ 231.1(h)(2)). inches.
(3) Location—(i) Horizontal, one near (3) Location. Safety railings shall be
each end on each side of car over sill continuous around sides and ends of
step on running board, not more than 2 car, not less than 30 nor more than 60
inches back from outside edge of run- inches above running board.
ning board, projecting downward or (4) Manner of application. Safety rail-
outward. ings shall be securely fastened to tank
(ii) Where such side handholds are or tank bands, and secured against end
more than 18 inches from end of car, an shifting.
additional handhold must be placed (h) Uncoupling levers—(1) Number.
near each end on each side not more Same as specified for ‘‘Box and other
than 30 inches above center line of cou- house cars’’ (see § 231.1(k)(1)).
pler. (2) Dimensions. Same as specified for
(iii) Clearance of outer end of hand- ‘‘Box and other house cars’’ (see
hold shall be not more than 12 inches § 231.1(k)(2)), except that minimum
from end of car. length of uncoupling lever shall be 42
(iv) If safety railings are on tank, inches, measured from center line of
four additional vertical handholds end of car to handle of lever.
shall be applied, one over each sill step (3) Location. Same as specified for
on tank. ‘‘Box and other house cars’’ (see
(v) Carriers are not required to § 231.1(k)(3)), except that uncoupling
change the location of handholds on lever shall be not more than 30 inches
cars in service July 1, 1911, except end above center line of coupler.
handholds under end sills, where the (i) End-ladder clearance. (1) No part of
appliances are within 3 inches of the car above buffer block within 30 inches
required location, except that when from side of car, except brake shaft,
cars undergo regular repairs they must brake-shaft brackets, brake wheel or
then be made to comply with the uncoupling lever shall extend to within
standards prescribed. 12 inches of a vertical plane parallel
583
§ 231.10 49 CFR Ch. II (10–1–11 Edition)
with end of car and passing through the (2) Dimensions. Same as specified for
inside face of knuckle when closed with ‘‘Box and other house cars’’ (see
coupler horn against the buffer block § 231.1(c)(2)).
or back stop, and no other part of end (3) Location. (i) Full length of car,
of car or fixtures on same, above buffer center of roof. (On caboose cars with
block, other than exceptions herein cupolas, longitudinal running boards
noted, shall extend beyond the face of shall extend from cupola to ends of
buffer block. roof.)
(2) Carriers are not required to make (ii) Outside - metal - roof - cars shall
changes to secure additional end-ladder have latitudinal extensions leading to
clearance on cars in service July 1, ladder locations.
1911, that have 10 or more inches end- (4) Manner of application. Same as
ladder clearance, within 30 inches of specified for ‘‘Box and other house
side of car, until car is shopped for cars’’ (see § 231.1(c)(4)). See note below.
work amounting to practically rebuild- (c) Ladders—(1) Number. Two.
ing body of car, at which time they (2) Dimensions. None specified.
must be made to comply with the (3) Location. One on each end.
standards prescribed. (4) Manner of application. Same as (see
§ 231.1(e)(4)). See note below.
§ 231.10 Caboose cars with platforms. (d) Roof handholds—(1) Number. One
NOTE: a. The term ‘‘bottom of car’’ as used
over each ladder. Where stiles of lad-
in § 231.10 is construed to mean ‘‘bottom of ders extend 12 inches or more above
side-sill or sheathing over side-sill.’’ roof, no other roof handholds are re-
b. The term ‘‘corner of car’’ as used in quired.
§ 231.10 is construed to mean the ‘‘line at (2) Dimensions. Same as specified for
inner edge of platform formed by the inter- ‘‘Box and other house cars’’ (see
section of the side and end of car.’’ § 231.1(g)(2)).
(a) Hand brakes—(1) Number. (i) Each (3) Location. (i) On roof of caboose in
caboose car shall be equipped with an line with and running parallel to treads
efficient hand brake which shall oper- of ladder, not less than 8 nor more than
ate in harmony with the power brake 15 inches from edge of roof.
thereon. (ii) Carriers are not required to
(ii) The hand brake may be of any ef-
cars in service July 1, 1911, except end
ficient design, but must provide the
handholds under end sills, where the
same degree of safety as the design
appliances are within 3 inches of the
shown on plate A.
required location, except that when
(2) Dimensions. Same as specified for cars undergo regular repairs they must
‘‘Box and other house cars’’ (see then be made to comply with the
§ 231.1(a)(2)). standards prescribed.
(3) Location. (i) Each hand brake shall (4) Manner of application. Same as
be so located that it can be safely oper- specified for ‘‘Box and other house
ated while car is in motion. cars’’ (see § 231.1(g)(4)). See note below.
(ii) The brake shaft on caboose cars (e) Cupola handholds—(1) Number. One
with platforms shall be located on plat- or more.
form to the left of center. (2) Dimensions. Minimum diameter,
(iii) Carriers are not required to five-eighths of an inch, wrought iron or
change the brakes from right to left steel. Minimum clearance, 2, preferably
side on steel or steel-underframe cars 21⁄2 inches.
with platform end sills, in service July (3) Location. (i) One continuous hand-
1, 1911, except when such appliances are hold extending around top of cupola
renewed, at which time they must be not more than 3 inches from edge of cu-
made to comply with the standards pola roof.
prescribed. (ii) Four right-angle handholds, one
(4) Manner of application. Same as at each corner, not less than 16 inches
specified for ‘‘Box and other house in clear length from point of angle,
cars’’ (see § 231.1(a)(4)). may take the place of the one contin-
(b) Running boards—(1) Number. One uous handhold specified, if locations
longitudinal running board. coincide.
584
(iii) Carriers are not required to (4) Manner of application. Same as

change the location of handholds on specified for ‘‘Box and other house
cars in service July 1, 1911, except end cars’’ (see § 231.1(i)(4)).
handholds under end sills, where the (h) End-platform handholds—(1) Num-
appliances are within 3 inches of the ber. Four.
required location, except that when (2) Dimensions. Minimum diameter,
cars undergo regular repairs they must five-eighths of an inch, wrought iron or
then be made to comply with the steel. Minimum clearance, 2, preferably
standards prescribed. 21⁄2 inches.
(4) Manner of application. Cupola (3) Location. (i) One right-angle hand-
handholds shall be securely fastened hold on each side of each end extending
with not less than 1⁄2-inch bolts with horizontally from door post to corner
nuts outside and riveted over or with of car at approximate height of plat-
not less than 1⁄2-inch rivets. See note form rail, then downward to within 12
below. inches of bottom of car.
(f) Side handholds—(1) Number. Four. (ii) Carriers are not required to
(2) Dimensions. Minimum diameter, change the location of handholds on
five-eighths of an inch, wrought iron or cars in service July 1, 1911, except end
steel. Minimum clear length, 36 inches. handholds under end sills, where the
Minimum clearance, 2, preferably 21⁄2, appliances are within 3 inches of the
inches. required location, except that when
(3) Location. (i) One near each end on cars undergo regular repairs they must
each side of car, curving downward to- then be made to comply with the
ward center of car from a point not less standards prescribed.
than 30 inches above platform to a (4) Manner of application. Handholds
point not more than 8 inches from bot- shall be securely fastened with bolts,
tom of car. Top end of handhold shall screws, or rivets.
be not more than 8 inches from outside (i) Caboose-platform steps. Safe and
face of end sheathing. suitable box steps leading to caboose
(ii) Carriers are not required to platforms shall be provided at each
change the location of handholds on corner of caboose. Lower tread of step
cars in service July 1, 1911, except end shall be not more than 24 inches above
handholds under end sills, where the top of rail.
appliances are within 3 inches of the (j) Uncoupling levers. Same as speci-
required location, except that when fied for ‘‘Box and other house cars’’
cars undergo regular repairs they must (see § 231.1(k)).
then be made to comply with the NOTE: Running boards may be omitted
standards prescribed. from Caboose Cars with platforms built after
(4) Manner of application. Same as June 1, 1970, when each of the following con-
specified for ‘‘Box and other house ditions have been met:
(1) That ladders, roof handholds (including
cars’’ (see § 231.1(h)(4)). ladder extensions) and cupola handholds as
(g) End handholds—(1) Number. Four. specified in paragraphs (c), (d), and (e) of this
(2) Dimensions. Same as specified for § 231.10 are also omitted.
‘‘Box and other house cars’’ (see (2) That an appropriate notice be posted in
§ 231.1(i)(2)). protective manner or stenciled on interior of
(3) Location. (i) Horizontal, one near caboose stating ‘‘operating employees are
each side on each end of car on face of prohibited under all conditions from occu-
pying the roof of this caboose.’’
platform end sill. Clearance of outer
(3) That a safe means must be provided to
end of handhold shall be not more than assure the safety of an operating employee
16 inches from end of platform end sill. when required to clean or maintain windows
(ii) Carriers are not required to of a caboose without running boards.
change the location of handholds on (4) That the following additional safety ap-
cars in service July 1, 1911, except end pliances as specified be securely installed at
handholds under end sills, where the the outer edge of each platform:
appliances are within 3 inches of the (a) Safety railing
(i) Number:
required location, except that when Horizontal—Four (4), two (2) upper and two
cars undergo regular repairs they must (2) lower.
then be made to comply with the Vertical—Four (4).
standards prescribed. (ii) Dimensions:
585
§ 231.11 49 CFR Ch. II (10–1–11 Edition)
Minimum diameter—One (1) inch wrought (2) That an appropriate notice be posted in
iron, steel, or other material of equivalent protective manner or stenciled in interior of
strength. caboose stating ‘‘operating employees are
Minimum clearance—Four (4), preferably six prohibited under all conditions from occu-
(6) inches except at brace and fastening lo- pying the roof of this caboose.’’
cations. (3) That a safe means must be provided to
(iii) Location: assure the safety of an operating employee
Vertical—One (1) at each corner of car ex- when required to clean or maintain windows
tending from platform end sill to level of of a caboose without running boards.
lower horizontal safety railing or to suit- (4) That end platform safety railing and
able bracket at roof. handhold arrangement will be deemed to
Horizontal—Upper: Across each end of car meet requirements except as to upper safety
near outer edge securely braced with railing and kick plates, when those appli-
vertical supports not less than 48 nor more ances are not provided. When vertical sup-
than 54 inches above top of platform ex- ports are not more than twenty-four (24)
tending not less than full width of plat- inches apart, such supports may be used in
form excluding hand brake stanchion area. lieu of kick plates.
Horizontal—Lower: Across each end of car (5) That the following additional safety ap-
near outer edge securely braced with pliances (when not so provided) shall be se-
vertical supports not less than 36 nor more curely installed at outer edge of each plat-
than 42 inches above top of platform ex- form:
cluding hand brake stanchion area. An (a) Safety railing.
opening may be provided near center. Such (i) Number:
opening shall be provided with a secure Horizontal upper—Two (2).
safety chain(s) not less than 1⁄4-inch diame- (ii) Dimensions:
ter wrought iron, or steel, or other secure Minimum diameter—One (1) inch wrought
suitable closure. iron, steel, or other material of equivalent
(iv) Manner of application: strength.
Safety railing shall be securely fastened with Minimum clearance—Four (4), preferably six
1⁄2-inch bolts or rivets when possible and (6) inches except at brace and fastening lo-
securely supported. A weld at connection cations.
of vertical and horizontal safety railing (iii) Location:
and vertical supports is permissible when Horizontal—Upper: Across each end of car
those appliances are fabricated as a single near outer edge securely braced with
unit. vertical supports not less than 48 nor more
(b) Kick plates than 54 inches above top of platform ex-
(i) Number: Four (4). tending not less than full width of plat-
(ii) Dimensions: form excluding hand brake stanchion area.
Minimum thickness 10-gauge wrought iron, Ladder tread not more than two (2) inches
steel or other material of equivalent below level of upper safety railing may
strength. serve as a portion of said safety railing.
Width—Minimum 24 inches. (b) Kick plates or vertical supports—Same
Height—Minimum 24 inches. as provided for caboose cars with platforms
(iii) Location: One near each side on each built after June 1, 1970, this note. See above.
and. Outer edge not more than 12 inches (6) That stove pipe should be secured to
from adjacent vertical safety railing with prevent turning.
bottom edge near top of platform. Hand (7) Cupola or bay windows shall be lami-
brake stand may serve as part of kick plate. nated safety-type glass or equivalent and all
(iv) Manner of application: Securely fas- other caboose windows shall be so provided
tened by 1⁄2-inch bolts or rivets, or weld. on or before June 1, 1975.
(v) Vertical hand rail supports spaced not [33 FR 19663, Dec. 25, 1968, as amended at 35
more than eighteen (18) inches apart may be FR 10149, June 20, 1970]
used in lieu of kick plates.
(5) That stove pipe shall be secured to pre- § 231.11 Caboose cars without plat-
vent turning. forms.
(6) That windows shall be laminated safe-
ty-type glass or equivalent. (a) Hand brakes—(1) Number. Same as
Existing caboose cars with platforms. Run- specified for ‘‘Box and other house
ning boards may be removed from Caboose cars’’ (see § 231.1(a)(1)).
Cars with Platforms built or under construc- (2) Dimensions. Same as specified for
tion on or before June 1, 1970, when each of
‘‘Box and other house cars’’ (see
the following conditions have been met:
(1) That ladder treads above safety railing, § 231.1(a)(2)).
roof handholds including ladder extensions, (3) Location. (i) Each hand brake shall
and cupola handholds specified in paragraphs be so located that it can be safely oper-
(c), (d), and (e) of this § 231.10 are removed. ated while car is in motion.
586
(ii) The brake shaft on caboose cars (3) Location. Same as specified for
without platforms shall be located on ‘‘Box and other house cars’’ (see
end of car to the left of center. § 231.1(e)(3), except when caboose has
(iii) Carriers are not required to side doors, then side ladders shall be lo-
change the brakes from right to left cated not more than 8 inches from
side on steel or steel-underframe cars doors.
with platform end sills, in service July (4) Manner of application. Same as
1, 1911, except when such appliances are specified for ‘‘Box and other house
renewed, at which time they must be cars’’ (see § 231.1(e)(4)).
made to comply with the standards (g) End-ladder clearance. (1) No part of
prescribed. car above end sills within 30 inches
(4) Manner of application. Same as from side of car, except buffer block,
specified for ‘‘Box and other house brake shaft, brake wheel, brake step,
cars’’ (see § 231.1(a)(4)). running board, or uncoupling lever
(b) Brake step. Same as specified for shall extend to within 12 inches of a
‘‘Box and other house cars’’ (see vertical plane, parallel with end of car
§ 231.1(b)). and passing through the inside face of
(c) Running boards—(1) Number. Same knuckle when closed with coupler horn
as specified for ‘‘Box and other house against the buffer block or end sill, and
cars’’ (see § 231.1(c)(1)). no other part of end of car or fixtures
(2) Dimension. Same as specified for on same above end sills, other than ex-
‘‘Box and other house cars’’ (see ceptions noted in this subparagraph,
§ 231.1(c)(2)). shall extend beyond the outer face of
(3) Location. (i) Full length of car, buffer block.
center of roof. (On caboose cars with (2) Carriers are not required to make
cupolas, longitudinal running boards changes to secure additional end-ladder
shall extend from cupola to ends of clearance on cars in service July 1,
roof.) 1911, that have 10 or more inches end-
(ii) Outside-metal-roof cars shall ladder clearance, within 30 inches of
have latitudinal extensions leading to side of car, until car is shopped for
ladder locations. work amounting to practically rebuild-
(4) Manner of application. Same as ing body of car, at which time they
specified for ‘‘Box and other house must be made to comply with the
cars’’ (see § 231.1(c)(4)). standards prescribed.
(d) Sill steps. Same as specified for (h) Roof handholds—(1) Number. Four.
‘‘Box and other house cars’’ (see (2) Dimensions. Same as specified for
§ 231.1(d)). ‘‘Box and other house cars’’ (see
(e) Side-door steps—(1) Number. Two. § 231.1(g)(2)).
(If caboose has side doors.) (3) Location. (i) One over each ladder,
(2) Dimensions. Minimum length, 5 on roof in line with and running par-
feet. Minimum width, 6 inches. Min- allel to treads of ladder, not less than
imum thickness of tread, 11⁄2 inches. 8 nor more than 15 inches from edge of
Minimum height of back stop, 3 inches. roof.
Maximum height from top of rail to (ii) Where stiles of ladders extend 12
top of tread, 24 inches. inches or more above roof, no other
(3) Location. One under each side roof handholds are required.
door. (iii) Carriers are not required to
(4) Manner of application. Side-door change the location of handholds on
steps shall be supported by 2 iron cars in service July 1, 1911, except end
brackets having a minimum cross-sec- handholds under end sills, where the
tional area 7⁄8 by 3 inches or equivalent, appliances are within 3 inches of the
each of which shall be securely fas- required location, except that when
tened to car by not less than two 3⁄4- cars undergo regular repairs they must
inch bolts. then be made to comply with the
(f) Ladders—(1) Number. Four. standards prescribed.
(2) Dimensions. Same as specified for (4) Manner of application. Roof
‘‘Box and other house cars’’ (see handholds shall be securely fastened
§ 231.1(e)(2)). with not less than 1⁄2-inch bolts with
587
§ 231.11 49 CFR Ch. II (10–1–11 Edition)
nuts outside (when possible) and riv- steel. Minimum clearance, 2, preferably
eted over, or with not less than 1⁄2-inch 21⁄2 inches.
rivets. (3) Location. (i) One curved handhold,
(i) Cupola handholds—(1) Number. One from a point at side of each door oppo-
or more. site ladder, not less than 36 inches
(2) Dimensions. Minimum diameter, above bottom of car, curving away
five-eights of an inch, wrought iron or from door downward to a point not
steel. Minimum clearance, 2, preferably more than 6 inches above bottom of
21⁄2 inches. car.
(3) Location. (i) One continuous cu- (ii) One vertical handhold at ladder
pola handhold extending around top of side of each door from a point not less
cupola, not more than 3 inches from than 36 inches above bottom of car to a
edge of cupola roof. point not more than 6 inches above
(ii) Four right-angle handholds, one level of bottom of door.
at each corner, not less than 16 inches (iii) Carriers are not required to
in clear length from point of angle, change the location of handholds on
may take the place of the one contin- cars in service July 1, 1911, except end
uous handhold specified, if locations handholds under end sills, where the
coincide. appliances are within 3 inches of the
(iii) Carriers are not required to required location, except that when
cars undergo regular repairs they must
cars in service July 1, 1911, except end
then be made to comply with the
handholds under end sills, where the
appliances are within 3 inches of the
(4) Manner of application. Side-door
required location, except that when
cars undergo regular repairs they must
with not less than 1⁄2-inch bolts with
then be made to comply with the
nuts outside (when possible) and riv-
eted over or with not less than 1⁄2-inch
(4) Manner of application. Cupola
rivets.
with not less than 1⁄2-inch bolts with (l) Horizontal end handholds—(1) Num-
nuts outside and riveted over or with ber. Same as specified for ‘‘Box and
not less than 1⁄2-inch rivets. other house cars.’’ (See § 231.1(i)(1)).
(j) Side handholds—(1) Number. Four. (2) Dimensions. Same as specified for
(2) Dimensions. Same as specified for ‘‘Box and other house cars.’’ (see
‘‘Box and other house cars’’ (see § 231.1(i)(2)).
§ 231.1(h)(2)). (3) Location. (i) Same as specified for
(3) Location. (i) Horizontal, one near ‘‘Box and other house cars’’ (see
each end on each side of car, not less § 231.1(i)(3)), except that one additional
than 24 nor more than 30 inches above end handhold shall be on each end of
center line of coupler. Clearance of cars with platform end sills as here-
outer end of handhold shall be not tofore described, unless car has door in
more than 8 inches from end of car. center of end. Said handhold shall be
(ii) Carriers are not required to not less than 24 inches in length, lo-
change the location of handholds on cated near center of car, not less than
cars in service July 1, 1911, except end 30 nor more than 60 inches above plat-
handholds under end sills where the ap- form end sill.
pliances are within 3 inches of the re- (ii) Carriers are not required to
quired location, except that when cars change the location of handholds on
undergo regular repairs they must then cars in service July 1, 1911, except end
be made to comply with the standards handholds under end sills, where the
prescribed. appliances are within 3 inches of the
(4) Manner of application. Same as required location, except that when
specified for ‘‘Box and other house cars undergo regular repairs they must
cars’’ (see § 231.(h)(4)). then be made to comply with the
(k) Side-door handholds—(1) Number. standards prescribed in said order.
Four: Two curved, two straight. (4) Manner of application. Same as
(2) Dimensions. Minimum diameter, specified for ‘‘Box and other house
five-eighths of an inch, wrought iron or cars’’ (see § 231.1(i)(4)).
588
(m) Vertical end handholds. Same as (3) On passenger-train cars used in

specified for ‘‘Box and other house freight or mixed-train service, the un-
cars’’ (see § 231.1(j)). coupling attachment shall be so ap-
(n) Uncoupling levers. Same as speci- plied that the coupler can be operated
fied for ‘‘Box and other house cars’’ from left side of car.
(see § 231.1(k)).
§ 231.13 Passenger-train cars with
§ 231.12 Passenger-train cars with open-end platforms.
wide vestibules. (a) Hand brakes—(1) Number. Each
(a) Hand brakes—(1) Number. Each passenger-train car shall be equipped
passenger-train car shall be equipped with an efficient hand brake, which
with an efficient hand brake, which shall operate in harmony with the
shall operate in harmony with the power brake thereon.
power brake thereon. (2) Location. Each hand brake shall be
(2) Location. Each hand brake shall be so located that it can be safely oper-
so located that it can be safely operated while car is in motion.
ated while car is in motion. (b) End handholds—(1) Number. Four.
(b) Side handholds—(1) Number. Eight. (2) Dimensions. Minimum diameter,
(2) Dimensions. Minimum diameter, five-eighths of an inch, wrought iron or
five-eighths of an inch, metal. Min- steel. Minimum clear length, 16 inches.
imum clear length, 16 inches. Minimum Minimum clearance, 2, preferably 21⁄2
clearance, 11⁄4, preferably 11⁄2 inches. inches. Handholds shall be flush with
(3) Location. Vertical, one on each or project not more than 1 inch beyond
vestibule door post. surface of end sill.
(4) Manner of application. Side (3) Location. Horizontal, one near
handholds shall be securely fastened each side of each end on face of plat-
with bolts, rivets, or screws. form end sill, projecting downward.
(c) End handholds—(1) Number. Four. Clearance of outer end of handhold
(2) Dimensions. (i) Minimum diame- shall be not more than 16 inches from
ters, five-eighths of an inch, wrought end of end sill.
iron or steel. Minimum clear length, 16 (4) Manner of application. End-
inches. Minimum clearance, 2, pref- handholds shall be securely fastened
erably 21⁄2 inches. with bolts or rivets.
(ii) Handholds shall be flush with or (c) End-platform handholds—(1) Num-
project not more than 1 inch beyond ber. Four. (Cars equipped with safety
vestibule face. gates do not require end-platform
(3) Location. Horizontal, one near handholds.)
each side on each end projecting down- (2) Dimensions. Minimum clearance, 2,
ward from face of vestibule end sill. preferably 21⁄2 inches, metal.
Clearance of outer end of handhold (3) Location. Horizontal from or near
shall be not more than 16 inches from door post to a point not more than 12
side of car. inches from corner of car, then ap-
(4) Manner of application. End proximately vertical to a point not
handholds shall be securely fastened more than 6 inches from top of plat-
with bolts or rivets. When marker form. Horizontal portion shall be not
sockets or brackets are located so that less than 24 inches in length nor more
they can not be conveniently reached than 40 inches above platform.
from platforms, suitable steps and (4) Manner of application. End-plat-
handholds shall be provided for men to form handholds shall be securely fas-
reach such sockets or brackets. tened with bolts, rivets, or screws.
(d) Uncoupling levers. (1) Uncoupling (d) Uncoupling levers. (1) Uncoupling
attachments shall be applied so they attachments shall be applied so they
can be operated by a person standing can be operated by a person standing
on the ground. on the ground.
(2) Minimum length of ground uncou- (2) Minimum length of ground uncou-
pling attachment, 42 inches, measured pling attachment, 42 inches, measured
from center line of end of car to handle from center of end of car to handle of
of attachment. attachment.
589
§ 231.14 49 CFR Ch. II (10–1–11 Edition)
(3) On passenger-train cars used in (d) End handholds—(1) Number. Four.

freight or mixed-train service the un- (2) Dimensions. Minimum diameter,
coupling attachments shall be so ap- five-eighths of an inch, wrought iron or
plied that the coupler can be operated steel. Minimum clear length, 16 inches.
from left side of car. Minimum clearance, 2, preferably 21⁄2,
inches.
§ 231.14 Passenger-train cars without (3) Location. Horizontal, one near
end platforms. each side on each end projecting down-
(a) Handbrakes—(1) Number. Each pas- ward from face of end sill or sheathing.
senger-train car shall be equipped with Clearance of outer end of handholds
an efficient hand brake which shall op- shall be not more than 16 inches from
erate in harmony with the power brake side of car.
thereon. (4) Manner of application. (i)
(2) Location. Each hand brake shall be Handholds shall be flush with or
so located that it can be safely oper- project not more than 1 inch beyond
ated while car is in motion. face of end sill.
(b) Sill steps—(1) Number. Four. (ii) End handholds shall be securely
(2) Dimensions. Minimum length of fastened with bolts or rivets.
tread, 10, preferably 12, inches. Min- (iii) When marker sockets or brack-
imum cross-sectional area, 1⁄2 by 11⁄2 ets are located so that they can not be
inches or equivalent, wrought iron or conveniently reached from platforms,
steel. Minimum clear depth, 8 inches. suitable steps and handholds shall be
(3) Location. (i) One near each end on provided for men to reach such sockets
each side not more than 24 inches from or brackets.
corner of car to center of tread of sill (e) End handrails. (On cars with pro-
step. jecting end sills.)
(ii) Outside edge of tread of step shall (1) Number. Four.
be not more than 2 inches inside of face (2) Dimensions. Minimum diameter,
of side of car. five-eighths of an inch, wrought iron or
(iii) Tread shall be not more than 24, steel. Minimum clearance, 2, preferably
preferably not more than 22, inches 21⁄2, inches.
above the top of rail. (3) Location. One on each side of each
(4) Manner of application. (i) Steps ex- end, extending horizontally from
ceeding 18 inches in depth shall have an doorpost or vestibule frame to a point
additional tread and be laterally not more than 6 inches from corner of
braced. car, then approximately vertical to a
(ii) Sill steps shall be securely fas- point not more than 6 inches from top
tened with not less than 1⁄2-inch bolts of platform end sill; horizontal portion
with nuts outside (when possible) and shall be not less than 30 nor more than
riveted over, or with not less than 1⁄2- 60 inches above platform end sill.
inch rivets. (4) Manner of application. End hand-
(c) Side handholds—(1) Number. Four. rails shall be securely fastened with
(2) Dimensions. Minimum diameter, bolts, rivets or screws.
five-eighths of an inch, wrought iron or (f) Side-door steps—(1) Number. One
steel. Minimum clear length, 16, pref- under each door.
erably 24, inches. Minimum clearance, (2) Dimensions. Minimum length of
2, preferably 21⁄2, inches. tread, 10, preferably 12, inches. Min-
(3) Location. Horizontal or vertical, imum cross-sectional area, 1⁄2 by 11⁄2
one near each end on each side of car inches or equivalent, wrought iron or
over sill step. steel. Minimum clear depth, 8 inches.
(i) If horizontal, not less than 24 nor (3) Location. Outside edge of tread of
more than 30 inches above center line step not more than 2 inches inside of
of coupler. face of side of car. Tread not more than
(ii) If vertical, lower end not less 24, preferably not more than 22, inches
than 18 nor more than 24 inches above above the top of rail.
center line of coupler. (4) Manner of application. (i) Steps ex-
(4) Manner of application. Side ceeding 18 inches in depth shall have an
handholds shall be securely fastened additional tread and be laterally
with bolts, rivets or screws. braced.
590
(ii) Side-door steps shall be securely seven-eighths of an inch or more in di-

fastened with not less than 1⁄2-inch ameter, securely fastened, with a clear-
bolts with nuts outside (when possible) ance of 21⁄2 inches, it is a handhold.)
and riveted over, or with not less than (4) Manner of application. Pilot-beam
1⁄2-inch rivets.
(iii) A vertical handhold not less than with bolts or rivets.
24 inches in clear length shall be ap- (d) Side handholds—(1) Number. Six.
plied above each side-door step on door (2) Dimensions. Minimum diameter, if
post. horizontal, five-eighths of an inch; if
(g) Uncoupling levers. (1) Uncoupling vertical, seven-eighths of an inch,
attachments shall be applied so they wrought iron or steel. Horizontal, min-
can be operated by a person standing imum clear length, 16 inches. Vertical,
on the ground. clear length equal to approximate
(2) Minimum length of ground uncou- height of tank. Minimum clearance, 2,
pling attachment, 42 inches, measured preferably 21⁄2, inches.
from center line of end of car to handle (3) Location. (i) Horizontal or
of attachment. vertical. If vertical, one on each side of
(3) On passenger-train cars used in tender within 6 inches of rear or on
freight or mixed-train service, the un- corner; if horizontal, same as specified
coupling attachment shall be so ap- for ‘‘Box and other house cars’’ (see
plied that the coupler can be operated § 231.1(h)(3)).
from the left side of car. (ii) One on each side of tender near
§ 231.15 Steam locomotives used in gangway; 1 on each side of locomotive
road service. at gangway; applied vertically.
(4) Manner of application. Side
(a) Tender till-steps—(1) Number. Four
on tender.
with not less than 1⁄2-inch bolts or riv-
(2) Dimensions. (i) Bottom tread not
ets.
less than 8 by 12 inches, metal. (May
(e) Rear-end handholds—(1) Number.
have wooden treads.)
Two.
(ii) If stirrup steps are used, clear
length of tread shall be not less than (2) Dimensions. Minimum diameter,
10, preferably 12, inches. five-eighths of an inch, wrought iron or
(3) Location. One near each corner of steel. Minimum clear length, 14 inches.
tender on sides. Minimum clearance, 2, preferably 21⁄2,
(4) Manner of application. Tender sill- inches.
steps shall be securely fastened with (3) Location. Horizontal, one near
bolts or rivets. each side of rear end of tender on face
(b) Pilot sill-steps—(1) Number. Two. of end sill. Clearance of outer end of
(2) Dimensions. Tread not less than 8 handhold shall be not more than 16
inches in width by 10 inches in length, inches from side of tender.
metal. (May have wooden treads.) (4) Manner of application. Rear-end
(3) Location. One on or near each end handholds shall be securely fastened
of buffer-beam outside of rail and not with not less than 1⁄2-inch bolts or riv-
more than 16 inches above rail. ets.
(4) Manner of application. Pilot sill- (f) Uncoupling levers—(1) Number. Two
steps shall be securely fastened with double levers, operative from either
bolts or rivets. side.
(c) Pilot-beam handholds—(1) Number. (2) Dimensions. Rear-end levers shall
Two. extend across end of tender with han-
(2) Dimensions. Minimum diameter, dles not more than 12, preferably 9,
five-eighths of an inch, wrought iron or inches from side of tender with a guard
steel. Minimum clear length, 14, pref- bent on handle to give not less than 2
erably 16, inches. Minimum clearance, inches clearance around handle.
21⁄2 inches. (3) Location. One on rear end of ten-
(3) Location. One on each end of buff- der and one on front end of locomotive.
er-beam. If uncoupling lever extends Handles of front-end leavers shall be
across front end of locomotive to with- not more than 12, preferably 9, inches
in 8 inches of end of buffer-beam, and is from ends of buffer-beam, and shall be
591
§ 231.16 49 CFR Ch. II (10–1–11 Edition)
so constructed as to give a minimum than 60 inches above tread or foot-

clearance of 2 inches around handle. board.
(4) Manner of application. Uncoupling (b) Sill steps—(1) Number. Two or
levers shall be securely fastened with more.
bolts or rivets. (2) Dimensions. (i) Lower tread of step
(g) Couplers. Locomotives shall be shall be not less than 8 by 12 inches,
equipped with automatic couplers at metal. (May have wooden treads.)
rear of tender and front of locomotive. (ii) If stirrup steps are used, clear
length of tread shall be not less than
§ 231.16 Steam locomotives used in 10, preferably 12, inches.
switching service. (3) Location. One or more on each side
(a) Footboards—(1) Number. Two or at gangway secured to locomotive or
more. tender.
(2) Dimensions. (i) Minimum width of (4) Manner of application. Sill steps
tread, 10 inches. shall be securely fastened with bolts or
(ii) Minimum height of back stop, 4 rivets.
inches above tread. (c) End handholds—(1) Number. Two.
(iii) Height from top of rail to top of (2) Dimensions. Minimum diameter, 1
tread, not more than 12 nor less than 9 inch, wrought iron or steel. Minimum
inches. clearance, 4 inches, except at coupler
(iv) If made of wood, minimum thick- casting or braces when minimum clear-
ness of tread shall be 11⁄2, preferably 2 ance shall be 2 inches.
inches. (3) Location. One on pilot, buffer-
(v) Footboards may be made of mate- beam; one on rear end of tender, ex-
rial other than wood which provides tending across front end of locomotive
the same as or a greater degree of safe- and rear end of tender. Ends of
ty than wood of 11⁄2 inches thickness. handholds shall be not more than 6
When made of material other than inches from ends of buffer-beam or end
wood, the tread surface shall be of anti- sill, securely fastened at ends.
skid design and constructed with suffi- (4) Manner of application. End
cient open space to permit the elimi- handholds shall be securely fastened
nation of snow and ice from the tread with bolts or rivets.
surface. (d) Side handholds—(1) Number. Four.
(3) Location. Ends or sides. If on ends, (2) Dimensions. Minimum diameter,
they shall extend not less than 18 seven-eighths of an inch, wrought iron
inches outside of guage of straight or steel. Clear length equal to approxi-
track, and shall be not more than 12 mate height of tank. Minimum clear-
inches shorter than buffer-beam at ance, 2, preferably 21⁄2 inches.
each end. (3) Location. Vertical. One on each
(4) Manner of application. (i) End foot- side of tender near front corner; one on
boards may be constructed in two sec- each side of locomotive at gangway.
tions, provided that practically all (4) Manner of application. Side
space on each side of coupler is filled; handholds shall be securely fastened
each section shall be not less than 3 with bolts or rivets.
feet in length. (e) Uncoupling levers—(1) Number. Two
(ii) Footboards shall be securely double levers, operative from either
bolted to two 1- by 4-inch metal brack- side.
ets, provided footboard is not cut or (2) Dimensions. (i) Handles of front-
notched at any point. end levers shall be not more than 12,
(iii) If footboard is cut or notched or preferably 9, inches from ends of buff-
in two sections, not less than four 1- by er-beam, and shall be so constructed as
3-inch metal brackets shall be used, to give a minimum clearance of 2
two located on each side of coupler. inches around handle.
Each bracket shall be securely bolted (ii) Rear-end levers shall extend
to buffer-beam, end sill or tank frame across end of tender with handles not
by not less than two 7⁄8-inch bolts. more than 12, preferably 9, inches from
(iv) If side footboards are used, a sub- side of tender, with a guard bent on
stantial handhold or rail shall be ap- handle to give not less than 2 inches
plied not less than 30 inches nor more clearance around handle.
592
(3) Location. One on rear end of ten- (2) Dimensions. Not less than 1 inch in
der and one on front end of locomotive. diameter, wrought iron or steel.
(f) Handrails and steps for headlights. (3) Location. One on each side of boil-
Switching locomotives with sloping er extending from near cab to near
tenders with manhole or headlight lo- front end of boiler, and extending
cated on sloping portion of tender shall across front end of boiler, not less than
be equipped with secure steps and 24 nor more than 66 inches above run-
handrail or with platform and handrail ning board.
leading to such manhole or headlight. (4) Manner of application. Handrails
(g) End-ladder clearance. No part of shall be securely fastened to boiler.
locomotive or tender except draft rig- (d) Tenders of Vanderbilt type. (1)
ging, coupler and attachments, safety Tenders known as the Vanderbilt type
chains, buffer block, footboard, brake shall be equipped with running boards;
pipe, signal pipe, steam-heat pipe or one on each side of tender not less than
arms of uncoupling lever shall extend 10 inches in width and one on top of
to within 14 inches of a vertical plane tender not less than 48 inches in width,
passing through the inside face of extending from coal space to rear of
knuckle when closed with horn of cou- tender.
pler against buffer block or end sill. (2) There shall be a handrail on each
(h) Couplers. Locomotives shall be side of top running board, extending
equipped with automatic couplers at from coal space to rear of tank, not
rear of tender and front of locomotive. less than 1 inch in diameter and not
less than 20 inches in height above run-
§ 231.17 Specifications common to all ning board from coal space to manhole.
steam locomotives.
(3) There shall be a handrail extend-
(a) Hand brakes. (1) Hand brakes will ing from coal space to within 12 inches
not be required on locomotives nor on of rear of tank, attached to each side of
tenders when attached to locomotives. tank above side running board not less
(2) If tenders are detached from loco- than 30 nor more than 66 inches above
motives and used in special service, running board.
they shall be equipped with efficient (4) There shall be one vertical end
hand brakes. handhold on each side of Vanderbilt
(b) Running boards—(1) Number. Two. type of tender, located within 8 inches
(2) Dimensions. Not less than 10 inches of rear of tank extending from within 8
wide. If of wood, not less than 11⁄2 inches of top of end sill to within 8
inches in thickness; if of metal, not inches of side handrail. Post supporting
less than three-sixteenths of an inch, rear end of side running board, if not
properly supported. more than 2 inches in diameter and
(3) Location. One on each side of boil- properly located, may form section of
er extending from cab to front end near handhold.
pilot-beam. (Running boards may be in (5) An additional horizontal end
sections. Flat-top steamchests may handhold shall be applied on rear end
form section of running board.) of all Vanderbilt type of tenders which
(4) Manner of application. (i) Running are not equipped with vestibules. Hand-
boards shall be securely fastened with hold to be located not less than 30 nor
bolts, rivets, or studs. more than 66 inches above top of end
(ii) Locomotives having Wootten sill. Clear length of handhold to be not
type boilers with cab located on top of less than 48 inches.
boiler more than 12 inches forward (6) Ladders shall be applied at for-
from boiler head shall have suitable ward ends of side running boards.
running boards running from cab to (e) Handrails and steps for headlights.
rear of locomotive, with handrailings (1) Locomotives having headlights
not less than 20 nor more than 48 which can not be safely and conven-
inches above outside edge of running iently reached from pilot-beam or
boards, securely fastened with bolts, steam chests shall be equipped with se-
rivets, or studs. cure handrails and steps suitable for
(c) Handrails—(1) Number. Two or the use of men in getting to and from
more. such headlights.
593
§ 231.18 49 CFR Ch. II (10–1–11 Edition)
(2) A suitable metal end or side lad- tend not less than seven inches beyond
der shall be applied to all tanks more bulge of tank head and safety railing.
than 48 inches in height, measured (4) Manner of application. End plat-
from the top of end sill, and securely forms shall be securely fastened to the
fastened with bolts or rivets. draft sills and be sufficiently rigid to
(f) Couplers. Locomotives shall be prevent sagging.
equipped with automatic couplers at (c) Sill steps. Same as specified for
rear of tender and front of locomotive. ‘‘Box and other house cars’’ (see
§ 231.1(d)).
§ 231.18 Cars of special construction. (d) End platform safety railing—(1)
Cars of construction not covered spe- Number. Two.
cifically in the foregoing sections in (2) Dimensions. Minimum of seven-
this part, relative to handholds, sill eighths inch diameter, wrought iron or
steps, ladders, hand brakes and running steel, or one and one-quarter inch pipe.
boards may be considered as of special Minimum clearance, two and one-half
construction, but shall have, as nearly inches.
as possible, the same complement of (3) Location. One safety railing at
handholds, sill steps, ladders, hand each end of car shall extend hori-
brakes, and running boards as are re- zontally across car not less than thir-
quired for cars of the nearest approxi- ty-six inches nor more than fifty-four
mate type. inches above end platform and extend
downward within three inches of the
§ 231.19 Definition of ‘‘Right’’ and end of the platform. The safety railing
‘‘Left.’’ shall be located not more than six
Right or Left refers to side of person inches from the inside edge of the plat-
when facing end or side of car from form.
ground. (4) Manner of application. Safety rail-
ings shall be supported at center of car
§ 231.20 Variation in size permitted. and at each end by extending down-
To provide for the usual inaccuracies ward at the ends and attaching to the
of manufacturing and for wear, where platform.
sizes of metal are specified, a total var- (e) Side railing—(1) Number. Two.
iation of 5 percent below size given is (2) Dimensions. One and one-quarter
permitted. inch pipe. Minimum clearance two and
one-half inches.
§ 231.21 Tank cars without under- (3) Location. One on each side of car,
frames. extending from end platform to end
(a) Hand brakes—(1) Number. Same as platform at a distance of not less than
specified for ‘‘Box and other house 51 inches from centerline of car, except
cars’’ (see § 231.1(a)(1)). that where break in side railing is nec-
(2) Dimensions. Same as specified for essary for side ladder or operating cabi-
‘‘Box and other house cars’’ (see net, the side railing shall be securely
§ 231.1(a)(2)). attached to such ladder and/or cabinet.
(3) Location. Each hand brake shall be (4) Manner of application. Safety rail-
so located that it can be safely oper- ings shall be securely attached to end
ated while car is in motion. The brake platforms and supported from the car
shaft shall be located on end of car to at intervals not exceeding ten feet.
the left of center. (f) Side handholds—(1) Number. Four.
(4) Manner of application. Same as (2) Dimensions. Same as specified for
specified for ‘‘Box and other house ‘‘Box and other house cars’’ (see
cars’’ (see § 231.1(a)(4)). § 231.1(h)(2)).
(b) End platforms—(1) Number. Two. (3) Location. Four horizontal; one on
(2) Dimensions. Minimum width, ten face of end platform end, over sill step,
inches. Minimum thickness, one and projecting downward or outward.
three-quarters inches. Clearance of outer end of handhold
(3) Location. One on each end extend- shall be not more than twelve inches
ing across car a distance equal to or from end of car. Vertical portion of end
greater than any other portion of car. platform safety railing shall be consid-
Outside edge of end platform shall ex- ered as a side vertical handhold.
594
(4) Manner of application. Same as (vii) Safety railing, one and one-
prescribed for ‘‘Box and other house quarter inch wrought iron or steel pipe.
cars’’ (see § 231.1(h)(4)). (3) Location. (i) Operating platform to
(g) End handholds—(1) Number. Four. be of sufficient length to provide access
(2) Dimensions. Same as specified for to all operating fittings. Ladder to be
‘‘Box and other house cars’’ (see located on sides of car at center.
§ 231.1(i)(2)). (ii) The safety railing shall enclose
(3) Location. Horizontal, one near the operating platform, manway and
each side of each end of car on face of fittings used in the loading and unload-
end sill. Clearance of outer end of ing of the tank. Railing shall be open
handhold shall not be more than six- only at the ladders where it shall ex-
teen inches from side of car. tend in a vertical direction down to,
(4) Manner of application. Same as and be securely attached to the plat-
specified for ‘‘Box and other house form. Maximum width of opening,
cars’’ (see § 231.1(i)(4)). twenty-four inches.
(h) Uncoupling levers. Same as speci- (4) Manner of application. (i) The lad-
fied for ‘‘Box and other house cars’’ ders shall be securely fastened to the
(see § 231.1(k)). operating platform. The lower portion
(i) End ladder clearance. No part of of ladder shall be braced in such a man-
car above end sills within thirty inches ner as to prevent any movement.
from side of car, except buffer block, (ii) The operating platforms shall be
brake shaft, brake-shaft brackets, supported to prevent sagging and be se-
brake wheel, running boards or uncou- curely attached to the tank.
pling lever shall extend to within (iii) The safety railing shall be se-
twelve inches of a vertical plane par- curely attached to four stanchions or
allel with end of car and passing corner posts, which shall be securely
through the inside face of knuckle attached to the tank or operating plat-
when closed with coupler horn against form.
the buffer block or end sill, and no (k) Manner of application of safety ap-
other part of end of car or fixtures on pliances on tank cars covered with jack-
same, above end sills, other than excep- ets. On tanks covered with jackets,
tions herein noted, shall extend beyond metal pads shall be securely attached
the outer face of the buffer block. to the shell proper, to which brackets
(j) Operating platform, ladder and safe- shall be fastened for securing the safe-
ty railing—(1) Number. One operating ty appliances attached to the tanks; or,
platform, two ladders and safety rail- the safety appliances (with the excep-
ing. Not required if all fittings used in tion of the operating platform brack-
the loading or unloading of the tank ets) may be secured to the jackets rein-
car are accessible from ground or end forced with metal pads at the point of
platform. attachment, which pads shall extend at
(2) Dimensions. (i) Ladder: Ladder least two inches from the center line of
stiles, three-eighths by two inches or rivet holes. The operating platform
equivalent, wrought iron or steel. One brackets shall be secured to the jacket
and one-quarter inch extra strong pipe reinforced with suitable bands. When
will be considered equivalent. the safety appliances are attached to
(ii) Ladder treads minimum diame- the jacket covering of the tank, the
ter, five-eighths of an inch, wrought jacket shall be tightened so that there
iron or steel. will be no danger of its slipping around.
(iii) Minimum clear length of treads, [33 FR 19663, Dec. 25, 1968, as amended at 34
fourteen inches. FR 11974, July 16, 1969]
(iv) Maximum spacing of treads,
nineteen inches. § 231.22 Operation of track motor cars.
(v) Minimum clearance of treads and On and after August 1, 1963, it shall
ladder stiles, two inches, preferably be unlawful for any railroad subject to
two and one-half inches. the requirements of the Safety Appli-
(vi) Operating platform, minimum ance Acts to operate or permit to be
width, seven inches; minimum thick- operated on its line track motor cars
ness, one and three-quarters inches. to pull or haul trailers, push trucks,
595
§ 231.23 49 CFR Ch. II (10–1–11 Edition)
hand cars, or similar cars or equip- (e) Side handholds—(1) Number. Four
ment. (4).
EFFECTIVE DATE NOTE: At 28 FR 7839, Aug.
(2) Dimensions. Minimum diameter,
1, 1963, the effective date of § 231.22 was five-eighths (5⁄8) of an inch, wrought
stayed until further notice. iron, steel or metal of equivalent
strength. Minimum clear length, six-
§ 231.23 Unidirectional passenger-train teen (16) preferably twenty-four (24)
cars adaptable to van-type semi- inches. Minimum clearance, two (2)
trailer use. preferably two and one-half (21⁄2)
(a) Hand brakes—(1) Number. Same as inches.
specified for ‘‘Passenger-Train Cars (3) Location. Horizontal, two (2) over
Without End-Platforms.’’ each sill step. Lower handhold shall be
(2) Location. Each hand brake shall be not less than twenty-four (24) nor more
so located that it can be safely oper- than thirty (30) inches above center
ated while car is in motion. The hand line of coupler. Upper handhold shall be
brake operating device shall be located not less than fifteen (15) nor more than
on the end of car to the left of center. nineteen (19) inches above lower hand-
(b) Brake step—(1) Number. One (1). hold. Clearance of outer end of hand-
(2) Dimensions. Not less than twenty- hold shall be not more than eight (8)
eight (28) inches in length. Outside inches from end of car.
edge not less than eight (8) inches from (4) Manner of application. Side
face of car, except when ‘‘A’’ frame is handholds shall be securely fastened
used and extends beyond end of car, a with not less than one-half (1⁄2) inch
platform of anti-skid design covering bolts with nuts outside (when possible)
the extended portion of the ‘‘A’’ frame and riveted over, or with not less than
may be used as brake step. one-half (1⁄2) inch rivets.
(3) Manner of application. Brake step (f) Horizontal end-handholds—(1) Num-
shall be securely fastened to car and ber. Seven (7).
when additional support is necessary, (2) Dimensions. Minimum diameter,
metal braces having a minimum cross- five-eighths (5⁄8) of an inch, wrought
sectional area three-eighths (3⁄8) by one iron, steel or other metal of equivalent
and one-half (11⁄2) inches or equivalent strength. Minimum clear length, six-
shall be securely fastened to body of teen (16) inches. Minimum clearance,
car with not less than one-half (1⁄2) inch two (2) preferably two and one-half
bolts or rivets. (21⁄2) inches.
(c) Sill steps—(1) Number. Two (2). (3) Location. End-sill: One (1) near
(2) Dimensions. Minimum length of each side at the rear or trailing end of
tread, ten (10) preferably twelve (12) car on face of end-sill or sheathing over
inches. Minimum cross-sectional area, end-sill, projecting outward or down-
one-half (1⁄2) by one and one-half (11⁄2) ward. Clearance of outer end of hand-
inches, or equivalent, wrought iron, hold shall be not more than sixteen (16)
steel or other metal of equivalent inches from side of car.
strength. Minimum clear depth, eight (i) Lower: One near each side of the
(8) inches. rear or trailing end of car, not less
(3) Location. One (1) near the rear or than twenty-four (24) nor more than
trailing end of the car on each side, not thirty (30) inches above center line of
more than twenty-four (24) inches from coupler.
corner of car to center of tread of sill (ii) Upper: One (1) near each side at
step. the rear or trailing end of car not less
(4) Manner of application. Same as than fifteen (15) nor more than nine-
specified for ‘‘Passenger-Train Cars teen (19) inches above lower handholds.
Without End-Platforms.’’ Clearance of outer ends of lower and
(d) End-clearance. No part of car upper handholds shall be not more than
above end sills except the brake step eight (8) inches from side of car. Lower
shall extend to within twenty (20) and upper handholds shall be spaced to
inches of a vertical plane parallel with coincide with corresponding side
end of car and passing through the out- handholds, a variation of two (2) inches
side edge of any part of an adjoining being allowed. On front end of car there
car. shall be one (1) additional end handhold
596
full length of car not less than forty ated from the end-platform. Each
(40) nor more than fifty (50) inches brake shaft shall be located on end of
above center line of coupler. Clearance car to left of center and not more than
of each end of handhold shall be not twenty-four (24) inches from left side of
more than eight (8) inches from side of car.
car. When construction will not permit (4) Manner of application. Same as
the use of a single handhold, four (4) specified for ‘‘Box and Other House
handholds, each not less than sixteen Cars.’’
(16) inches in length may be used, pro- (b) End-platforms—(1) Number. Two
vided dimensions and location coin- (2).
cide. (2) Dimensions. Width, not less than
(4) Manner of application. End ten (10) inches. Length, full width of
handholds shall be securely fastened car.
with not less than one-half (1⁄2) inch (3) Location. One (1) on each end of
bolts with the nuts outside (when pos- car not more than eight (8) inches
sible) and riveted over, or with not less above center sill.
than one-half (1⁄2) inch rivets. When (4) Manner of application. Each end-
marker sockets or brackets are located platform shall be securely supported by
so that they cannot be conveniently not less than four (4) metal braces hav-
reached, suitable steps and handholds ing a minimum cross sectional area
shall be provided for men to reach such three-eighths (3⁄8) by one and one-half
sockets or brackets. (11⁄2) inches or equivalent which shall
(g) Uncoupling levers. Each car shall be securely fastened to body of car
be equipped to provide means of cou- with not less than one-half (1⁄2) inch
pling and uncoupling without the ne- bolts or rivets. The outside edge of
cessity of men going between the cars. each end-platform shall be not less
than six (6) inches from a vertical
§ 231.24 Box and other house cars with
roofs, 16 feet 10 inches or more plane parallel with end of car and pass-
above top of rail. 1 ing through the inside face of knuckle
when closed with coupler-horn against
(a) Hand brakes—(1) Number. Same as
the buffer-block or end sill and cush-
specified for ‘‘Box and Other House
ioning device (if used) at full buff. End-
Cars.’’
platform shall be made of running
(2) Dimensions. Same as specified for
board material as specified for ‘‘Box
‘‘Box and Other House Cars.’’
(3) Location. Each hand brake shall be and Other House Cars.’’
located so that it can be safely oper- (c) Sill steps. Same as specified for
‘‘Box and Other House Cars.’’
1 (a) Each car of this type built or rebuilt
(d) End-ladder clearance. No part of
car above end-sills within thirty (30)
after (January 1, 1976) or under construction
prior thereto and placed in service after (ef- inches from side of car, except buffer
fective date) shall be equipped as specified in block brake-shaft, brake wheel, end-
§ 231.27(a) through (h) and (j) or, if it has roof platform, horizontal end handholds, or
hatches, as specified in § 231.28. coupling lever shall extend to within
(b) Each car of this type placed in service twelve (12) inches of a vertical plane
after November 23, 1964 and before (effective parallel with end of car and passing
date) shall be equipped— through the inside face of knuckle,
(1) As specified in § 231.24; or
when closed with the coupler horn
(2) As specified in § 231.27(a) through (h)
and (j); or against the buffer block or end-sill and
(3) If it has roof hatches, as specified in cushioning device (if used) at full buff,
§ 231.28. and no other part of end of car or fix-
(c) Each car of this type placed in service tures on same above end-sill, other
before October 22, 1964, or under construction than exceptions herein noted, shall ex-
on October 22, 1964 and placed in service be- tend beyond outer face of buffer block.
fore November 23, 1964, shall be equipped— (e) Side handholds—(1) Number. Six-
(1) As specified in § 231.1; or
(2) As specified in §§ 231.1 and 231.27(i); or
teen (16).
(3) As specified in § 231.27(a) through (h) (2) Dimensions. Same as specified for
and (j); or ‘‘Box and Other House Cars.’’
(4) If it has roof hatches, as specified in (3) Location. Horizontal: Four (4) near
§ 231.28. each end and on each side of car spaced
597
§ 231.25 49 CFR Ch. II (10–1–11 Edition)
not more than nineteen (19) inches platform handhold to within eight (8)
apart and with the bottom handhold lo- inches above tread of end-platform.
cated not more than twenty-one (21) One (1) continuous handhold with two
inches from top tread of sill step, and (2) right angles, or two (2) right angle
top handhold shall coincide in height handholds, may take the place of two
with horizontal end-platform handhold, (2) specified vertical end-handholds and
a variation of two (2) inches being alone (1) horizontal end-platform hand-
lowed. Spacing of side handholds shall hold, provided the dimensions and loca-
be uniform within a limit of two (2) tions coincide, and extra legs at points
inches from top handhold to bottom of angle and center are provided and se-
handhold. Clearance of outer ends of curely fastened to car.
handholds shall be not more than eight (4) Manner of application. Same as
(8) inches from end of car. specified for ‘‘Box and Other House
(4) Manner of application. Same as Cars.’’
specified for ‘‘Box and Other House (i) Uncoupling levers. Same as speci-
Cars,’’ except each bottom handhold fied for ‘‘Box and Other House Cars.’’
shall have foot guard or upward projec- (j) Painting and stenciling. (1) That
tion not less than two (2) inches in portion of each end of car more than
height near inside end. fifteen (15) feet above top of rail shall
(f) Horizontal end handholds—(1) Num- be painted with contrasting
ber. Four (4). reflectorized paint and shall bear the
(2) Dimension. Same as specified for words ‘‘No running board’’ to the left of
‘‘Box and Other House Cars.’’ center and ‘‘Excess height car’’ to the
(3) Location. One (1) near each side of right of center.
each end of car on outer edge of end (2) Lettering to be not less than three
platform, projecting downward with (3) inches high. On each side-sill near
clearance of outer end not more than end corner there shall be painted a yel-
sixteen (16) inches from side of car. low rectangular area with a three-
(4) Manner of application. Same as fourths (3⁄4) inch black border con-
specified for ‘‘Box and Other House taining the words ‘‘This car excess
Cars.’’ height—no running board.’’ Lettering
(g) Horizontal end-platform to be not less than one and one-half
handholds—(1) Number. Two (2). (11⁄2) inches high. When car is equipped
(2) Dimensions. Same as specified for with center sill or underframe cush-
‘‘Horizontal End Handholds’’ for ‘‘Box ioning device having more than twelve
and Other House Cars,’’ except length (12) inches longitudinal impact absorb-
shall extend across end of car. ing travel, and a part of the uncoupling
(3) Location. Extending across each device and/or brake pipe is located par-
end of car, not less than forty-eight (48) allel to the exposed end of the center
nor more than sixty (60) inches above sill, such part shall provide at least
tread of end-platform with clearance at two (2) inches of clearance near the
each end of not more than four (4) coupler of sufficient length to permit
inches from side of car, supported by use as an emergency handhold during
an extra leg near center of handholds. air hose coupling operation and the top
(4) Manner of application. Same as of exposed ends of sliding center sill
specified for ‘‘Horizontal End shall be coated with anti-skid paint.
Handholds’’ for ‘‘Box and Other House [33 FR 19663, Dec. 25, 1968, as amended at 40
Cars.’’ FR 34347, Aug. 15, 1975]
(h) Vertical end-handholds—(1) Num-
ber. Four (4). § 231.25 Track motorcars (self-pro-
(2) Dimensions. Minimum diameter pelled 4-wheel cars which can be
five-eighths (5⁄8) of an inch, wrought removed from the rails by men).
iron or steel. Minimum clearance, two (a) Handbrakes (includes foot operated
(2), preferably two and one-half (21⁄2) brake). Each track motorcar shall be
inches. equipped with an efficient handbrake
(3) Location. One (1) on each side of so located that it can be safely oper-
each end of car, not more than four (4) ated while the car is in motion. Each
inches from side of car, extending handbrake shall be equipped with a
downward from end of horizontal end- ratchet or other suitable device which
598
will provide a means of keeping the NOTE: Sections 231.25 and 231.26 are applica-
brake applied when car is not in mo- ble only when the vehicles governed thereby
tion. are coupled together and moved together.
NOTE: The requirements of this rule will be § 231.27 Box and other house cars
satisfied if the ratchet or other suitable de- without roof hatches or placed in
vice operates in connection with at least one service after October 1, 1966.
handbrake on track motorcars that may be (a) Handbrakes. The handbrake may
equipped with more than one such brake.
be of any efficient design, but must
(b) Handholds. One or more safe and provide the same degree of safety as, or
suitable handholds conveniently lo- a greater degree of safety than, the fol-
cated shall be provided. Each handhold lowing specifications:
shall be securely fastened to car. (1) Number. (i) Each box or other
(c) Sill steps or footboards. Each track house car without roof hatches shall be
motorcar shall be equipped with safe equipped with an efficient vertical
and suitable sill steps or footboards wheel handbrake which shall operate in
conveniently located and securely fas- harmony with the power brake there-
tened to car when bed or deck of track on.
motorcar is more than 24 inches above (ii) The handbrake may be of any ef-
top of rail. ficient design, but must provide a total
(d) Couplers. When used to haul other braking force applied to brake shoes
cars, each track motorcar shall be not less than the total force applied to
equipped with a coupler at each end the brake shoes by the brake cylinders
where such cars are coupled (1) which at 50 pounds per square inch.
provides a safe and secure attachment, (2) Dimensions. (i) The brake wheel
(2) which can be coupled or uncoupled may be deep or shallow, of malleable
without the necessity of men going be- iron, wrought iron, steel, or other ma-
terial of equivalent strength.
tween the ends of the cars.
(ii) Overall diameter of brake wheel
§ 231.26 Pushcars. nominally twenty-two (22) inches.
(iii) Depth of brake wheel hub shall
(a) Handbrakes. When used to trans- be two and five-eighths (25⁄8) inches
port persons, each pushcar shall be with square taper shaft fit, taper two
equipped with an efficient handbrake (2) inches in twelve (12) inches with
so located that it can be safely oper- small end of taper fit seven-eighths (7⁄8)
ated while the car is in motion. inches.
(b) Handholds (includes handles). Each (iv) Brake wheel and drum shall be
pushcar shall be provided with one or arranged so that both will revolve
more secure handholds. When used to when applying and gradually releasing
transport persons, each pushcar shall the handbrake. Handbrake shall be pro-
be provided with one or more safe and vided with means to prevent applica-
suitable handholds conveniently lo- tion of the brake by winding in a coun-
cated above the top of the bed of each terclockwise direction.
pushcar. (v) Brake shaft shall be arranged
(c) Sill steps or footboards. When used with a square fit at its outer end to se-
to transport persons, each pushcar cure the handbrake wheel; said square
shall be equipped with safe and suitable fit shall be not less than seven-eighths
sillsteps or footboards conveniently lo- (7⁄8) of an inch square. Square-fit taper:
cated and securely fastened to car, Nominally two (2) in twelve (12) inches
when bed or deck of pushcar is more (see Plate A).
than 24 inches above top of rail. (vi) All chains shall be not less than
(d) Couplers. When moved together nine-sixteenths (9⁄16) inch BBB coil
with other vehicles, each pushcar shall chain.
be equipped with a coupler at each end (vii) All handbrake rods shall be not
where such vehicles are coupled (1) less than three-fourths (3⁄4) inch diame-
which provides a safe and secure at- ter.
tachment, and (2) which can be coupled (3) Location. (i) The handbrake shall
or uncoupled without the necessity of be so located that it can be safely oper-
men going between the ends of the ated from horizontal end platform
cars. while car is in motion.
599
§ 231.27 49 CFR Ch. II (10–1–11 Edition)
(ii) The brake shaft shall be located a greater degree of safety than wood of
on end of car, to the left of and not less 11⁄8 inches thickness. When made of ma-
than seventeen (17) nor more than terial other than wood the tread sur-
twenty-two (22) inches from center and face shall be of anti-skid design and
not less than twenty-six (26) nor more constructed with sufficient open space
than forty (40) inches above top of end- to permit the elimination of snow and
platform tread. ice from the tread surface.
(4) Manner of application. (i) Brake (c) Sill steps—(1) Number. Four (4).
wheel shall be held in position on brake (2) Dimensions. Minimum cross-sec-
shaft by a nut on a threaded extended tional area one-half (1⁄2) by one and
end of brake shaft; said thread portion one-half (11⁄2) inches, or equivalent, of
shall be not less than three-fourths (3⁄4) wrought iron, steel, or other material
of an inch in diameter; said nut shall of equivalent strength. Minimum
be secured by riveting over or by the length of tread, ten (10), preferably
use of a locknut or suitable cotter. twelve (12) inches. Minimum clear
(ii) Outside edge of brake wheel shall depth, eight (8) inches.
be not less than four (4) inches from a (3) Location. (i) One (1) near each end
vertical plane parallel with end of car of each side car, so that there shall be
and passing through the inside face of no more than eighteen (18) inches from
knuckle when closed with coupler horn end of car to center of tread of sill step.
against the buffer block or end sill. (ii) Outside edge of tread of step shall
(iii) Handbrake housing shall be se- be not more than four (4) inches inside
curely fastened to car. of face of side of car, preferably flush
(b) End platforms—(1) Number. Two (2). with side of car.
(2) Dimensions. Width not less than (iii) Tread shall be not more than
eight (8) inches; length, not less than twenty-four (24), preferably not more
sixty (60) inches. than twenty-two (22) inches above the
(3) Location. One (1) centered on each top of rail.
end of car between inner ends of (4) Manner of application. (i) Sill steps
handholds not more than eight (8) exceeding twenty-one (21) inches in
inches above top of center sill. depth shall have an additional tread.
(4) Manner of application. (i) Each end (ii) Sill steps shall be securely fas-
platform shall be securely supported by tened with not less than one-half (1⁄2)
not less than three (3) metal braces inch bolts with nuts outside (when pos-
having a minimum cross sectional area sible) and riveted over, or with not less
of three-eighths (3⁄8) by one and one- than one-half (1⁄2) inch rivets.
half (11⁄2) inches or equivalent, which (d) End ladder (appliances) clearance.
shall be securely fastened to body of No part of car above end sills within
car with not less than one-half (1⁄2) inch thirty (30) inches from side of car, ex-
bolts or rivets. cept buffer block, brake shaft, brake
(ii) Where conventional draft gear or wheel, end platform, horizontal end
cushioning device having longitudinal handholds, or uncoupling lever shall
travel less than six (6) inches is used extend to within twelve (12) inches of a
the outside edge of each end platform vertical plane parallel with end of car
shall be not less than twelve (12) inches and passing through the inside face of
from a vertical plane parallel with end knuckle, when closed with the coupler
of car and passing through the inside horn against the buffer block or end
face of knuckle when closed with cou- sill and cushioning device (if used) at
pler horn against buffer block. Where full buff, and no other part of end of
cushioning device having longitudinal car or fixtures on same above end sill,
travel six (6) inches or more is used the other than exceptions herein noted,
outside edge of each end platform shall shall extend beyond outer face of buffer
be not less than six (6) inches from a block.
vertical plane parallel with end of car (e) Side handholds—(1) Number. Six-
and passing through the inside face of teen (16).
knuckle when closed with end sill and (2) Dimensions. Minimum diameter,
cushioning device at full buff. End five-eighths (5⁄8) of an inch, wrought
platform shall be made of wood or of iron, steel, or other material of equiva-
material which provides the same as or lent strength. Minimum clear length,
600
sixteen (16) inches, preferably twenty- ward projection not less than two (2)
four (24) inches. Minimum clearance, inches in height near inside end.
two (2), preferably two and one-half (g) Horizontal end-platform
(21⁄2) inches. handholds—(1) Number. Two (2).
(3) Location. Horizontal; four (4) near (2) Dimensions. (i) Minimum diame-
each end and on each side of car spaced ter, five-eighths (5⁄8) of an inch,
not more than nineteen (19) inches wrought iron, steel, or other material
apart and with the bottom handhold lo- of equivalent strength.
cated not more than twenty-one (21) (ii) Minimum clearance, two (2) pref-
inches from top tread of sill step, and erably two and one-half (21⁄2) inches.
top handhold shall coincide in height (iii) Minimum clear length sixty (60)
with top end handhold, a variation of inches. When security of attachment
two (2) inches being allowed. Spacing requires, an extra supporting leg may
of side handholds shall be uniform be applied near center of clear length.
within a limit of two (2) inches from (3) Location. One (1) on each end of
top handhold to bottom handhold. car above end platform. Outer legs
Clearance of outer ends of handholds shall be not more than six (6) inches
shall be not more than eight (8) inches from inner legs of top end handholds.
from end of car. Height above tread of end platform:
(4) Manner of application. Side Not less than forty-eight (48) nor more
handholds shall be securely fastened than sixty (60) inches.
with not less than one-half (1⁄2) inch (4) Manner of application. End-plat-
bolts with nuts outside (when possible) form handholds shall be securely fas-
and riveted over, or with not less than tened with not less than one-half (1⁄2)
one-half (1⁄2) inch rivets. Each bottom inch bolts with nuts outside (when pos-
handhold shall have foot guard or up- sible) and riveted over, or with not less
than one-half (1⁄2) inch rivets.
ward projection not less than two (2)
(h) Uncoupling levers—(1) Number. Two
inches in height near inside end.
(2).
(f) End handholds—(1) Number. Six-
(2) Dimensions. (i) Handles of uncou-
teen (16). pling levers, except those shown on
(2) Dimensions. (i) Minimum diame- Plate B or of similar designs, shall be
ter, five-eighths (5⁄8) of an inch, not more than six (6) inches from side
wrought iron, steel, or other material of car.
of equivalent strength. (ii) Uncoupling levers of design
(ii) Minimum clear length, sixteen shown on Plate B and of similar de-
(16) inches, preferably twenty-four (24) signs shall conform to the following
inches. prescribed limits:
(iii) Minimum clearance, two (2) pref- (a) Handles shall be not more than
erably two and one-half (21⁄2) inches. twelve (12), preferably nine (9) inches
(3) Location. Horizontal: Four (4) near from sides of car. Center lift arms shall
each side and on each end of car spaced be not less than seven (7) inches long.
not more than nineteen (19) inches (b) Center of eye at end of center lift
apart and with the bottom handhold lo- arm shall be not more than three and
cated not more than twenty-one (21) one-half (31⁄2) inches beyond center of
inches from top tread of sill step, and eye of uncoupling pin of coupler when
top handhold shall coincide in height horn of coupler is against the buffer
with end platform handholds, a vari- block or end sill (see Plate B).
ation of two (2) inches being allowed. (c) End of handles shall extend not
Clearance of outer ends of handholds less than four (4) inches below bottom
shall be not more than eight (8) inches of end sill or shall be so constructed as
from side of car. to give a minimum clearance of two (2)
(4) Manner of application. End inches around handle. Minimum drop
handholds shall be securely fastened of handles shall be twelve (12) inches;
with not less than one-half (1⁄2) inch maximum, fifteen (15) inches overall
bolts with nuts outside (when possible) (see Plate B).
and riveted over, or with not less than (iii) Handles of uncoupling levers of
one-half (1⁄2) inch rivets. Each bottom the ‘‘rocking’’ or ‘‘push-down’’ type
handhold shall have foot guard or up- shall be not less than eighteen (18)
601
§ 231.28 49 CFR Ch. II (10–1–11 Edition)
inches from top of rail when lockblock end platforms and end platform
has released knuckle, and a suitable handholds.
stop shall be provided to prevent inside (j) Painting and marking. Box and
arm from flying up in case of breakage. other house cars with roofs 16 feet and
(3) Location. One (1) on each end of 10 inches or more above top of rail
car. When single lever is used, it shall shall be painted and marked as follows:
be placed on left side of end of car. (1) That portion of each end of the
(i) Existing box and other house cars car which is more than fifteen (15) feet
without roof hatches. (1) Box and other above top of rail shall be painted with
house cars without roof hatches built contrasting reflectorized paint and
on or before April 1, 1966, or under con- bear the words ‘‘excess height car’’ in
struction prior thereto and placed in lettering not less than three (3) inches
service before October 1, 1966, shall be high; and
deemed equipped as nearly as possible (2) On each side sill near end corner
within the intent of § 231.1 and of this there shall be painted or otherwise dis-
section when: played a yellow rectangular area with
(i) The running board, roof handholds
a three-fourths (3⁄4) inch black border
over side and end ladders at ‘‘A’’ end of
containing the words ‘‘this car excess
car and ladder treads above the fourth
height’’ in lettering not less than one
tread from bottom of side and end lad-
and one-half (11⁄2) inches high.
der at ‘‘A’’ end are removed;
(ii) One (1) horizontal end-platform (Secs. 2, 4, and 6, 27 Stat. 531, as amended;
handhold is applied on each end of car secs, 1 and 3, 32 Stat. 943, as amended; sec.
as specified in this section except the 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8,
right hand end shall be not more than and 10, 11–16 and 49 U.S.C. 103(c)(1))
eight (8) inches from side of car, or [33 FR 19663, Dec. 25, 1968, as amended at 40
where car end contour makes imprac- FR 34347, Aug. 15, 1975; 49 FR 26745, June 29,
tical the use of a single continuous end 1984]
handhold, there is applied the equiva-
lent consisting of two (2) handholds, § 231.28 Box and other house cars with
the center handhold to be a minimum roof hatches built or placed in serv-
of thirty (30) inches in clear length and ice after October 1, 1966.
the handhold to the right to be a min- The specifications of § 231.27 shall
imum of nineteen (19) inches in clear apply except as to the following:
length and to extend to within eight (8) (a) Running boards. Same as specified
inches of the right side of the car, such in § 231.1, except: the end of longitu-
handholds to be not more than twelve dinal running board shall be not less
(12) inches apart; and than six (6) inches from a vertical
(iii) With handbrake operated near plane parallel with end of car and pass-
roof of car: a brake step shall be pro- ing through the inside face of knuckle
vided as specified in § 231.1 and let- when closed with coupler horn against
tering one and one-half (11⁄2) inches buffer block or end sill.
high shall be painted on a yellow back- (b) Ladders—(1) Number. Two (2).
ground on side sill near ‘‘B’’ end of car (2) Dimensions. (i) Minimum clear
with a three-fourths (3⁄4) inch black length of tread: Sixteen (16) inches.
border containing the words ‘‘Keep Off
(ii) Maximum spacing between treads
Roof—No Running Board,’’ or with
nineteen (19) inches.
handbrake operated from approximate
level of top of end sill: roof handholds (3) Location. One (1) on each end of
and side and end ladder treads above car not more than eight (8) inches from
the fourth tread from the bottom of left-hand side.
ladders at ‘‘B’’ end of car shall be re- (4) Manner of application. Same as
moved and a brake step as specified by specified in § 231.1.
§ 231.1 shall be used with top of tread (c) Roof handholds—(1) Number. Two
surface being level with or not more (2), one (1) over each ladder.
than four (4) inches below adjacent end (2) Dimensions. Same as specified in
handhold. § 231.1.
(2) Paragraph (i)(1)(ii) of this section (3) Location. On roof of car. One (1)
shall not apply to cars equipped with parallel to treads of each ladder, not
602
less than eight (8) nor more than fif- mechanism is in its normal position or
teen (15) inches from edge of roof, ex- when it is operated. Each carrier shall
cept on refrigerator cars where ice so equip forty percent (40 percent) of
hatches prevent, when location may be its road locomotives by October 1, 1977,
nearer edge of roof. seventy percent (70 percent) by October
(4) Manner of application. Same as 1, 1978, and all its road locomotives by
specified in § 231.1. October 1, 1979.
(d) End handholds. (Treads of end lad-
[41 FR 37783, Sept. 8, 1976]
ders are end handholds.) Same as speci-
fied for § 231.27. § 231.30 Locomotives used in switching
(e) Existing box and other house cars service.
with roof hatches. Box and other house
(a) General requirements. (1) Except for
cars with roof hatches built on or be-
steam locomotives equipped as pro-
fore April 1, 1966, or under construction
vided in § 231.16 of this part, all loco-
prior thereto and placed in service be-
motives used in switching service built
fore October 1, 1966, shall be deemed
after March 31, 1977, must be equipped
equipped as nearly as possible within
as provided in this section.
the intent of § 231.1 and of this section (2) Except for steam locomotives
when: Equipped as specified in § 231.1, equipped as prescribed in § 231.16 of this
except (1) the side ladder treads above part, all locomotives built prior to
the fourth tread from bottom of side April 1, 1977, used in switching service
ladder near ‘‘A’’ end of car and roof after September 30, 1979, shall be
handhold over the side ladder near ‘‘A’’ equipped as provided in this section.
end shall be removed; (2) and (1) end Each carrier shall so equip forty per-
platform handhold shall be provided on cent (40 percent) of such locomotives
each end of car as specified in by October 1, 1977, seventy percent (70
§ 231.27(i); and when handbrake is oper- percent) by October 1, 1978, and all such
ated near roof of car a brake step shall locomotives by October 1, 1979.
be provided as specified by § 231.1 or (3) Locomotives without corner stair-
when handbrake is operated from ap- way openings may not be used to per-
proximate level of top of end sill the form any switching service after Sep-
roof handhold over side ladder near tember 30, 1979 except passenger car
‘‘B’’ end and treads above the fourth switching service at passenger sta-
tread from bottom of side ladder near tions.
‘‘B’’ end shall be removed and a brake (b) Definitions. (1) Locomotive used in
step as specified in § 231.1 shall be used switching service means a locomotive
with top of tread surface level with or regularly assigned to perform yard
not more than four (4) inches below ad- switching service.
jacent end handhold. (2) Switching service means the classi-
(Secs. 2, 4, and 6, 27 Stat. 531, as amended; fication of cars according to com-
secs, 1 and 3, 32 Stat. 943, as amended; sec. modity or destination; assembling of
6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8, cars for train movements; changing the
and 10, 11–16 and 49 U.S.C. 103(c)(1)) position of cars for purposes of loading,
[33 FR 19663, Dec. 25, 1968, as amended at 49 unloading, or weighing, placing of loco-
FR 26745, June 29, 1984] motives and cars for repair or storage;
or moving of rail equipment in connec-
§ 231.29 Road locomotives with corner tion with work service that does not
stairways. constitute a road movement. However,
After September 30, 1979, road loco- this term does not include movement
motives with corner stairway openings of a train or part of a train within yard
must be equipped with (a) uncoupling limits by the road locomotive and the
mechanisms that can be operated safe- placement of locomotives or cars in a
ly from the bottom stairway opening train or their removal from a train by
step as well as ground level, and (b) the the road locomotive while en route to
vertical handholds and horizontal end the train’s destination.
handholds prescribed in § 231.30(e) and (3) Safety tread surface means that
(g). No part of the uncoupling mecha- portion of anti-skid surface of a switch-
nism may extend into the stairway ing step that actually is contacted by a
opening or end platform area when the shoe or boot.
603
§ 231.30 49 CFR Ch. II (10–1–11 Edition)
(4) Uncoupling mechanism means the (24) inches wide on locomotives built
arrangement for operating the coupler after March 31, 1977.
lock lift, including the uncoupling (5) Material. (i) Steel or other mate-
lever and all other appurtenances that rial of equivalent or better strength
facilitate operation of the coupler. and deflection characteristics, anti-
(c) Switching step—(1) Number. Each skid, safety design, having at least
locomotive used in switching service fifty percent (50%) of the tread surface
must have four (4) switching steps. (See as open space must be used.
Plate A) (ii) When the step material creates a
(2) Dimensions. Each such switching second level safety tread surface, the
step must have— maximum difference in surface levels
(i) On locomotives built after March may not exceed three-eighths (3⁄8) of an
31, 1977, a minimum width of twenty- inch.
four (24) inches and a minimum depth (iii) The safety tread surface must
of twelve (12) inches, except when nec- extend to within one-half (1⁄2) inch of
essary to accommodate the turning arc each edge of the step.
of a six-wheel truck and its appur- (6) Visibility. The outer edge of each
tenances, the inside edge of the switch- switching step that is not illuminated
ing step shall have a minimum width of must be painted a contrasting color.
seventeen (17) inches (See Plate B); On locomotives built after March 31,
1977, switching steps shall be illumi-
(ii) On locomotives built prior to
nated; on multiple-unit locomotive
April 1, 1977, a minimum width of
consists used in switching service, only
eighteen (18) inches, and a minimum
the front switching steps of the leading
depth of eight (8) inches;
unit and the rear switching steps of the
(iii) A backstop, solid or perforated, trailing unit must be illuminated.
with minimum height of backstop of (d) End footboards and pilot steps. (1)
six (6) inches above the safety tread Except for steam locomotives equipped
surface; and as provided in § 231.16, locomotives used
(iv) A height of not more than nine- in switching service built after March
teen (19) inches, preferably fifteen (15) 31, 1975, may not be equipped with end
inches, measured from top of rail to footboards or pilot steps.
the safety tread surface. (2) Except for steam locomotives
(3) Location. Switching steps must be equipped as provided in § 231.16, loco-
located on each side near each end of a motives used in switching service built
locomotive used in switching service. before April 1, 1975, may not be
The bottom step of the stairway at equipped with end footboards or pilot
these locations may also serve as a steps after September 30, 1978. When-
switching step if it meets all of the re- ever end footboards or pilot steps are
quirements of this section. removed from a locomotive, the uncou-
(4) Manner of application. (i) Switch- pling mechanism and horizontal end
ing steps must be supported by a handholds of the locomotive must be
bracket at each end and fastened to the modified to comply with paragraphs (f)
bracket by two bolts or rivets of at and (g) of this section.
least one-half (1⁄2) inch diameter or by (e) Vertical handholds. Each switching
a weldment of at least twice the step must be provided with two (2)
strength of a bolted attachment. vertical handholds or handrails, one on
(ii) Vertical clearance must be unob- each side of the switching step stair-
structed, except for minor intrusions way.
created by mechanical fasteners or a (1) On locomotives built after March
small triangular gusset plate at the 31, 1977, each vertical handhold must—
platform level walkway, and free for (i) Be constructed of wrought iron,
use for at least a distance of eighty- steel or other material of equivalent
four (84) inches over a portion of the strength and durability that is at least
switching step that is not less than one (1) inch diameter and be securely
seven (7) inches deep by eighteen (18) fastened to the locomotive with one-
inches wide on locomotives built prior half (1⁄2) inch or larger bolts or rivets;
to April 1, 1977, and of not less than (ii) Begin not less than six (6) inches
seven (7) inches deep by twenty-four nor more than thirty-two (32) inches
604
above the safety tread surface of the form area when the mechanism is in its
switching step; on units with high normal position or when it is operated.
snowplows, each must begin not more (See Plate A)
than thirty-six (36) inches above the (g) Horizontal end handholds. Each lo-
safety tread surface of the switching comotive used in switching service
step; must have four (4) horizontal end
(iii) Extend upward from switching handholds.
step surface at least forty-eight (48) (1) Each horizontal end handhold
inches; must—
(iv) Be painted in a contrasting color (i) Be constructed of wrought iron,
to a height of at least forty-eight (48) steel or other material of equivalent
inches above the safety tread surface of strength and durability that is at least
the switching step; and five-eighths (5⁄8) inch in diameter and
(v) Provide at least two and one-half be securely fastened to the locomotive
(21⁄2) inches of usable hand clearance with one-half (1⁄2) inch or larger bolts
throughout its entire length. or rivets;
(2) On locomotives built before April
(ii) Be located not less than thirty
1, 1977, each vertical handhold must—
(i) Be constructed of wrought iron, (30) inches nor more than fifty (50)
steel or other material of equivalent inches above the top of rail with its
strength and durability that is at least outer end not more than 16 inches from
seven-eighths (7⁄8) inch in diameter and the side of the locomotive; on units
be securely fastened with one-half (1⁄2) with a high snowplow that makes nor-
inch or larger bolts or rivets; mal end handhold location inacces-
(ii) Begin not less than five (5) inches sible, end handhold shall be located on
nor more than thirty-two (32) inches top of plow blade, with the center of
above the safety tread surface; on units the handhold not more than fifty-three
with high snowplows, each must begin (53) inches above the top of rail, and be
not more than thirty-six (36) inches in line with the slope of the plow blade;
above the safety tread surface; (iii) Be at least fourteen (14) inches
(iii) Extend upward from safety tread long; and
surface of the switching step at least (iv) Provide at least two (2) inches,
forty-eight (48) inches; preferably two and one-half (21⁄2)
(iv) Be painted in a contrasting color inches, usable hand clearance through-
to a height of at least forty-eight (48) out its entire length.
inches above the safety tread surface of (2) An uncoupling lever may also
the switching step; and serve as a horizontal end handhold if it
(v) Provide at least two and one-half complies with the requirements of this
(21⁄2) inches usable hand clearance paragraph. When an uncoupling lever
throughout its entire length. also serves as the horizontal end hand-
(f) Uncoupling mechanisms. Each loco- hold, it is considered to be securely fas-
motive used in switching service must tened if its securement brackets are at-
have means for operating the uncou- tached to the locomotive by one-half
pling mechanism safely from the (1⁄2) inch or larger bolts or rivets and
switching step as well as from ground its movement between those brackets
level. No part of the uncoupling mecha- is limited to the rotation necessary for
nism may extend into the switching performance of the uncoupling func-
step or stairway opening or end plat- tion.
605
§ 231.30 49 CFR Ch. II (10–1–11 Edition)
606
EC01AP91.007</GPH>
[41 FR 37783, Sept. 8, 1976]
§ 231.31 Drawbars for freight cars; (4) On railroads operating on track

standard height. with a gage other than those contained
(a) Except on cars specified in para- in paragraphs (a)(1) through (a)(3) of
graph (b) of this section— this section, the maximum and min-
(1) On standard gage (561⁄2-inch gage) imum height of drawbars for freight
railroads, the maximum height of cars operating on those railroads shall
drawbars for freight cars (measured be established upon written approval of
perpendicularly from the level of the FRA.
tops of the rails to the centers of the (b) This section shall not apply to a
drawbars) shall be 341⁄2 inches, and the railroad all of whose track is less than
minimum height of drawbars for 24 inches in gage.
freight cars on such standard gage rail-
roads (measured in the same manner) [66 FR 4192, Jan. 17, 2001]
shall be 311⁄2 inches.
(2) On 36-inch gage railroads, the § 231.33 Procedure for special ap-
maximum height of drawbars for proval of existing industry safety
appliance standards.
freight cars (measured perpendicularly
from the level of the tops of the rails to (a) General. The following procedures
the centers of the drawbars) shall be 26 govern the submission, consideration
inches, and the minimum height of and handling of any petition for special
drawbars for freight cars on such 36- approval of an existing industry safety
inch gage railroads (measured in the appliance standard for new construc-
same manner) shall be 23 inches. tion of railroad cars, locomotives,
(3) On 24-inch gage railroads, the tenders, or other rail vehicles.
maximum height of drawbars for (b) Submission. An industry represent-
freight cars (measured perpendicularly ative may submit a petition for special
from the level of the tops of the rails to approval of an existing industry safety
the centers of the drawbars) shall be appliance standard for new construc-
171⁄2 inches, and the minimum height of
tion. A petition for special approval of
drawbars for freight cars on 24-inch
an industry standard for safety appli-
gage railroads (measured in the same
manner) shall be 141⁄2 inches. ances shall include the following:
607
EC01AP91.008</GPH>
§ 231.33 49 CFR Ch. II (10–1–11 Edition)
(1) The name, title, address, and tele- (2) Service of each petition for spe-
phone number of the primary indi- cial approval of an existing industry
vidual to be contacted with regard to safety appliance standard under para-
review of the petition. graph (b) of this section shall be made
(2) An existing industry-wide stand- on the following:
ard that, at a minimum: (i) Designated representatives of the
(i) Identifies the type(s) of equipment employees responsible for the equip-
to which the standard would be appli- ment’s operation, inspection, testing,
cable and the section or sections with- and maintenance under this part;
in the safety appliance regulations (ii) Any organizations or bodies that
that the existing industry standard either issued the standard to which the
would operate as an alternative to for special approval pertains or issued the
new car construction; industry standard that is proposed in
(ii) Ensures, as nearly as possible, the petition; and
based upon the design of the equip- (iii) Any other person who has filed
ment, that the standard provides for with FRA a current statement of inter-
the same complement of handholds, sill est in reviewing special approvals
steps, ladders, hand or parking brakes, under the particular requirement of
running boards, and other safety appli- this part at least 30 days but not more
ances as are required for a piece of than 5 years prior to the filing of the
equipment of the nearest approximate petition. If filed, a statement of inter-
type(s) already identified in this part; est shall be filed with the FRA Docket
(iii) Complies with all statutory re- Clerk, West Building Third Floor, Of-
quirements relating to safety appli- fice of Chief Counsel, 1200 New Jersey
ances contained at 49 U.S.C. 20301 and Avenue, SE., Washington, DC 20590, and
20302; and shall reference the specific section(s) of
(iv) Addresses the specific number, this part in which the person has an in-
dimension, location, and manner of ap- terest. A statement of interest that
plication of each safety appliance con- properly references the specific sec-
tained in the industry standard; tion(s) in which the person has an in-
(3) Appropriate data or analysis, or terest will be posted in the docket to
both, for FRA to consider in deter- ensure that each statement is acces-
mining whether the existing industry sible to the public.
standard will provide at least an equiv- (d) FEDERAL REGISTER document.
alent level of safety; FRA will publish a document in the
(4) Drawings, sketches, or other vis- FEDERAL REGISTER announcing the re-
ual aids that provide detailed informa- ceipt of each petition received under
tion relating to the design, location, paragraph (b) of this section. The docu-
placement, and attachment of the safe- ment will identify the public docket
ty appliances; number in the Federal eRulemaking
(5) A demonstration of the ergonomic Portal (FeP) where the contents of
suitability of the proposed arrange- each petition can be accessed and re-
ments in normal use; and viewed. The FeP can be accessed 24
(6) A statement affirming that the hours a day, seven days a week, via the
petitioner has served a copy of the pe- Internet at the docket’s Web site at
tition on designated representatives of http://www.regulations.gov. All docu-
the employees responsible for the ments in the FeP are available for in-
equipment’s operation, inspection, spection and copying on the Web site
testing, and maintenance under this or are available for examination at the
part, together with a list of the names DOT Docket Management Facility,
and addresses of the persons served. West Building Ground Floor, Room
(c) Service. (1) Each petition for spe- W12–140, 1200 New Jersey Avenue, SE.,
cial approval under paragraph (b) of Washington, DC 20590, during regular
this section shall be submitted to the business hours (9 a.m.–5 p.m.).
FRA Docket Clerk, West Building (e) Comment. Not later than 60 days
Third Floor, Office of Chief Counsel, from the date of publication in the
1200 New Jersey Avenue, SE., Wash- FEDERAL REGISTER concerning a peti-
ington, DC 20590. tion received pursuant to paragraph (b)
608
of this section, any person may com- isting industry standard provides at
ment on the petition. Any such com- least an equivalent level of safety as
ment shall: the existing FRA standards. Where the
(1) Set forth specifically the basis petition is returned to the petitioner,
upon which it is made and contain a FRA will provide written notice to the
concise statement of the interest of the petitioner of the item(s) identified by
commenter in the proceeding; and FRA as requiring additional consider-
(2) Be submitted by mail or hand-de- ation. Petitioner shall reply within 60
livery to the Docket Clerk, DOT Dock- days from the date of FRA’s written
et Management Facility, West Building notice of return for additional consid-
Ground Floor, Room W12–140, 1200 New eration or the petition will be deemed
Jersey Avenue, SE., Washington, DC withdrawn, unless good cause is shown.
20590, or electronically via the Internet Petitioner’s reply shall:
at http://www.regulations.gov. Any com- (A) Address the item(s) raised by
ments or information sent directly to FRA in the written notice of the return
FRA will be immediately provided to of the petition for additional consider-
the DOT FeP for inclusion in the public ation;
docket related to the petition. All com- (B) Comply with the submission re-
ments should identify the appropriate quirements of paragraph (b) of this sec-
docket number for the petition to tion; and
which they are commenting. (C) Comply with the service require-
(f) Disposition of petitions. (1) FRA will ments in paragraph (c) of this section.
conduct a hearing on a petition in ac- (4) When FRA grants or denies a peti-
cordance with the procedures provided tion, or returns a petition for addi-
in § 211.25 of this chapter, if necessary. tional consideration, written notice
(2) FRA will normally act on a peti- will be sent to the petitioner and other
tion within 90 days of the close of the interested parties.
comment period related to the peti- (5) If a petition is granted, it shall go
tion. If the petition is neither granted into effect on the date specified in
nor denied within that timeframe, the FRA’s written notice granting the peti-
petition will remain pending unless tion. If no date is specified in FRA’s
withdrawn by the petitioner. written notice granting the petition,
(3) A petition may be: the effective date shall begin on Janu-
(i) Granted where it is determined ary 1st, not less than one (1) year and
that the petition complies with all ap- not more than two (2) years from the
plicable Federal statutes, that the peti- date of FRA’s written notice granting
tion complies with the requirements of the petition. FRA will place a copy of
this section, and the existing industry the approved industry safety appliance
safety appliance standard provides at standard in the related public docket
least an equivalent level of safety as where it can be accessed by all inter-
the existing FRA standards; ested parties.
(ii) Denied where it is determined (6) A petition, once approved, may be
that the petition does not comply with re-opened upon good cause shown. Good
an applicable Federal statute, the peti- cause exists where subsequent evidence
tion does not comply with the require- demonstrates that an approved peti-
ments of this section, or the existing tion does not comply with an applica-
industry safety appliance standard ble Federal statute; that the approved
does not provide at least an equivalent petition does not comply with the re-
level of safety as the existing FRA quirements of this section; that the ex-
standards; or isting industry safety appliance stand-
(iii) Returned to the petitioner for ard does not provide at least an equiva-
additional consideration where it is de- lent level of safety as the cor-
termined that further information is responding FRA regulation for the
required or that the petition may be nearest railcar type(s); or that further
amended in a reasonable manner to information is required to make such a
comply with all applicable Federal determination. When a petition is re-
statutes, that petition may be amended opened for good cause shown, it shall
to comply with the requirements of return to pending status and shall not
this section, or to ensure that the ex- be considered approved or denied.
609
§ 231.35 49 CFR Ch. II (10–1–11 Edition)
(g) Enforcement. Any industry stand- erence the specific section(s) of this
ard approved pursuant to this section part in which the person has an inter-
will be enforced against any person, as est.
defined at 49 CFR 209.3, who violates (c) FEDERAL REGISTER document.
any provision of the approved standard Upon receipt of a petition for modifica-
or causes the violation of any such pro- tion, FRA will publish a document in
vision. Civil penalties will be assessed the FEDERAL REGISTER announcing the
under this part by using the applicable receipt of each petition received under
defect code contained in appendix A to paragraph (a) of this section. The docu-
this part. ment will identify the public docket
[76 FR 23726, Apr. 28, 2011] number in the Federal eRulemaking
Portal (FeP) where the contents of
§ 231.35 Procedure for modification of each petition can be accessed and re-
an approved industry safety appli- viewed. The FeP can be accessed 24
ance standard for new railcar con- hours a day, seven days a week, via the
struction.
Internet at the docket’s Web site at
(a) Petitions for modification of an ap- http://www.regulations.gov. All docu-
proved industry safety appliance stand- ments in the FeP are available for in-
ard. An industry representative may spection and copying on the Web site
seek modification of an existing indus- or are available for examination at the
try safety appliance standard for new DOT Docket Management Facility,
construction of railroad cars, loco- West Building Ground Floor, Room
motives, tenders, or other rail vehicles W12–140, 1200 New Jersey Avenue, SE.,
after the petition for special approval Washington, DC 20590, during regular
has been approved pursuant to § 231.33. business hours (9 a.m.–5 p.m.).
The petition for modification shall in- (d) Comment. Not later than 60 days
clude each of the elements identified in from the date of publication in the
§ 231.33(b). FEDERAL REGISTER concerning a peti-
(b) Service. (1) Each petition for modi- tion for modification under paragraph
fication of an approved industry stand- (a) of this section, any person may
ard under paragraph (a) of this section comment on the petition. Any such
shall be submitted to the FRA Docket comment shall:
Clerk, West Building Third Floor, Of-
(1) Set forth specifically the basis
fice of Chief Counsel, 1200 New Jersey
upon which it is made, and contain a
Avenue, SE., Washington, DC 20590.
concise statement of the interest of the
(2) Service of each petition for modi-
commenter in the proceeding; and
fication of an existing industry safety
appliance standard under paragraph (a) (2) Be submitted by mail or hand-de-
of this section shall be made on the fol- livery to the Docket Clerk, DOT Dock-
lowing: et Management Facility, West Building
(i) Designated representatives of the Ground Floor, Room W12–140, 1200 New
employees responsible for the equip- Jersey Avenue, SE., Washington, DC
ment’s operation, inspection, testing, 20590, or electronically via the Internet
and maintenance under this part; at http://www.regulations.gov. Any com-
(ii) Any organizations or bodies that ments or information sent directly to
either issued the standard incorporated FRA will be immediately provided to
in the section(s) of the rule to which the DOT FeP for inclusion in the public
the modification pertains or issued the docket related to the petition. All com-
industry standard that is proposed in ments should identify the appropriate
the petition for modification; and docket number for the petition to
(iii) Any other person who has filed which they are commenting.
with FRA a current statement of inter- (e) FRA Review. During the 60 days
est in reviewing special approvals provided for public comment, FRA will
under the particular requirement of review the petition. If FRA objects to
this part at least 30 days but not more the requested modification, written no-
than 5 years prior to the filing of the tification will be provided within this
petition. If filed, a statement of inter- 60-day period to the party requesting
est shall be filed with FRA’s Associate the modification detailing FRA’s ob-
Administrator for Safety and shall ref- jection.
610
(f) Disposition of petitions for modifica- that an approved petition does not
tion. (1) If no comment objecting to the comply with the requirements of this
requested modification is received dur- section; that the existing industry
ing the 60-day comment period, pro- safety appliance standard does not pro-
vided by paragraph (d) of this section, vide at least an equivalent level of
or if FRA does not issue a written ob- safety as the corresponding FRA regu-
jection to the requested modification, lation for the nearest railcar type(s); or
the modification will become effective that further information is required to
fifteen (15) days after the close of the make such a determination. When a pe-
60-day comment period. tition is re-opened for good cause
(2) If an objection is raised by an in- shown, it shall return to pending status
terested party, during the 60-day com- and shall not be considered approved or
ment period, or if FRA issues a written denied.
objection to the requested modifica- (g) Enforcement. Any modification of
tion, the requested modification will be an industry standard approved pursu-
treated as a petition for special ap- ant to this section will be enforced
proval of an existing industry safety against any person, as defined at 49
appliance standard and handled in ac- CFR 209.3, who violates any provision
cordance with the procedures provided of the approved standard or causes the
in § 231.33(f). violation of any such provision. Civil
(3) A petition for modification, once
penalties will be assessed under this
approved, may be re-opened upon good
part by using the applicable defect
cause shown. Good cause exists where
code contained in appendix A to this
subsequent evidence demonstrates that
part.
an approved petition does not comply
with the an applicable Federal statute, [76 FR 23726, Apr. 28, 2011]

Willful viola-
FRA safety appliance defect code section 2 Violation tion
110.A1 Hand Brake or Hand Brake Part Missing .............................................................................. $5,000 $7,500
110.A2 Hand Brake or Hand Brake Part Broken ............................................................................... 5,000 7,500
110.A3 Hand Brake or Hand Brake Part Loose or Worn ................................................................... 2,500 5,000
110.B1 Hand Brake Inoperative ......................................................................................................... 5,000 7,500
110.B2 Hand Brake Inefficient ............................................................................................................ 2,500 5,000
110.B3 Hand Brake Improperly Applied ............................................................................................. 2,500 5,000
110.B4 Hand Brake Incorrectly located .............................................................................................. 2,500 5,000
110.B5 Hand Brake Shaft Welded or Wrong Dimension ................................................................... 2,500 5,000
110.B6 Hand Brake Shaft Not Retained in Operating Position ......................................................... 2,500 5,000
110.B8 Hand Brake or Hand Brake Parts Wrong Design .................................................................. 2,500 5,000
114.B2 Hand Brake Wheel or Lever Has Insufficient Clearance Around Rim or Handle ................. 2,500 5,000
114.B3 Hand Brake Wheel/Lever Clearance Insufficient to Vertical Plane Through Inside Face of
Knuckle .............................................................................................................................................. 2,500 5,000
120.A1 Brake Step Missing Except by Design ................................................................................... 5,000 7,500
120.A2 Brake Step or Brace Broken or Decayed .............................................................................. 2,500 5,000
120.A3 Brake Step or Brace Loose .................................................................................................... 2,500 5,000
120.B1 Brake Step or Brace Bent ...................................................................................................... 2,500 5,000
120.B2 Brake Step or Wrong Dimensions ......................................................................................... 2,500 5,000
120.C1 Brake Step Improperly Applied .............................................................................................. 2,500 5,000
120.C2 Brake Step Improperly Located ............................................................................................. 2,500 5,000
120.C3 Brake Step With Less Than 4″ Clearance to Vertical Plane Through Inside Face of
Knuckle .............................................................................................................................................. 2,500 5,000
120.C4 Brake Step Obstructed or Otherwise Unsafe ........................................................................ 2,500 5,000
124.A1 Running Board Missing or Part Missing Except By Design .................................................. 5,000 7,500
124.A2 Running Board Broken or Decayed ....................................................................................... 5,000 7,500
124.A3 Running Board Loose Presents a Tripping Hazard or Other Unsafe Condition ................... 2,500 5,000
124.A4 Running Board Wrong Material .............................................................................................. 2,500 5,000
124.B1 Running Board Bent to the Extent that It is Unsafe .............................................................. 2,500 5,000
124.B2 Running Board Wrong Dimensions ........................................................................................ 2,500 5,000
124.B3 Running Board Wrong Location ............................................................................................. 2,500 5,000
124.C1 Running Board Improperly Applied ........................................................................................ 2,500 5,000
124.C2 Running Board Obstructed .................................................................................................... 2,500 5,000
126.A1 End Platform Missing or Part Except By Design ................................................................... 5,000 7,500
126.A2 End Platform Broken or Decayed .......................................................................................... 5,000 7,500
126.A3 End Platform Loose ................................................................................................................ 2,500 5,000
126.B1 End Platform or Brace Bent ................................................................................................... 2,500 5,000
611
Willful viola-
126.B2 End Platform Wrong Dimensions ........................................................................................... 2,500 5,000

126.C1 End Platform Improperly Applied ........................................................................................... 2,500 5,000
126.C2 End Platform With Less Than Required Clearance to Vertical Plane Through Inside
Knuckle .............................................................................................................................................. 2,500 5,000
126.C3 End Platform Improperly Located .......................................................................................... 2,500 5,000
126.C4 End Platform Obstructed ........................................................................................................ 5,000 7,500
128.A1 Platform or Switching Step Missing ....................................................................................... 5,000 7,500
128.A2 Platform or Switching Step Broken or Decayed .................................................................... 5,000 7,500
128.A3 Platform or Switching Step Loose .......................................................................................... 2,500 5,000
128.B1 Platform or Switching Step Bent ............................................................................................ 2,500 5,000
128.B2 Platform or Switching Step Does Not Meet the Required Location or Dimensions .............. 2,500 5,000
128.C1 Platform or Switching Step Improperly Applied or Repaired ................................................. 2,500 5,000
128.C2 Platform or Switching Step Obstructed .................................................................................. 2,500 5,000
128.D1 Switching Step Back Stop or Kick Plate Missing .................................................................. 2,500 5,000
128.D2 Switching Step Not Illuminated When Required .................................................................... 2,500 5,000
128.D3 Non-Illuminated Step Not Painted Contrasting Color ............................................................ 1,000 2,000
130.A1 Sill Step or Additional Tread, Missing .................................................................................... 5,000 7,500
130.A2 Sill Step or Additional Tread, Broken ..................................................................................... 5,000 7,500
130.A3 Sill Step or Additional Tread, Loose ...................................................................................... 2,500 5,000
130.B1 Sill Step or Additional Tread, Bent ......................................................................................... 2,500 5,000
130.B2 Sill Step or Additional Tread, Having Wrong Dimensions or Improperly Located ................ 2,500 5,000
130.B3 Sill Step Improperly Applied ................................................................................................... 2,500 5,000
132.A1 Side Missing Step .................................................................................................................. 5,000 7,500
132.A2 Side Door Step Broken .......................................................................................................... 5,000 7,500
132.A3 Side Door Step Loose ............................................................................................................ 2,500 5,000
132.B1 Side Door Step Bent .............................................................................................................. 2,500 5,000
132.B2 Side Door Step Having Wrong Dimensions ........................................................................... 2,500 5,000
134.A1 Ladder Missing ....................................................................................................................... 5,000 7,500
134.A2 Ladder Broken ........................................................................................................................ 5,000 7,500
134.A3 Ladder Loose ......................................................................................................................... 2,500 5,000
134.B1 Ladder Bent ............................................................................................................................ 2,500 5,000
134.B2 Ladder Having Wrong Dimensions ........................................................................................ 2,500 5,000
134.C1 Ladder Improperly Applied ..................................................................................................... 2,500 5,000
134.C2 Ladder Having Insufficient Clearance or Improperly Located ............................................... 2,500 5,000
134.C3 Ladder Wrong Design ............................................................................................................ 2,500 5,000
134.C4 Ladder Wrong Material .......................................................................................................... 2,500 5,000
134.D1 End Clearance Insufficient ..................................................................................................... 2,500 5,000
136.A1 Ladder Tread or Handholds Missing ...................................................................................... 5,000 7,500
136.A2 Ladder Tread or Handhold Broken ........................................................................................ 5,000 7,500
136.A3 Ladder Tread or Handhold Loose Except By Design ............................................................ 2,500 5,000
136.B1 Ladder Tread or Handhold Bent to The Extent That It May Be Unsafe ............................... 2,500 5,000
136.B2 Ladder Tread or Handhold Wrong Dimensions ..................................................................... 2,500 5,000
136.C1 Ladder Tread or Handhold Improperly Applied ..................................................................... 2,500 5,000
136.C2 Ladder Tread or Handhold Having Wrong Clearance ........................................................... 2,500 5,000
136.C3 Ladder or Handhold Improperly Located ............................................................................... 2,500 5,000
136.C4 Ladder Tread or Handhold Obstructed .................................................................................. 2,500 5,000
136.C5 Ladder Tread Without Footguards ......................................................................................... 2,500 5,000
138.A1 Hand or Safety Railing Missing .............................................................................................. 5,000 7,500
138.A2 Hand or Safety Railing Broken .............................................................................................. 5,000 7,500
138.A3 Hand or Safety Railing Loose Except by Design .................................................................. 2,500 5,000
138.B1 Hand or Safety Railing Bent .................................................................................................. 2,500 5,000
138.B2 Hand or Safety Railing Wrong Dimensions ........................................................................... 2,500 5,000
138.C1 Hand or Safety Railing Improperly Applied ........................................................................... 2,500 5,000
138.C2 Hand or Safety Railing Having Less Than the Required Clearance ..................................... 2,500 5,000
138.C3 Hand or Safety Railing Improperly Located ........................................................................... 2,500 5,000
140.A1 Uncoupling Lever Missing ...................................................................................................... 2,500 5,000
140.A2 Uncoupling Lever Broken or Disconnected ........................................................................... 2,500 5,000
140.B1 Uncoupling Lever Bent Will not Safely and Reasonably Function As Intended ................... 2,500 5,000
140.C1 Uncoupling Lever Bracket Bent Lever Will Not Function Properly ........................................ 2,500 5,000
140.C2 Uncoupling Lever Bracket Broken or Missing ....................................................................... 2,500 5,000
140.D1 Uncoupling Lever Wrong Dimension ..................................................................................... 2,500 5,000
140.D2 Uncoupling Lever With Improper Handle Clearance ............................................................. 2,500 5,000
144.A1 Coupler Missing ...................................................................................................................... 5,000 7,500
144.B1 Coupler Height Incorrect ........................................................................................................ 2,500 5,000
144.C1 Coupler Inoperative ................................................................................................................ 2,500 5,000
145.A1 Kick Plates Missing ................................................................................................................ 2,500 5,000
145.A2 Kick Plates Broken ................................................................................................................. 2,500 5,000
145.B1 Kick Plates Wrong Dimensions .............................................................................................. 2,500 5,000
145.B2 Kick Plates Improper Clearance ............................................................................................ 2,500 5,000
145.B3 Kick Plates Insecure Or Improperly Applied .......................................................................... 2,500 5,000
146.A Notice or Stencil not Posted on Cabooses with Running Boards Removed .......................... 650 1,000
146.B Safe Means not Provided to Clean or Maintain Windows of Caboose ................................... 1,000 2,000
612
Willful viola-
231.31 Drawbars, standard height ..................................................................................................... 2,500 5,000

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a
2 This schedule uses section numbers from FRA’s Safety Appliance Defect Code, a restatement of the CFR text in a reorga-
nized format. For convenience, and as an exception to FRA’s general policy, penalty citations will cite the defect code rather
than the CFR. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR and/or statutory
citation in place of the defect code section cited in the penalty demand letter.
[53 FR 52933, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998; 66 FR 4193, Jan. 17, 2001;
73 FR 79703, Dec. 30, 2008]
PART 232—BRAKE SYSTEM SAFETY Subpart D—Periodic Maintenance and

STANDARDS FOR FREIGHT AND Testing Requirements
OTHER NON-PASSENGER TRAINS 232.301 Scope.
AND EQUIPMENT; END-OF-TRAIN 232.303 General requirements.
DEVICES 232.305 Single car air brake tests.
232.307 Modification of the single car air
Subpart A—General brake test procedures.
232.309 Equipment and devices used to per-
Sec. form single car air brake tests.
232.1 Scope.
232.3 Applicability. Subpart E—End-of-Train Devices
232.5 Definitions.
232.7 Waivers. 232.401 Scope.
232.9 Responsibility for compliance. 232.403 Design standards for one-way end-of-
232.11 Penalties. train devices.
232.13 Preemptive effect. 232.405 Design and performance standards
232.15 Movement of defective equipment. for two-way end-of-train devices.
232.17 Special approval procedure. 232.407 Operations requiring use of two-way
232.19 Availability of records. end-of-train devices; prohibition on pur-
232.21 Information collection. chase of nonconforming devices.
232.409 Inspection and testing of end-of-
Subpart B—General Requirements train devices.
232.101 Scope. Subpart F—Introduction of New Brake

232.103 General requirements for all train System Technology
brake systems.
232.105 General requirements for loco- 232.501 Scope.
motives. 232.503 Process to introduce new brake sys-
232.107 Air source requirements and cold tem technology.
weather operations. 232.505 Pre-revenue service acceptance test-
232.109 Dynamic brake requirements. ing plan.
232.111 Train handling information.
Subpart G—Electronically Controlled
Subpart C—Inspection and Testing Pneumatic (ECP) Braking Systems
Requirements
232.601 Scope.
232.201 Scope. 232.602 Applicability.
232.203 Training requirements. 232.603 Design, interoperability, and con-
232.205 Class I brake tests—initial terminal figuration management requirements.
inspection.
232.605 Training requirements.
232.207 Class IA brake tests—1,000-mile in-
232.607 Inspection and testing requirements.
spection.
232.209 Class II brake tests—intermediate 232.609 Handling of defective equipment
inspection. with ECP brake systems.
232.211 Class III brake tests—trainline con- 232.611 Periodic maintenance.
tinuity inspection. 232.613 End-of-train devices.
232.213 Extended haul trains. APPENDIX A TO PART 232—SCHEDULE OF CIVIL
232.215 Transfer train brake tests. PENALTIES
232.217 Train brake tests conducted using APPENDIX B TO PART 232—PART 232 PRIOR TO
yard air. MAY 31, 2001 AS CLARIFIED EFFECTIVE
232.219 Double heading and helper service. APRIL 10, 2002
613
§ 232.1 49 CFR Ch. II (10–1–11 Edition)
AUTHORITY: 49 U.S.C. 20102–20103, 20107, suant to the requirements contained in
20133, 20141, 20301–20303, 20306, 21301–21302, this part or the requirements con-
21304; 28 U.S.C. 2461, note; and 49 CFR 1.49. tained in part 238 of this chapter or
SOURCE: 66 FR 4193, Jan. 17, 2001, unless they elect to comply earlier than oth-
otherwise noted. erwise required with the requirements
contained in this part or the require-
Subpart A—General ments contained in part 238 of this
chapter.
§ 232.1 Scope.
(a) This part prescribes Federal safe- FR 9906, Feb. 12, 2001]
ty standards for freight and other non-
passenger train brake systems and § 232.3 Applicability.
equipment. Subpart E of this part pre-
(a) Except as provided in paragraphs
scribes Federal safety standards not
(b) and (c) of this section, this part ap-
only for freight and other non-pas-
plies to all railroads that operate
senger train brake systems and equip-
freight or other non-passenger train
ment, but also for passenger train
service on standard gage track which is
brake systems. This part does not re-
part of the general railroad system of
strict a railroad from adopting or en-
transportation. This includes the oper-
forcing additional or more stringent re-
ation of circus trains and private cars
quirements not inconsistent with this
when hauled on such railroads.
part.
(b) Except as otherwise specifically (b) Subpart E of this part, ‘‘End-of-
provided in this paragraph or in this Train Devices,’’ applies to all trains op-
part, railroads to which this part ap- erating on track which is part of the
plies shall comply with all the require- general railroad system of transpor-
ments contained in subparts A through tation unless specifically excepted in
C and subpart F of this part beginning that subpart.
on April 1, 2004. Sections 232.1 through (c) Except as provided in § 232.1(d) and
232.13 and 232.17 through 232.21 of this paragraph (b) of this section, this part
part will become applicable to all rail- does not apply to:
roads to which this part applies begin- (1) A railroad that operates only on
ning on May 31, 2001. Subpart D of this track inside an installation that is not
part will become applicable to all rail- part of the general railroad system of
roads to which this part applies begin- transportation.
ning on August 1, 2001. Subpart E of (2) Intercity or commuter passenger
this part will become applicable to all train operations on standard gage
trains operating on track which is part track which is part of the general rail-
of the general railroad system of trans- road system of transportation;
portation beginning on May 31, 2001. (3) Commuter or other short-haul rail
(c) A railroad may request earlier ap- passenger train operations in a metro-
plication of the requirements con- politan or suburban area (as described
tained in subparts A through C and by 49 U.S.C. 20102(1)), including public
subpart F of this part upon written no- authorities operating passenger train
tification to FRA’s Associate Adminis- service;
trator for Safety. Such a request shall (4) Rapid transit operations in an
indicate the railroad’s readiness and urban area that are not connected with
ability to comply with all of the re- the general railroad system of trans-
quirements contained in those sub- portation;
parts. (5) Tourist, scenic, historic, or excur-
(d) Except for operations identified in sion operations, whether on or off the
§ 232.3(c)(1), (c)(4), and (c)(6) through general railroad system;
(c)(8), all railroads which are part of (6) Freight and other non-passenger
the general railroad system of trans- trains of four-wheel coal cars;
portation shall operate pursuant to the (7) Freight and other non-passenger
requirements contained in this part 232 trains of eight-wheel standard logging
as it existed on May 31, 2001 and in- cars if the height of each car from the
cluded as appendix B to this part until top of the rail to the center of the cou-
they are either required to operate pur- pling is not more than 25 inches; or
614
(8) A locomotive used in hauling a ible in daylight and darkness from the
train referred to in paragraph (c)(7) of engineer’s normal operating position.
this subsection when the locomotive The indicator face displays:
and cars of the train are used only to (1) Markings from 10 cubic feet per
transport logs. minute (CFM) to 80 CFM, in incre-
(d) The provisions formerly contained ments of 10 CFM or less; and
in Interstate Commerce Commission (2) Numerals indicating 20, 40, 60, and
Order 13528, of May 30, 1945, as amend- 80 CFM for continuous monitoring of
ed, now revoked, are codified in this air flow.
paragraph. This part is not applicable Bind means restrict the intended
to the following equipment: movement of one or more brake system
(1) Scale test weight cars. components by reduced clearance, by
(2) Locomotive cranes, steam shovels, obstruction, or by increased friction.
pile drivers, and machines of similar Brake, dynamic means a train braking
construction, and maintenance ma- system whereby the kinetic energy of a
chines built prior to September 21, 1945. moving train is used to generate elec-
(3) Export, industrial, and other cars tric current at the locomotive traction
not owned by a railroad which are not motors, which is then dissipated
to be used in service, except for move- through resistor grids or into the cat-
ment as shipments on their own wheels enary or third rail system.
to given destinations. Such cars shall Brake, effective means a brake that is
be properly identified by a card at- capable of producing its nominally de-
tached to each side of the car, signed signed retarding force on the train. A
by the shipper, stating that such move- car’s air brake is not considered effec-
ment is being made under the author- tive if it is not capable of producing its
ity of this paragraph. nominally designed retarding force or
(4) Industrial and other than rail- if its piston travel exceeds:
road-owned cars which are not to be (1) 101⁄2 inches for cars equipped with
used in service except for movement nominal 12-inch stroke brake cylinders;
within the limits of a single switching or
district (i.e., within the limits of an in- (2) The piston travel limit indicated
dustrial facility). on the stencil, sticker, or badge plate
(5) Narrow-gage cars. for that brake cylinder.
(6) Cars used exclusively in switching Brake, hand means a brake that can
operations and not used in train move- be applied and released by hand to pre-
ments within the meaning of the Fed- vent or retard the movement of a loco-
eral safety appliance laws (49 U.S.C. motive.
20301–20306). Brake indicator means a device which
indicates the brake application range
§ 232.5 Definitions. and indicates whether brakes are ap-
The definitions in this section are in- plied and released.
tended to clarify the meaning of terms Brake, inoperative means a primary
used in this part as it becomes applica- brake that, for any reason, no longer
ble pursuant to § 232.1(b) and (c). applies or releases as intended.
AAR means the Association of Amer- Brake, inoperative dynamic means a
ican Railroads. dynamic brake that, for any reason, no
Air brake means a combination of de- longer provides its designed retarding
vices operated by compressed air, ar- force on the train.
ranged in a system, and controlled Brake, parking means a brake that
manually, electrically, electronically, can be applied by means other than by
or pneumatically, by means of which hand, such as spring, hydraulic, or air
the motion of a railroad car or loco- pressure when the brake pipe air is de-
motive is retarded or arrested. pleted, or by an electrical motor.
Air Flow Indicator, AFM means a spe- Brake pipe means the system of pip-
cific air flow indicator required by the ing (including branch pipes, angle
air flow method of qualifying train air cocks, cutout cocks, dirt collectors,
brakes (AFM). The AFM Air Flow Indi- hoses, and hose couplings) used for con-
cator is a calibrated air flow measuring necting locomotives and all railroad
device which is clearly visible and leg- cars for the passage of compressed air.
615
§ 232.5 49 CFR Ch. II (10–1–11 Edition)
Brake, primary means those compo- valve while in a conventionally braked

nents of the train brake system nec- train.
essary to stop the train within the sig- End-of-train device, one-way means
nal spacing distance without thermal two pieces of equipment linked by
damage to friction braking surfaces. radio that meet the requirements of
Brake, secondary means those compo- § 232.403.
nents of the train brake system which End-of-train device, two-way means
develop supplemental brake retarding two pieces of equipment linked by
force that is not needed to stop the radio that meet the requirements of
train within signal spacing distances or §§ 232.403 and 232.405.
to prevent thermal damage to wheels. Foul means any condition which re-
Car control device (CCD) means an stricts the intended movement of one
electronic control device that replaces or more brake system components be-
the function of the conventional pneu- cause the component is snagged, entan-
matic service and emergency portions gled, or twisted.
of a car’s air brake control valve dur- Freight car means a vehicle designed
ing electronic braking and provides for to carry freight, or railroad personnel,
electronically controlled service and by rail and a vehicle designed for use in
emergency brake applications. a work or wreck train or other non-
Dual mode ECP brake system means an passenger train.
Initial terminal means the location
ECP brake system that is equipped
where a train is originally assembled.
with either an emulator CCD or an
Locomotive means a piece of railroad
overlay ECP brake system on each car
on-track equipment, other than hi-rail,
which can be operated in either ECP
specialized maintenance, or other simi-
brake mode or conventional pneumatic
lar equipment, which may consist of
brake mode.
one or more units operated from a sin-
ECP means ‘‘electronically con-
gle control stand—
trolled pneumatic’’ when applied to a
(1) With one or more propelling mo-
brake or brakes.
tors designed for moving other railroad
ECP brake mode means operating a equipment;
car or an entire train using an ECP (2) With one or more propelling mo-
brake system. tors designed to transport freight or
ECP brake system means a train power passenger traffic or both; or
braking system actuated by com- (3) Without propelling motors but
pressed air and controlled by electronic with one or more control stands.
signals from the locomotive or an ECP– Locomotive cab means that portion of
EOT to the cars in the consist for serv- the superstructure designed to be occu-
ice and emergency applications in pied by the crew operating the loco-
which the brake pipe is used to provide motive.
a constant supply of compressed air to Locomotive, controlling means the lo-
the reservoirs on each car but does not comotive from which the engineer ex-
convey braking signals to the car. ECP ercises control over the train.
brake systems include dual mode and Off air means not connected to a con-
stand-alone ECP brake systems. tinuous source of compressed air of at
ECP–EOT device means an end-of- least 60 pounds per square inch (psi).
train device for an ECP brake system Ordered date or date ordered means the
that is physically the last network date on which notice to proceed is
node in the train, pneumatically and given by a procuring railroad to a con-
electrically connected at the end of the tractor or supplier for new equipment.
train to the train line cable operating Overlay ECP brake system means a
with an ECP brake system. brake system that has both conven-
Emergency application means an irre- tional pneumatic brake valves and ECP
trievable brake application resulting in brake components, making it capable
the maximum retarding force available of operating as either a conventional
from the train brake system. pneumatic brake system or an ECP
Emulator CCD means a CCD that is brake system. This brake system can
capable of optionally emulating the operate in either a conventionally
function of the pneumatic control braked train using the conventional
616
pneumatic control valve or in an ECP training necessary to perform one or

braked train using the ECP brake sys- more functions required under this
tem’s CCD. part. The railroad is responsible for de-
Piston travel means the amount of lin- termining that the person has the
ear movement of the air brake hollow knowledge and skills necessary to per-
rod (or equivalent) or piston rod when form the required function for which
forced outward by movement of the the person is assigned responsibility.
piston in the brake cylinder or actu- The railroad determines the qualifica-
ator and limited by the brake shoes tions and competencies for employees
being forced against the wheel or disc. designated to perform various func-
Pre-revenue service acceptance testing tions in the manner set forth in this
plan means a document, as further part. Although the rule uses the term
specified in § 232.505, prepared by a rail- ‘‘qualified person’’ to describe a person
road that explains in detail how pre- responsible for performing various
revenue service tests of certain equip- functions required under this part, a
ment demonstrate that the equipment person may be deemed qualified to per-
meets Federal safety standards and the form some functions but not qualified
railroad’s own safety design require- to perform other functions. For exam-
ments. ple, although a person may be deemed
Previously tested equipment means qualified to perform the Class II/inter-
equipment that has received a Class I mediate brake test required by this
brake test pursuant to § 232.205 and has part, that same person may or may not
not been off air for more than four be deemed qualified to perform the
hours. Class I/initial Terminal brake test or
Primary responsibility means the task authorize the movement of defective
that a person performs at least 50 per- equipment under this part. The rail-
cent of the time. The totality of the road will determine the required func-
circumstances will be considered on a tions for which an individual will be
case-by-case basis in circumstances deemed a ‘‘qualified person’’ based
where an individual does not spend 50 upon the instruction and training the
percent of the day engaged in any one individual has received pursuant to
readily identifiable type of activity. § 232.203 concerning a particular func-
Qualified mechanical inspector means a tion.
qualified person who has received, as a Railroad means any form of non-high-
part of the training, qualification, and way ground transportation that runs
designation program required under on rails or electromagnetic guideways,
§ 232.203, instruction and training that including:
includes ‘‘hands-on’’ experience (under (1) Commuter or short-haul railroad
appropriate supervision or apprentice- passenger service in a metropolitan or
ship) in one or more of the following suburban area and commuter railroad
functions: troubleshooting, inspection, service that was operated by the Con-
testing, maintenance or repair of the solidated Rail Corporation on January
specific train brake components and 1, 1979; and
systems for which the person is as- (2) High speed ground transportation
signed responsibility. This person shall systems that connect metropolitan
also possess a current understanding of areas, without regard to whether those
what is required to properly repair and systems use new technologies not asso-
maintain the safety-critical brake ciated with traditional railroads. The
components for which the person is as- term ‘‘railroad’’ is also intended to
signed responsibility. Further, the mean a person that provides transpor-
qualified mechanical inspector shall be tation by railroad, whether directly or
a person whose primary responsibility by contracting out operation of the
includes work generally consistent railroad to another person. The term
with the functions listed in this defini- does not include rapid transit oper-
tion. ations in an urban area that are not
Qualified person means a person who connected to the general railroad sys-
has received, as a part of the training, tem of transportation.
qualification, and designation program Rebuilt equipment means equipment
required under § 232.203, instruction and that has undergone overhaul identified
617
§ 232.7 49 CFR Ch. II (10–1–11 Edition)
by the railroad as a capital expense unloading, or weighing; placing of loco-

under the Surface Transportation motives and cars for repair or storage;
Board’s accounting standards. or moving of rail equipment in connec-
Refresher training means periodic re- tion with work service that does not
training required for employees or con- constitute a train movement.
tractors to remain qualified to perform Tourist, scenic, historic, or excursion
specific equipment troubleshooting, in- operations are railroad operations that
spection, testing, maintenance, or re- carry passengers, often using anti-
pair functions. quated equipment, with the convey-
Respond as intended means to produce ance of the passengers to a particular
the result that a device or system is destination not being the principal pur-
designed to produce. pose.
‘‘Roll-by’’ inspection means an inspec- Train means one or more locomotives
tion performed while equipment is coupled with one or more freight cars,
moving. except during switching service.
Service application means a brake ap- Train line means the brake pipe or
plication that results from one or more any non-pneumatic system used to
service reductions or the equivalent. transmit the signal that controls the
Service reduction means a decrease in locomotive and freight car brakes.
brake pipe pressure, usually from 5 to Train line cable is a two-conductor
25 psi at a rate sufficiently rapid to electric wire spanning the train and
move the operating valve to service po- carrying both electrical power to oper-
sition, but at a rate not rapid enough ate all CCDs and ECP–EOT devices and
to move the operating valve to emer- communications network signals.
gency position. Train, unit or train, cycle means a
Solid block of cars means two or more train that, except for the changing of
freight cars coupled together and added locomotive power or for the removal or
to or removed from a train as a single replacement of defective equipment,
unit. remains coupled as a consist and oper-
Stand-alone CCD means a CCD that ates in a continuous loop or continuous
can operate properly only in a train op- loops without destination.
erating in ECP brake mode and cannot Transfer train means a train that
operate in a conventional pneumati- travels between a point of origin and a
cally braked train. point of final destination not exceeding
Stand-alone ECP brake system means a 20 miles. Such trains may pick up or
brake system equipped with a CCD that deliver freight equipment while en
can only operate the brakes on the car route to destination.
in ECP brake mode. Yard air means a source of com-
State inspector means an inspector of pressed air other than from a loco-
a participating State rail safety pro- motive.
gram under part 212 of this chapter.
Yard limits means a system of tracks,
Switch Mode means a mode of oper-
not including main tracks and sidings,
ation of the ECP brake system that al-
used for classifying cars, making-up
lows operation of that train at 20 miles
and inspecting trains, or storing cars
per hour or less when the train’s ECP–
and equipment.
EOT device is not communicating with
the lead locomotive’s HEU, the train is [66 FR 4193, Jan. 17, 2001, as amended at 67
separated during road switching oper- FR 17580, Apr. 10, 2002; 73 FR 61552, Oct. 16,
ations, or the ECP brake system has 2008]
stopped the train because the percent-
age of operative brakes fell below 85%. § 232.7 Waivers.
Many of the ECP brake system’s fault (a) Any person subject to a require-
detection/response procedures are sus- ment of this part may petition the Ad-
pended during Switch Mode. ministrator for a waiver of compliance
Switching service means the classifica- with such requirement. The filing of
tion of freight cars according to com- such a petition does not affect that
modity or destination; assembling of person’s responsibility for compliance
cars for train movements; changing the with that requirement while the peti-
position of cars for purposes of loading, tion is being considered.
618
(b) Each petition for waiver must be of this part or causes the violation of
filed in the manner and contain the in- any such requirement is subject to a
formation required by part 211 of this civil penalty of at least $650, but not
chapter. more than $25,000 per violation, except
(c) If the Administrator finds that a that: Penalties may be assessed against
waiver of compliance is in the public individuals only for willful violations,
interest and is consistent with railroad and, where a grossly negligent viola-
safety, the Administrator may grant tion or a pattern of repeated violations
the waiver subject to any conditions has created an imminent hazard of
the Administrator deems necessary. If death or injury to persons, or has
a waiver is granted, the Administrator caused death or injury, a penalty not
publishes a notice in the FEDERAL REG-
to exceed $100,000 per violation may be
ISTER containing the reasons for grant-
assessed. Each day a violation con-
ing the waiver.
tinues shall constitute a separate of-
§ 232.9 Responsibility for compliance. fense. Appendix A to this part contains
a schedule of civil penalty amounts
(a) A railroad subject to this part
used in connection with this rule.
shall not use, haul, permit to be used
or hauled on its line, offer in inter- (b) Any person who knowingly and
change, or accept in interchange any willfully falsifies a record or report re-
train, railroad car, or locomotive with quired by this part is subject to crimi-
one or more conditions not in compli- nal penalties under 49 U.S.C. 21311.
ance with this part; however, a railroad [66 FR 4193, Jan. 17, 2001, as amended at 69
shall not be liable for a civil penalty FR 30594, May 28, 2004; 72 FR 51197, Sept. 6,
for such action if such action is in ac- 2007; 73 FR 79703, Dec. 30, 2008]
cordance with § 232.15. For purposes of
this part, a train, railroad car, or loco- § 232.13 Preemptive effect.
motive will be considered in use prior (a) Under 49 U.S.C. 20106, issuance of
to departure but after it has received, the regulations in this part preempts
or should have received, the inspection any State law, rule, regulation, order
required for movement and is deemed or standard covering the same subject
ready for service. matter, except for a provision nec-
(b) Although many of the require- essary to eliminate or reduce a local
ments of this part are stated in terms safety hazard if that provision is not
of the duties of a railroad, when any
incompatible with this part and does
person performs any function required
not impose an undue burden on inter-
by this part, that person (whether or
state commerce. Nothing in this para-
not a railroad) is required to perform
graph shall be construed to preempt an
that function in accordance with this
action under State law seeking dam-
part.
(c) Any person performing any func- ages for personal injury, death, or
tion or task required by this part shall property damage alleging that a party
be deemed to have consented to FRA has failed to comply with the Federal
inspection of the person’s operation to standard of care established by this
the extent necessary to determine part, has failed to comply with its own
whether the function or task is being plan, rule, or standard that it created
performed in accordance with the re- pursuant to this part, or has failed to
quirements of this part. comply with a State law, regulation, or
order that is not incompatible with the
§ 232.11 Penalties. first sentence of this paragraph.
(a) Any person (including but not (b) Preemption should also be consid-
limited to a railroad; any manager, su- ered pursuant to the Locomotive Boiler
pervisor, official, or other employee or Inspection Act (now codified at 49
agent of a railroad; any owner, manu- U.S.C. 20701–20703), the Safety Appli-
facturer, lessor, or lessee of railroad ance Acts (now codified at 49 U.S.C.
equipment, track, or facilities; any em- 20301–20304), and the Commerce Clause
ployee of such owner, manufacturer, based on the relevant case law per-
lessor, lessee, or independent containing to preemption under those pro-
tractor) who violates any requirement visions.
619
§ 232.15 49 CFR Ch. II (10–1–11 Edition)
(c) FRA does not intend by issuance (i) The connecting railroad elects to
of the regulations in this part to pre- accept the defective car or locomotive
empt provisions of State criminal law for such repair; and
that impose sanctions for reckless con- (ii) The nearest available location
duct that leads to actual loss of life, in- where necessary repairs can be per-
jury, or damage to property, whether formed on the line of the connecting
such provisions apply specifically to railroad is no farther than the nearest
railroad employees or generally to the available location where necessary re-
public at large. pairs can be performed on the line of
[66 FR 4193, Jan. 17, 2001, as amended at 73 the railroad where the car or loco-
FR 61552, Oct. 16, 2008] motive was found defective.
(8) The movement of the defective
§ 232.15 Movement of defective equip-
ment. car or locomotive for repairs is not by
a train required to receive a Class I
(a) General provision. Except as pro- brake test at that location pursuant to
vided in paragraph (c) of this section, a § 232.205.
railroad car or locomotive with one or (9) The movement of the defective
more conditions not in compliance
car or locomotive for repairs is not in
with this part may be used or hauled
a train in which less than 85 percent of
without civil penalty liability under
the cars have operative and effective
this part only if all of the following
brakes.
conditions are met:
(1) The defective car or locomotive is (10) The defective car or locomotive
properly equipped in accordance with is tagged, or information is recorded,
the applicable provisions of 49 U.S.C. as prescribed in paragraph (b) of this
chapter 203 and the requirements of section.
this part. (11) Except for cars or locomotives
(2) The car or locomotive becomes de- with brakes cut out en route, the fol-
fective while it is being used by the lowing additional requirements are
railroad on its line or becomes defec- met:
tive on the line of a connecting rail- (i) A qualified person shall deter-
road and is properly accepted in inter- mine—
change for repairs in accordance with (A) That it is safe to move the car or
paragraph (a)(7) of this section. locomotive; and
(3) The railroad first discovers the de- (B) The maximum safe speed and
fective condition of the car or loco- other restrictions necessary for safely
motive prior to moving it for repairs. conducting the movement.
(4) The movement of the defective (ii) The person in charge of the train
car or locomotive for repairs is from in which the car or locomotive is to be
the location where the car or loco- moved shall be notified in writing and
motive is first discovered defective by inform all other crew members of the
the railroad. presence of the defective car or loco-
(5) The defective car or locomotive
motive and the maximum speed and
cannot be repaired at the location
other restrictions determined under
where the railroad first discovers it to
paragraph (a)(11)(i)(B) of this section.
be defective.
(6) The movement of the car or loco- A copy of the tag or card described in
motive is necessary to make repairs to paragraph (b) of this section may be
the defective condition. used to provide the notification re-
(7) The location to which the car or quired by this paragraph.
locomotive is being taken for repair is (iii) The defective car or locomotive
the nearest available location where is moved in compliance with the max-
necessary repairs can be performed on imum speed and other restrictions de-
the line of the railroad where the car termined under paragraph (a)(11)(i)(B)
or locomotive was first found to be de- of this section.
fective or is the nearest available loca- (12) The defective car or locomotive
tion where necessary repairs can be is not subject to a Special Notice for
performed on the line of a connecting Repair under part 216 of this chapter,
railroad if: unless the movement of the defective
620
car is made in accordance with the re- the automated tracking system is not
strictions contained in the Special No- properly secure, is inaccessible to FRA
tice. or a railroad’s employees, or fails to
(b) Tagging of defective equipment. (1) adequately track and monitor the
At the place where the railroad first movement of defective equipment.
discovers the defect, a tag or card shall FRA will record such a determination
be placed on both sides of the defective in writing, include a statement of the
equipment, except that defective loco- basis for such action, and provide a
motives may have the tag or card copy of the document to the railroad.
placed in the cab of the locomotive. In (c) Movement for unloading or purging
lieu of a tag or card, an automated of defective cars. If a defective car is
tracking system approved for use by loaded with a hazardous material or
FRA shall be provided. The tag, card, contains residue of a hazardous mate-
or automated tracking system shall rial, the car may not be placed for un-
contain the following information loading or purging unless unloading or
about the defective equipment: purging is consistent with determina-
(i) The reporting mark and car or lo- tions made and restrictions imposed
comotive number; under paragraph (a)(11)(i) of this sec-
(ii) The name of the inspecting rail- tion and the unloading or purging is
road; necessary for the safe repair of the car.
(iii) The name and job title of the in- (d) Computation of percent operative
spector; power brakes. (1) The percentage of op-
(iv) The inspection location and date; erative power brakes in a train shall be
(v) The nature of each defect; based on the number of control valves
(vi) A description of any movement in the train. The percentage shall be
restrictions; determined by dividing the number of
(vii) The destination where the equip- control valves that are cut-in by the
ment will be repaired; and total number of control valves in the
(viii) The signature, or electronic train. A control valve shall not be con-
identification, of the person reporting sidered cut-in if the brakes controlled
the defective condition. by that valve are inoperative. Both
(2) The tag or card required by para- cars and locomotives shall be consid-
graph (b)(1) of this section shall remain ered when making this calculation.
affixed to the defective equipment
(2) The following brake conditions
until the necessary repairs have been
not in compliance with this part are
performed.
not considered inoperative power
(3) An electronic or written record or
brakes for purposes of this section:
a copy of each tag or card attached to
(i) Failure or cutting out of sec-
or removed from a car or locomotive
ondary brake systems;
shall be retained for 90 days and, upon
request, shall be made available within (ii) Inoperative or otherwise defec-
15 calendar days for inspection by FRA tive handbrakes or parking brakes;
or State inspectors. (iii) Piston travel that is in excess of
(4) Each tag or card removed from a the Class I brake test limits required in
car or locomotive shall contain the § 232.205 but that does not exceed the
date, location, reason for its removal, outside limits contained on the stencil,
and the signature of the person who re- sticker, or badge plate required by
moved it from the piece of equipment. § 232.103(g) for considering the power
(5) Any automated tracking system brakes to be effective; and
approved by FRA to meet the tagging (iv) Power brakes overdue for inspec-
requirements contained in paragraph tion, testing, maintenance, or sten-
(b)(1) of this section shall be capable of ciling under this part.
being reviewed and monitored by FRA (e) Placement of equipment with inoper-
at any time to ensure the integrity of ative brakes. (1) A freight car or loco-
the system. FRA’s Associate Adminis- motive with inoperative brakes shall
trator for Safety may prohibit or re- not be placed as the rear car of the
voke a railroad’s authority to utilize train.
an approved automated tracking sys- (2) No more than two freight cars
tem in lieu of tagging if FRA finds that with either inoperative brakes or not
621
§ 232.17 49 CFR Ch. II (10–1–11 Edition)
equipped with power brakes shall be (ii) A location where a mobile repair
consecutively placed in the same train. truck originates or is permanently sta-
(3) Multi-unit articulated equipment tioned;
shall not be placed in a train if the (iii) A location at which a railroad
equipment has more than two consecu- performs mechanical repairs other
tive individual control valves cut-out than brake system repairs; and
or if the brakes controlled by the (iv) A location that has an operative
valves are inoperative. repair track or repair shop;
(f) Guidelines for determining locations (3) In determining whether a location
where necessary repairs can be performed. is the nearest location where the nec-
The following guidelines will be consid- essary brake repairs can be made, the
ered by FRA when determining wheth- distance to the location is a key factor
er a location is a location where re- but should not be considered the deter-
pairs to a car’s brake system or compo- mining factor. The distance to a loca-
nents can be performed and whether a tion must be considered in conjunction
location is the nearest location where with the factors and guidance outlined
the needed repairs can be effectuated. in paragraphs (f)(1) and (f)(2) of this
(1) The following general factors and section. In addition, the following safe-
guidelines will be considered when ty factors must be considered in order
making determinations as to whether a to optimize safety:
location is a location where brake re- (i) The safety of the employees re-
pairs can be performed: sponsible for getting the equipment to
(i) The accessibility of the location or from a particular location; and
to persons responsible for making re- (ii) The potential safety hazards in-
pairs; volved with moving the equipment in
(ii) The presence of hazardous condi- the direction of travel necessary to get
tions that affect the ability to safely the equipment to a particular location.
make repairs of the type needed at the (g) Designation of repair locations.
location; Based on the guidance detailed in para-
(iii) The nature of the repair nec- graph (f) of this section and consistent
essary to bring the car into compli- with other requirements contained in
ance; this part, a railroad may submit a de-
(iv) The need for railroads to have in tailed petition, pursuant to the special
place an effective means to ensure the approval procedures contained in
safe and timely repair of equipment; § 232.17, containing a plan designating
(v) The relevant weather conditions locations where brake system repairs
at the location that affect accessibility will be performed. Approval of such
or create hazardous conditions; plans shall be made accordance with
(vi) A location need not have the the procedures contained in § 232.17,
ability to effectuate every type of and shall be subject to any modifica-
brake system repair in order to be con- tions determined by FRA to be nec-
sidered a location where some brake re- essary to ensure consistency with the
pairs can be performed; requirements and guidance contained
(vii) A location need not be staffed in this part.
continuously in order to be considered [66 FR 4193, Jan. 17, 2001, as amended at 67
a location where brake repairs can be FR 17580, Apr. 10, 2002]
performed;
(viii) The ability of a railroad to per- § 232.17 Special approval procedure.
form repair track brake tests or single (a) General. The following procedures
car tests at a location shall not be con- govern consideration and action upon
sidered; and requests for special approval of a plan
(ix) The congestion of work at a loca- under § 232.15(g); an alternative stand-
tion shall not be considered ard under § 232.305, § 232.603, or a single
(2) The general factors and guidelines car test procedure under § 232.611; and
outlined in paragraph (f)(1) of this sec- pre-revenue service acceptance testing
tion should be applied to the following plans under subpart F of this part.
locations: (b) Petitions for special approval of an
(i) A location where a mobile repair alternative standard or test procedure.
truck is used on a regular basis; Each petition for special approval of a
622
plan under § 232.15(g); an alternative in the section(s) of the rule to which

standard under § 232.305 or § 232.603; or a the special approval pertains or issued
single car test procedure under § 232.611 the alternative standard that is pro-
shall contain: posed in the petition; and
(1) The name, title, address, and tele- (iii) Any other person who has filed
phone number of the primary person to with FRA a current statement of inter-
be contacted with regard to review of est in reviewing special approvals
the petition; under the particular requirement of
(2) The plan, alternative standard, or this part at least 30 days but not more
test procedure proposed, in detail, to be than 5 years prior to the filing of the
submitted for or to meet the particular petition. If filed, a statement of inter-
requirement of this part; est shall be filed with FRA’s Associate
(3) Appropriate data or analysis, or Administrator for Safety and shall ref-
both, for FRA to consider in deter- erence the specific section(s) of this
mining whether the plan, alternative part in which the person has an inter-
standard, or test procedure, will be est.
consistent with the guidance under (e) Federal Register notice. FRA will
§ 232.15(f), if applicable, and will provide publish a notice in the FEDERAL REG-
at least an equivalent level of safety or ISTER concerning each petition under
otherwise meet the requirements con- paragraph (b) of this section.
tained in this part; and (f) Comment. Not later than 30 days
(4) A statement affirming that the from the date of publication of the no-
railroad has served a copy of the peti- tice in the FEDERAL REGISTER con-
tion on designated representatives of cerning a petition under paragraph (b)
its employees, together with a list of of this section, any person may com-
the names and addresses of the persons ment on the petition.
served. (1) A comment shall set forth specifi-
(c) Petitions for special approval of pre- cally the basis upon which it is made,
revenue service acceptance testing plan. and contain a concise statement of the
Each petition for special approval of a interest of the commenter in the pro-
pre-revenue service acceptance testing ceeding.
plan shall contain: (2) The comment shall be submitted
(1) The name, title, address, and tele- to the Associate Administrator for
phone number of the primary person to Safety, Federal Railroad Administra-
be contacted with regard to review of tion, 1200 New Jersey Avenue, SE.,
the petition; and Washington, DC 20590.
(2) The elements prescribed in (3) The commenter shall certify that
§ 232.505. a copy of the comment was served on
(d) Service. (1) Each petition for spe- each petitioner.
cial approval under paragraph (b) or (c) (g) Disposition of petitions. (1) If FRA
of this section shall be submitted to finds that the petition complies with
the Associate Administrator for Safe- the requirements of this section and
ty, Federal Railroad Administration, that the proposed plan under § 232.15(g),
1200 New Jersey Avenue, SE., Wash- the alternative standard, or the pre-
ington, DC 20590. revenue service plan is acceptable and
(2) Service of each petition for spe- justified, the petition will be granted,
cial approval of a plan or an alter- normally within 90 days of its receipt.
native standard submitted under para- If the petition is neither granted nor
graph (b) of this section shall be made denied within 90 days, the petition re-
on the following: mains pending for decision. FRA may
(i) Designated representatives of the attach special conditions to the ap-
employees of the railroad submitting a proval of any petition. Following the
plan pursuant to § 232.15(g) or des- approval of a petition, FRA may re-
ignated representatives of the employ- open consideration of the petition for
ees responsible for the equipment’s op- cause.
eration, inspection, testing, and main- (2) If FRA finds that the petition
tenance under this part; does not comply with the requirements
(ii) Any organizations or bodies that of this section and that the proposed
either issued the standard incorporated plan under § 232.15(g), the alternative
623
§ 232.19 49 CFR Ch. II (10–1–11 Edition)
standard, or the pre-revenue service train shall be stopped. If a train line

plan is not acceptable or justified, the uses other than solely pneumatic tech-
petition will be denied, normally with- nology, the integrity of the train line
in 90 days of its receipt. shall be monitored by the brake con-
(3) When FRA grants or denies a peti- trol system.
tion, or reopens consideration of the (c) A train brake system shall re-
petition, written notice is sent to the spond as intended to signals from the
petitioner and other interested parties. train line.
(d) One hundred percent of the brakes
FR 17580, Apr. 10, 2002; 73 FR 61552, Oct. 16, on a train shall be effective and opera-
2008; 74 FR 25174, May 27, 2009] tive brakes prior to use or departure
from any location where a Class I
§ 232.19 Availability of records. brake test is required to be performed
Except as otherwise provided, the on the train pursuant to § 232.205.
records and plans required by this part (e) A train shall not move if less than
shall be made available to representa- 85 percent of the cars in that train
tives of FRA and States participating have operative and effective brakes.
under part 212 of this chapter for in- (f) Each car in a train shall have its
spection and copying upon request. air brakes in effective operating condi-
tion unless the car is being moved for
§ 232.21 Information Collection. repairs in accordance with §§ 232.15 and
232.609. The air brakes on a car are not
(a) The information collection rein effective operating condition if its
quirements of this part were reviewed brakes are cut-out or otherwise inoper-
by the Office of Management and Budg- ative or if the piston travel exceeds:
et pursuant to the Paperwork Reduc- (1) 10 1/2 inches for cars equipped with
tion Act of 1995 (44 U.S.C. 3501 et seq.) nominal 12-inch stroke brake cylinders;
and are assigned OMB control number or
2130–0008. (2) The piston travel limits indicated
(b) The information collection re- on the stencil, sticker, or badge plate
quirements are found in the following for the brake cylinder with which the
sections: §§ 229.27, 231.31, 232.1, 232.3, car is equipped.
232.7, 232.11, 232.15, 232.17, 232.103, (g) Except for cars equipped with
232.105, 232.107, 232.109, 232.111, 232.203, nominal 12-inch stroke (81⁄2 and 10-inch
232.205, 232.207, 232.209, 232.211, 232.213, diameters) brake cylinders, all cars
232.303, 232.307, 232.309, 232.403, 232.405, shall have a legible decal, stencil, or
232.407, 232.409, 232.503, 232.505. sticker affixed to the car or shall be
equipped with a badge plate displaying
Subpart B—General Requirements the permissible brake cylinder piston
travel range for the car at Class I
§ 232.101 Scope. brake tests and the length at which the
This subpart contains general oper- piston travel renders the brake ineffec-
ating, performance, and design require- tive, if different from Class I brake test
ments for each railroad that operates limits. The decal, stencil, sticker, or
freight or other non-passenger trains badge plate shall be located so that it
and for specific equipment used in may be easily read and understood by a
those operations. person positioned safely beside the car.
(h) All equipment ordered on or after
§ 232.103 General requirements for all August 1, 2002, or placed in service for
train brake systems. the first time on or after April 1, 2004,
(a) The primary brake system of a shall have train brake systems de-
train shall be capable of stopping the signed so that an inspector can observe
train with a service application from from a safe position either the piston
its maximum operating speed within travel, an accurate indicator which
the signal spacing existing on the shows piston travel, or any other
track over which the train is oper- means by which the brake system is
ating. actuated. The design shall not require
(b) If the integrity of the train line of the inspector to place himself or her-
a train brake system is broken, the self on, under, or between components
624
of the equipment to observe brake ac- depended upon to hold equipment

tuation or release. standing unattended on a grade (in-
(i) All trains shall be equipped with cluding a locomotive, a car, or a train
an emergency application feature that whether or not locomotive is attached).
produces an irretrievable stop, using a For purposes of this section, ‘‘unat-
brake rate consistent with prevailing tended equipment’’ means equipment
adhesion, train safety, and brake sys- left standing and unmanned in such a
tem thermal capacity. An emergency manner that the brake system of the
application shall be available at all equipment cannot be readily controlled
times, and shall be initiated by an un- by a qualified person. Unattended
intentional parting of the train line or equipment shall be secured in accord-
loss of train brake communication. ance with the following requirements:
(j) A railroad shall set the maximum (1) A sufficient number of hand
main reservoir working pressure. brakes shall be applied to hold the
(k) The maximum brake pipe pres- equipment. Railroads shall develop and
sure shall not be greater than 15 psi implement a process or procedure to
less than the air compressor governor verify that the applied hand brakes
starting or loading pressure. will sufficiently hold the equipment
(l) Except as otherwise provided in with the air brakes released.
this part, all equipment used in freight (2) Except for equipment connected
or other non-passenger trains shall, at to a source of compressed air (e.g., lo-
a minimum, meet the Association of comotive or ground air source), prior
American Railroads (AAR) Standard S– to leaving equipment unattended, the
469–47, ‘‘Performance Specification for brake pipe shall be reduced to zero at a
Freight Brakes,’’ contained in the AAR rate that is no less than a service rate
Manual of Standards and Recommended reduction, and the brake pipe vented to
Practices, Section E (April 1, 1999). The atmosphere by leaving the angle cock
incorporation by reference of this AAR in the open position on the first unit of
standard was approved by the Director the equipment left unattended.
of the Federal Register in accordance (3) Except for distributed power
with 5 U.S.C. 552(a) and 1 CFR part 51. units, the following requirements apply
You may obtain a copy of the incor- to unattended locomotives:
porated document from the Association (i) All hand brakes shall be fully ap-
of American Railroads, 50 F Street, plied on all locomotives in the lead
NW, Washington, DC. 20001. You may consist of an unattended train.
inspect a copy of the document at the (ii) All hand brakes shall be fully ap-
Federal Railroad Administration, plied on all locomotives in an unat-
Docket Clerk, 1200 New Jersey Avenue, tended locomotive consist outside of
SE., Washington, DC or at the National yard limits.
Archives and Records Administration (iii) At a minimum, the hand brake
(NARA). For information on the avail- shall be fully applied on the lead loco-
ability of this material at NARA, call motive in an unattended locomotive
202–741–6030, or go to: http:// consist within yard limits.
www.archives.gov/federallregister/ (iv) A railroad shall develop, adopt,
codeloflfederallregulations/ and comply with procedures for secur-
ibrllocations.html. ing any unattended locomotive re-
(m) If a train qualified by the Air quired to have a hand brake applied
Flow Method as provided for in subpart pursuant to paragraph (n)(3)(i) through
C of this part experiences a brake pipe (n)(3)(iii) when the locomotive is not
air flow of greater than 60 CFM or equipped with an operative hand brake.
brake pipe gradient of greater than 15 (4) A railroad shall adopt and comply
psi while en route and the movable with a process or procedures to verify
pointer does not return to those limits that the applied hand brakes will suffi-
within a reasonable time, the train ciently hold an unattended locomotive
shall be stopped at the next available consist. A railroad shall also adopt and
location and be inspected for leaks in comply with instructions to address
the brake system. throttle position, status of the reverse
(n) Securement of unattended equip- lever, position of the generator field
ment. A train’s air brake shall not be switch, status of the independent
625
§ 232.105 49 CFR Ch. II (10–1–11 Edition)
brakes, position of the isolation (5) Any hand brakes applied to hold
switch, and position of the automatic unattended equipment shall not be re-
brake valve on all unattended loco- leased until it is known that the air
motives. The procedures and instruc- brake system is properly charged.
tion required in this paragraph shall (o) Air pressure regulating devices
take into account winter weather con- shall be adjusted for the following pres-
ditions as they relate to throttle posi- sures:
tion and reverser handle.
Locomotives PSI
(1) Minimum brake pipe air pressure:

Road Service .............................................................................................................................................. 90
Switch Service ............................................................................................................................................ 60
(2) Minimum differential between brake pipe and main reservoir air pressures, with brake valve in running posi-
tion ......................................................................................................................................................................... 15
(3) Safety valve for straight air brake ....................................................................................................................... 30–55
(4) Safety valve for LT, ET, No. 8–EL, No. 14 EI, No. 6–DS, No. 6–BL and No. 6–SL equipment ........................ 30–68
(5) Safety valve for HSC and No. 24–RL equipment ............................................................................................... 30–75
(6) Reducing valve for independent or straight air brake ......................................................................................... 30–50
(7) Self-lapping portion for electro-pneumatic brake (minimum full application pressure) ....................................... 50
(8) Self-lapping portion for independent air brake (full application pressure) .......................................................... 30–50
(9) Reducing valve for high-speed brake (minimum) ............................................................................................... 50
[66 FR 4193, Jan. 17, 2001, as amended at 67 FR 17581, Apr. 10, 2002; 73 FR 61553, Oct. 16, 2008;
74 FR 25174, May 27, 2009]
§ 232.105 General requirements for location where the equalizing-reservoir

comotives. leakage can be corrected. On loco-
(a) The air brake equipment on a lo- motives equipped with electronic
comotive shall be in safe and suitable brakes, if the system logs or displays a
condition for service. fault related to equalizing reservoir
(b) All locomotives ordered on or leakage, the train may be moved only
after August 1, 2002, or placed in serv- to the nearest forward location where
ice for the first time on or after April the necessary repairs can be made.
1, 2004, shall be equipped with a hand or (e) Use of the feed or regulating valve
parking brake that is: to control braking is prohibited.
(1) Capable of application or activa- (f) The passenger position on the lo-
tion by hand; comotive brake control stand shall be
(2) Capable of release by hand; and used only if the trailing equipment is
(3) Capable of holding the unit on a designed for graduated brake release or
three (3) percent grade. if equalizing reservoir leakage occurs
(c) On locomotives so equipped, the en route and its use is necessary to
hand or parking brake as well as its safely control the movement of the
parts and connections shall be in- train until it reaches the next forward
spected, and necessary repairs made, as location where the reservoir leakage
often as service requires but no less can be corrected.
frequently than every 368 days. The
(g) When taking charge of a loco-
date of the last inspection shall be ei-
motive or locomotive consist, an engi-
ther entered on Form FRA F 6180–49A
or suitably stenciled or tagged on the neer must know that the brakes are in
locomotive. operative condition.
(d) The amount of leakage from the
§ 232.107 Air source requirements and
equalizing reservoir on locomotives cold weather operations.
and related piping shall be zero, unless
the system is capable of maintaining (a) Monitoring plans for yard air
the set pressure at any service applica- sources. (1) A railroad shall adopt and
tion with the brakes control valve in comply with a written plan to monitor
the freight position. If such leakage is all yard air sources, other than loco-
detected en route, the train may be motives, to determine that they oper-
moved only to the nearest forward lo- ate as intended and do not introduce
626
contaminants into the brake system of on all locomotive units in the consist
freight equipment. at the initial terminal for a train and
(2) This plan shall require the rail- at other locations where a locomotive
road to: engineer first begins operation of a
(i) Inspect each yard air source at train. The information required by this
least two times per calendar year, no paragraph may be provided to the loco-
less than five months apart, to deter- motive engineer by any means deter-
mine it operates as intended and does mined to be appropriate by the rail-
not introduce contaminants into the road; however, a written or electronic
brake system of the equipment it serv- record of the information shall be
ices. maintained in the cab of the control-
(ii) Identify yard air sources found ling locomotive.
not to be operating as intended or (b) Except as provided in paragraph
found introducing contaminants into (e) of this section, all inoperative dy-
the brake system of the equipment it namic brakes shall be repaired within
services. 30 calendar days of becoming inoper-
(iii) Repair or take other remedial ative or at the locomotive’s next peri-
action regarding any yard air source odic inspection pursuant to § 229.23 of
identified under paragraph (a)(2)(ii) of this chapter, whichever occurs first.
this section. (c) Except as provided in paragraph
(3) A railroad shall maintain records (e) of this section, a locomotive discov-
of the information and actions required ered with inoperative dynamic brakes
by paragraph (a)(2). These records shall shall have a tag bearing the words ‘‘in-
be maintained for a period of at least operative dynamic brake’’ securely at-
one year from the date of creation and tached and displayed in a conspicuous
may be maintained either electroni- location in the cab of the locomotive.
cally or in writing. This tag shall contain the following in-
(b) Condensation and other contami- formation:
nants shall be blown from the pipe or (1) The locomotive number;
hose from which compressed air is (2) The name of the discovering car-
taken prior to connecting the yard air rier;
line or motive power to the train.
(3) The location and date where con-
(c) No chemicals which are known to
dition was discovered; and
degrade or harm brake system compo-
nents shall be placed in the train air (4) The signature of the person dis-
brake system. covering the condition.
(d) Yard air reservoirs shall either be (d) An electronic or written record of
equipped with an operable automatic repairs made to a locomotive’s dy-
drain system or be manually drained at namic brakes shall be retained for 92
least once each day that the devices days.
are used or more often if moisture is (e) A railroad may elect to declare
detected in the system. the dynamic brakes on a locomotive
(e) A railroad shall adopt and comply deactivated without removing the dy-
with detailed written operating proce- namic brake components from the lo-
dures tailored to the equipment and comotive, only if all of the following
territory of that railroad to cover safe conditions are met:
train operations during cold weather. (1) The locomotive is clearly marked
For purposes of this provision, ‘‘cold with the words ‘‘dynamic brake deacti-
weather’’ means when the ambient vated’’ in a conspicuous location in the
temperature drops below 10 degrees cab of the locomotive; and
Fahrenheit (F) (minus 12.2 degrees Cel- (2) The railroad has taken appro-
sius). priate action to ensure that the deacti-
vated locomotive is incapable of uti-
§ 232.109 Dynamic brake require- lizing dynamic brake effort to retard or
ments. control train speed.
(a) Except as provided in paragraph (f) If a locomotive consist is intended
(i) of this section, a locomotive engi- to have its dynamic brakes used while
neer shall be informed of the oper- in transit, a locomotive with inoper-
ational status of the dynamic brakes ative or deactivated dynamic brakes or
627
§ 232.111 49 CFR Ch. II (10–1–11 Edition)
a locomotive not equipped with dy- train safely under all operating condi-
namic brakes shall not be placed in the tions.
controlling (lead) position of a consist (2) Include a ‘‘miles-per-hour-over-
unless the locomotive has the capa- speed-stop’’ rule. At a minimum, this
bility of: rule shall require that any train when
(1) Controlling the dynamic braking descending a section of track with an
effort in trailing locomotives in the average grade of one percent or greater
consist that are so equipped; and over a distance of three continuous
(2) Displaying to the locomotive en- miles shall be immediately brought to
gineer the deceleration rate of the a stop, by an emergency brake applica-
train or the total train dynamic brake tion if necessary, when the train’s
retarding force. speed exceeds the maximum authorized
(g) All locomotives equipped with dy- speed for that train by more than 5
namic brakes and ordered on or after miles per hour. A railroad shall reduce
April 1, 2006, or placed in service for the 5-miles-per-hour-overspeed-stop re-
the first time on or after October 1, striction if validated research indicates
2007, shall be designed to: the need for such a reduction. A rail-
(1) Conduct an electrical integrity road may increase the 5-miles-per-
test of the dynamic brake to determine hour-overspeed restriction only with
if electrical current is being received approval of FRA and based upon
at the grids on the system; and verifiable data and research.
(2) Display in real-time in the cab of (k) A railroad operating a train with
the controlling (lead) locomotive the a brake system that includes dynamic
total train dynamic brake retarding brakes shall adopt and comply with
force available in the train. specific knowledge, skill, and ability
(h) All rebuilt locomotives equipped criteria to ensure that its locomotive
with dynamic brakes and placed in engineers are fully trained in the oper-
service on or after April 1, 2004, shall be ating rules prescribed by paragraph (j)
designed to: of this section. The railroad shall in-
corporate such criteria into its loco-
(1) Conduct an electrical integrity
motive engineer certification program
test of the dynamic brake to determine
pursuant to part 240 of this chapter.
if electrical current is being received
at the grids on the system; and [66 FR 4193, Jan. 17, 2001, as amended at 67
(2) Display either the train decelera- FR 17581, Apr. 10, 2002]
tion rate or in real-time in the cab of
the controlling (lead) locomotive the § 232.111 Train handling information.
total train dynamic brake retarding (a) A railroad shall adopt and comply
force available in the train. with written procedures to ensure that
(i) The information required by para- a train crew employed by the railroad
graph (a) of this section is not required is given accurate information on the
to be provided to the locomotive engi- condition of the train brake system
neer if all of the locomotives in the and train factors affecting brake sys-
lead consist of a train are equipped in tem performance and testing when the
accordance with paragraph (g) of this crew takes over responsibility for the
section. train. The information required by this
(j) A railroad operating a train with paragraph may be provided to the loco-
a brake system that includes dynamic motive engineer by any means deter-
brakes shall adopt and comply with mined appropriate by the railroad;
written operating rules governing safe however, a written or electronic record
train handling procedures using these of the information shall be maintained
dynamic brakes under all operating in the cab of the controlling loco-
conditions, which shall be tailored to motive.
the specific equipment and territory of (b) The procedures shall require that
the railroad. The railroad’s operating each train crew taking charge of a
rules shall: train be informed of:
(1) Ensure that the friction brakes (1) The total weight and length of the
are sufficient by themselves, without train, based on the best information
the aid of dynamic brakes, to stop the available to the railroad;
628
(2) Any special weight distribution related to the performance of the tasks
that would require special train han- identified.
dling procedures; (3) Require all employees to success-
(3) The number and location of cars fully complete a training curriculum
with cut-out or otherwise inoperative that covers the skills and knowledge
brakes and the location where they the employee will need to possess in
will be repaired; order to perform the tasks required by
(4) If a Class I or Class IA brake test this part that the employee will be re-
is required prior to the next crew sponsible for performing, including the
change point, the location at which specific Federal regulatory require-
that test shall be performed; and ments contained in this part related to
(5) Any train brake system problems the performance of a task for which the
encountered by the previous crew of employee will be responsible;
the train. (4) Require all employees to pass a
written or oral examination covering
Subpart C—Inspection and Testing the skills and knowledge the employee
will need to possess in order to perform
Requirements the tasks required by this part that the
§ 232.201 Scope. employee will be responsible for per-
forming, including the specific Federal
This subpart contains the inspection regulatory requirements contained in
and testing requirements for brake sys- this part related to the performance of
tems used in freight and other non-pas- a task for which the employee will be
senger trains. This subpart also con- responsible for performing;
tains general training requirements for (5) Require all employees to individ-
railroad and contract personnel used to ually demonstrate ‘‘hands-on’’ capa-
perform the required inspections and bility by successfully applying the
tests. skills and knowledge the employee will
need to possess in order to perform the
§ 232.203 Training requirements.
tasks required by this part that the
(a) Each railroad and each contractor employee will be responsible for per-
shall adopt and comply with a training, forming to the satisfaction of the em-
qualification, and designation program ployee’s supervisor or designated in-
for its employees that perform brake structor;
system inspections, tests, or mainte- (6) An employee hired or working
nance. For purposes of this section, a prior to June 1, 2001, for a railroad or
‘‘contractor’’ is defined as a person contractor covered by this part will be
under contract with the railroad or car considered to have met the require-
owner. The records required by this ments, or a portion of the require-
section may be maintained either elec- ments, contained in paragraphs (b)(3)
tronically or in writing. through (b)(5) of this section if the em-
(b) As part of this program, the rail- ployee receives training and testing on
road or contractor shall: the specific Federal regulatory require-
(1) Identify the tasks related to the ments contained in this part related to
inspection, testing, and maintenance of the performance of the tasks which the
the brake system required by this part employee will be responsible for per-
that must be performed by the railroad forming; and if:
or contractor and identify the skills (i) The training or testing, including
and knowledge necessary to perform efficiency testing, previously received
each task. by the employee is determined by the
(2) Develop or incorporate a training railroad or contractor to meet the re-
curriculum that includes both class- quirements, or a portion of the require-
room and ‘‘hands-on’’ lessons designed ments, contained in paragraphs (b)(3)
to impart the skills and knowledge through (b)(5) of this section and such
identified as necessary to perform each training or testing can be documented
task. The developed or incorporated as required in paragraphs (e)(1) through
training curriculum shall specifically (e)(4) of this section;
address the Federal regulatory require- (ii) The employee passes an oral,
ments contained in this part that are written, or practical, ‘‘hands-on’’ test
629
§ 232.203 49 CFR Ch. II (10–1–11 Edition)
developed or adopted by the railroad or performance of duties may be used to

contractor which is determined by the meet the ‘‘hands-on’’ portion of this re-
railroad or contractor to ensure that quirement, provided that such testing
the employee possesses the skills and is documented as required in paragraph
knowledge, or a portion of the skills or (e) of this section; and
knowledge, required in paragraphs (9) Add new brake systems to the
(b)(3) through (b)(5) of this section and training, qualification and designation
the test is documented as required in program prior to its introduction to
paragraph (e) of this section; or revenue service.
(iii) The railroad or contractor cer- (c) A railroad that operates trains re-
tifies that a group or segment of its quired to be equipped with a two-way
employees has previously received
end-of-train telemetry device pursuant
training or testing determined by the
to subpart E of this part, and each con-
railroad or contractor to meet the re-
tractor that maintains such devices
quirements, or a portion of the require-
ments, contained in paragraphs (b)(3) shall adopt and comply with a training
through (b)(5) of this section and com- program which specifically addresses
plete records of such training are not the testing, operation, and mainte-
available, provided the following condi- nance of two-way end-of-train devices
tions are satisfied: for employees who are responsible for
(A) The certification is placed in the the testing, operation, and mainte-
employee’s training records required in nance of the devices.
paragraph (e) of this section; (d) A railroad that operates trains
(B) The certification contains a brief under conditions that require the set-
description of the training provided ting of air brake pressure retaining
and the approximate date(s) on which valves shall adopt and comply with a
the training was provided; and training program which specifically ad-
(C) Any employee determined to be dresses the proper use of retainers for
trained pursuant to this paragraph is employees who are responsible for
given a diagnostic oral, written, or using or setting retainers.
‘‘hands-on’’ test covering that training (e) A railroad or contractor shall
for which this paragraph is relied upon maintain adequate records to dem-
at the time the employee receives his onstrate the current qualification sta-
or her first periodic refresher training tus of all of its personnel assigned to
under paragraph (b)(8) of this section. inspect, test, or maintain a train brake
(iv) Any combination of the training system. The records required by this
or testing contained in paragraphs paragraph may be maintained either
(b)(6)(i) through (b)(6)(iii) of this sec- electronically or in writing and shall
tion and paragraphs (b)(3) through be provided to FRA upon request.
(b)(5) of this section. These records shall include the fol-
(7) Require supervisors to exercise lowing information concerning each
oversight to ensure that all the identi- such employee:
fied tasks are performed in accordance (1) The name of the employee;
with the railroad’s written procedures
(2) The dates that each training
and the specific Federal regulatory re-
course was completed;
quirements contained in this part;
(8) Require periodic refresher train- (3) The content of each training
ing, at an interval not to exceed three course successfully completed;
years, that includes classroom and (4) The employee’s scores on each
‘‘hands-on’’ training, as well as testing; test taken to demonstrate proficiency;
except that employees that have com- (5) A description of the employee’s
pleted their initial training under para- ‘‘hands-on’’ performance applying the
graphs (b)(3) through (b)(6) of this part skills and knowledge the employee
prior to April 1, 2004, shall not be re- needs to possess in order to perform
quired to complete their first periodic the tasks required by this part that the
refresher training until four years after employee will be responsible for per-
the completion of their initial train- forming and the basis for finding that
ing, and every three years thereafter. the skills and knowledge were success-
Observation and evaluation of actual fully demonstrated;
630
(6) The tasks required to be per- (5) A location where the train is re-
formed under this part which the em- ceived in interchange if the train con-
ployee is deemed qualified to perform; sist is changed other than by:
and (i) Removing a car or a solid block of
(7) Identification of the person(s) de- cars from the train;
termining that the employee has suc- (ii) Adding a previously tested car or
cessfully completed the training nec- a previously tested solid block of cars
essary to be considered qualified to to the train;
perform the tasks identified in para- (iii) Changing motive power;
graph (e)(7) of this section. (iv) Removing or changing the ca-
(8) The date that the employee’s sta- boose; or
tus as qualified to perform the tasks (v) Any combination of the changes
identified in paragraph (e)(7) of this listed in paragraphs (a)(5) of this sec-
section expires due to the need for re- tion.
fresher training. (A) If changes other than those con-
(f) A railroad or contractor shall tained in paragraph (a)(5)(i)–(a)(5)(v) of
adopt and comply with a plan to peri- this section are made to the train con-
odically assess the effectiveness of its sist when it is received in interchange
training program. One method of vali- and the train will move 20 miles or
dation and assessment could be less, then the railroad may conduct a
through the use of efficiency tests or brake test pursuant to § 232.209 on those
periodic review of employee perform- cars added to the train.
ance. (B) [Reserved]
[66 FR 4193, Jan. 17, 2001, as amended at 67 (b) Except as provided in § 232.209,
FR 17581, Apr. 10, 2002] each car and each solid block of cars
added to a train shall receive a Class I
§ 232.205 Class I brake test-initial ter- brake test as described in paragraph (c)
minal inspection. of this section at the location where it
(a) Each train and each car in the is added to a train unless:
train shall receive a Class I brake test (1) The solid block of cars is com-
as described in paragraph (c) of this prised of cars from a single previous
section by a qualified person, as de- train, the cars of which have pre-
fined in § 232.5, at the following points: viously received a Class I brake test
(1) The location where the train is and have remained continuously and
originally assembled (‘‘initial ter- consecutively coupled together with
minal’’); the train line remaining connected,
(2) A location where the train consist other than for removing defective
equipment, since being removed from
is changed other than by:
its previous train and have not been off
(i) Adding a single car or a solid
air for more than four hours; or
block of cars, except as provided in
(2) The solid block of cars is com-
paragraph (b)(2) of this section;
prised of cars from a single previous
(ii) Removing a single car or a solid train, the cars of which were required
block of cars; to be separated into multiple solid
(iii) Removing cars determined to be blocks of cars due to space or trackage
defective under this chapter; or constraints at a particular location
(iv) A combination of the changes when removed from the previous train,
listed in paragraphs (a)(2)(i) through provided the cars have previously re-
(a)(2)(iii) of this section (See §§ 232.209 ceived a Class I brake test, have not
and 232.211 for requirements related to been off air more than four hours, and
the pick-up of cars and solid blocks of the cars in each of the multiple blocks
cars en route.); of cars have remained continuously
(3) A location where the train is off and consecutively coupled together
air for a period of more than four with the train line remaining con-
hours; nected, except for the removal of defec-
(4) A location where a unit or cycle tive equipment. Furthermore, these
train has traveled 3,000 miles since its multiple solid blocks of cars shall be
last Class I brake test; and added to a train in the same relative
631
§ 232.205 49 CFR Ch. II (10–1–11 Edition)
order (no reclassification) as when re- (iii) The AFM indicator shall be cali-
moved from the previous train, except brated for accuracy at periodic inter-
for the removal of defective equipment. vals not to exceed 92 days. The AFM in-
(c) A Class I brake test of a train dicator calibration test orifices shall
shall consist of the following tasks and be calibrated at temperatures of not
requirements: less than 20 degrees Fahrenheit. AFM
(1) Brake pipe leakage shall not ex- indicators shall be accurate to within
ceed 5 psi per minute or air flow shall ±3 standard cubic feet per minute
not exceed 60 cubic feet per minute (CFM).
(CFM). (2) The inspector(s) shall take a posi-
(i) Leakage Test. The brake pipe leak- tion on each side of each car sometime
age test shall be conducted as follows: during the inspection process so as to
be able to examine and observe the
(A) Charge the air brake system to
functioning of all moving parts of the
the pressure at which the train will be
brake system on each car in order to
operated, and the pressure at the rear
make the determinations and inspec-
of the train shall be within 15 psi of the
tions required by this section. A ‘‘roll-
pressure at which the train will be op-
by’’ inspection of the brake release as
erated, but not less than 75 psi, as indi-
provided for in paragraph (b)(8) of this
cated by an accurate gauge or end-of-
section shall not constitute an inspec-
train device at the rear end of train;
tion of that side of the train for pur-
(B) Upon receiving the signal to poses of this requirement;
apply brakes for test, make a 20-psi (3) The train brake system shall be
brake pipe service reduction; charged to the pressure at which the
(C) If the locomotive used to perform train will be operated, and the pressure
the leakage test is equipped with a at the rear of the train shall be within
means for maintaining brake pipe pres- 15 psi of the pressure at which the train
sure at a constant level during a 20-psi will be operated, but not less than 75
brake pipe service reduction, this fea- psi, angle cocks and cutout cocks shall
ture shall be cut out during the leak- be properly positioned, air hoses shall
age test; and be properly coupled and shall not kink,
(D) With the brake valve lapped and bind, or foul or be in any other condi-
the pressure maintaining feature cut tion that restricts air flow. An exam-
out (if so equipped) and after waiting ination must be made for leaks and
45–60 seconds, note the brake pipe leak- necessary repairs made to reduce leak-
age as indicated by the brake-pipe age to the required minimum. Retain-
gauge in the locomotive, which shall ing valves and retaining valve pipes
not exceed 5 psi per minute. shall be inspected and known to be in
(ii) Air Flow Method Test. When a lo- proper condition for service;
comotive is equipped with a 26-L brake (4) The brakes on each car shall apply
valve or equivalent pressure maintain- in response to a 20-psi brake pipe serv-
ing locomotive brake valve, a railroad ice reduction and shall remain applied
may use the Air Flow Method Test as until a release of the air brakes has
an alternate to the brake pipe leakage been initiated by the controlling loco-
test. The Air Flow Method (AFM) Test motive or yard test device. The brakes
shall be performed as follows: shall not be applied or released until
(A) Charge the air brake system to the proper signal is given. A car found
the pressure at which the train will be with brakes that fail to apply or re-
operated, and the pressure at the rear main applied may be retested and re-
of the train shall be within 15 psi of the main in the train if the retest is con-
pressure at which the train will be op- ducted at an air pressure that is within
erated, but not less than 75 psi, as indi- 15 psi of the air pressure at which the
cated by an accurate gauge or end-of- train will be operated. The retest may
train device at the rear end of train; be conducted from either the control-
and ling locomotive, the head-end of the
(B) Measure air flow as indicated by consist, or with a suitable test device,
a calibrated AFM indicator, which as described in § 232.217(a), positioned
shall not exceed 60 cubic feet per at one end of the car(s) being retested,
minute (CFM). and the brakes shall remain applied
632
until a release is initiated after a pe- fied person. In these circumstances, the
riod which is no less than three min- railroad shall ensure that the carman
utes. If the retest is performed at the is properly trained and designated as a
car(s) being retested with a suitable de- qualified person or qualified mechan-
vice, the compressed air in the car(s) ical inspector pursuant to the require-
shall be depleted prior to disconnecting ments of this part.
the hoses between the car(s) to perform (e) A railroad shall notify the loco-
the retest; motive engineer that the Class I brake
(5) For cars equipped with 81⁄2-inch or test was satisfactorily performed and
10-inch diameter brake cylinders, pis- provide the information required in
ton travel shall be within 6 to 9 inches. this paragraph to the locomotive engi-
If piston travel is found to be less than neer or place the information in the
6 inches or more than 9 inches, it must cab of the controlling locomotive fol-
be adjusted to nominally 71⁄2 inches. lowing the test. The information re-
For cars not equipped with 81⁄2-inch or quired by this paragraph may be pro-
10-inch diameter brake cylinders, pis- vided to the locomotive engineer by
ton travel shall be within the piston any means determined appropriate by
travel stenciled or marked on the car the railroad; however, a written or
or badge plate. Minimum brake cyl- electronic record of the information
inder piston travel of truck-mounted shall be retained in the cab of the con-
brake cylinders must be sufficient to trolling locomotive until the train
provide proper brake shoe clearance reaches its destination. The written or
when the brakes are released. Piston electronic record shall contain the
travel must be inspected on each date, time, number of freight cars in-
freight car while the brakes are ap- spected, and identify the qualified per-
plied; son(s) performing the test and the loca-
(6) Brake rigging shall be properly se- tion where the Class I brake test was
cured and shall not bind or foul or oth- performed.
erwise adversely affect the operation of (f) Before adjusting piston travel or
the brake system; working on brake rigging, cutout cock
(7) All parts of the brake equipment in brake pipe branch must be closed
shall be properly secured. On cars and air reservoirs must be voided of all
where the bottom rod passes through compressed air. When cutout cocks are
the truck bolster or is secured with provided in brake cylinder pipes, these
cotter keys equipped with a locking de- cutout cocks only may be closed and
vice to prevent their accidental re- air reservoirs need not be voided of all
moval, bottom rod safety supports are compressed air.
not required; and [66 FR 4193, Jan. 17, 2001, as amended at 67
(8) When the release is initiated by FR 17582, Apr. 10, 2002; 73 FR 61553, Oct. 16,
the controlling locomotive or yard test 2008]
device, the brakes on each freight car
shall be inspected to verify that it did § 232.207 Class IA brake tests—1,000-
release; this may be performed by a mile inspection.
‘‘roll-by’’ inspection. If a ‘‘roll-by’’ in- (a) Except as provided in § 232.213,
spection of the brake release is per- each train shall receive a Class IA
formed, train speed shall not exceed 10 brake test performed by a qualified
MPH and the qualified person per- person, as defined in § 232.5, at a loca-
forming the ‘‘roll-by’’ inspection shall tion that is not more than 1,000 miles
communicate the results of the inspec- from the point where any car in the
tion to the operator of the train. The train last received a Class I or Class IA
operator of the train shall note suc- brake test. The most restrictive car or
cessful completion of the release por- block of cars in the train shall deter-
tion of the inspection on the record re- mine the location of this test.
quired in paragraph (d) of this section. (b) A Class IA brake test of a train
(d) Where a railroad’s collective bar- shall consist of the following tasks and
gaining agreement provides that a car- requirements:
man is to perform the inspections and (1) Brake pipe leakage shall not ex-
tests required by this section, a car- ceed 5 psi per minute, or air flow shall
man alone will be considered a quali- not exceed 60 cubic feet per minute
633
§ 232.209 49 CFR Ch. II (10–1–11 Edition)
(CFM). The brake pipe leakage test or (2) In the event of an emergency that
air flow method test shall be conducted alters normal train operations, such as
pursuant to the requirements con- a derailment or other unusual cir-
tained in § 232.205(c)(1); cumstance that adversely affects the
(2) The inspector shall position him- safe operation of the train, the railroad
self/herself, taking positions on each is not required to provide prior written
side of each car sometime during the notification of a change in the location
inspection process, so as to be able to where a Class IA brake test is per-
examine and observe the functioning of formed to a location not on the rail-
all moving parts of the brake system road’s list of designated locations for
on each car in order to make the deter- performing Class IA brake tests, pro-
minations and inspections required by vided that the railroad notifies FRA’s
this section; Associate Administrator for Safety and
(3) The air brake system shall be the pertinent FRA Regional Adminis-
charged to the pressure at which the trator within 24 hours after the des-
train will be operated, and the pressure ignation has been changed and the rea-
at the rear of the train shall be within son for that change.
15 psi of the pressure at which the train [66 FR 4193, Jan. 17, 2001, as amended at 67
will be operated, but not less than 75 FR 17582, Apr. 10, 2002]
psi, as indicated by an accurate gauge
or end-of-train device at rear end of § 232.209 Class II brake tests—inter-
train; mediate inspection.
(4) The brakes on each car shall apply (a) At a location other than the ini-
in response to a 20-psi brake pipe serv- tial terminal of a train, a Class II
ice reduction and shall remain applied brake test shall be performed by a
until the release is initiated by the qualified person, as defined in § 232.5, on
controlling locomotive. A car found the following equipment when added to
with brakes that fail to apply or re- a train:
main applied may be retested and re- (1) Each car or solid block of cars, as
main in the train if the retest is con- defined in § 232.5, that has not pre-
ducted as prescribed in § 232.205(c)(4); viously received a Class I brake test or
otherwise, the defective equipment that has been off air for more than four
may only be moved pursuant to the hours;
provisions contained in § 232.15, if appli- (2) Each solid block of cars, as de-
cable; fined in § 232.5, that is comprised of
(5) Brake rigging shall be properly se- cars from more than one previous
cured and shall not bind or foul or oth- train; and
erwise adversely affect the operation of (3) Except as provided in paragraph
the brake system; and (a)(4) of this section, each solid block
(6) All parts of the brake equipment of cars that is comprised of cars from
shall be properly secured. only one previous train, the cars of
(c) A railroad shall designate the lo- which have not remained continuously
cations where Class IA brake tests will and consecutively coupled together
be performed, and the railroad shall with the train line remaining con-
furnish to the Federal Railroad Admin- nected since being removed from the
istration upon request a description of previous train. A solid block of cars is
each location designated. A railroad considered to have remained continu-
shall notify FRA’s Associate Adminis- ously and consecutively coupled to-
trator for Safety in writing 30 days gether with the train line remaining
prior to any change in the locations connected since being removed from
designated for such tests and inspec- the previous train if it has been
tions. changed only by removing defective
(1) Failure to perform a Class IA equipment.
brake test on a train at a location des- (4) Each solid block of cars that is
ignated pursuant to this paragraph comprised of cars from a single pre-
constitutes a failure to perform a prop- vious train, the cars of which were re-
er Class IA brake test if the train is quired to be separated into multiple
due for such a test at that location. solid blocks of cars due to space or
634
trackage constraints at a particular lo- (c) As an alternative to the rear car

cation when removed from the previous brake application and release portion
train, if they are not added in the same of the test, the operator of the train
relative order as when removed from shall determine that brake pipe pres-
the previous train or if the cars in each sure of the train is being reduced, as
of the multiple blocks of cars have not indicated by a rear car gauge or end-of-
remained continuously and consecu- train telemetry device, and then that
tively coupled together with the train the brake pipe pressure of the train is
line remaining connected, except for being restored, as indicated by a rear
the removal of defective equipment. car gauge or end-of-train telemetry de-
(b) A Class II brake test shall consist vice. (When an end-of-train telemetry
of the following tasks and require- device is used to comply with any test
ments: requirement in this part, the phrase
(1) Brake pipe leakage shall not ex- ‘‘brake pipe pressure of the train is
ceed 5 psi per minute, or air flow shall being reduced’’ means a pressure reduc-
not exceed 60 cubic feet per minute tion of at least 5 psi, and the phrase
(CFM). The brake pipe leakage test or ‘‘brake pipe pressure of the train is
air flow method test shall be conducted being restored’’ means a pressure in-
on the entire train pursuant to the re- crease of at least 5 psi). If an electronic
quirements contained in § 232.205(c)(1); communication link between a control-
(2) The air brake system shall be ling locomotive and a remotely con-
charged to the pressure at which the trolled locomotive attached to the rear
train will be operated, and the pressure end of a train is utilized to determine
at the rear of the train shall be within that brake pipe pressure is being re-
15 psi of the pressure at which the train stored, the operator of the train shall
will be operated, but not less than 75 know that the air brakes function as
psi, as indicated by an accurate gauge intended on the remotely controlled lo-
or end-of-train device at the rear end of comotive.
train; (d) Each car or solid block of cars
(3) The brakes on each car added to that receives a Class II brake test pur-
the train and on the rear car of the suant to this section when added to the
train shall be inspected to ensure that train shall receive a Class I brake test
they apply in response to a 20-psi brake at the next forward location where fa-
pipe service reduction and remain ap- cilities are available for performing
plied until the release is initiated from such a test.
the controlling locomotive. A car found
with brakes that fail to apply or re- [66 FR 4193, Jan. 17, 2001, as amended at 67
FR 17583, Apr. 10, 2002]
main applied may be retested and re-
main in the train if the retest is con- § 232.211 Class III brake tests-trainline
ducted as prescribed in § 232.205(c)(4); continuity inspection.
otherwise, the defective equipment
may only be moved pursuant to the (a) A Class III brake test shall be per-
provisions of § 232.15, if applicable; formed on a train by a qualified person,
(4) When the release is initiated, the as defined in § 232.5, to test the train
brakes on each car added to the train brake system when the configuration
and on the rear car of the train shall be of the train has changed in certain
inspected to verify that they did re- ways. In particular, a Class III brake
lease; this may be performed by a test shall be performed at the location
‘‘roll-by’’ inspection. If a ‘‘roll-by’’ in- where any of the following changes in
spection of the brake release is per- the configuration of the train occur:
formed, train speed shall not exceed 10 (1) Where a locomotive or a caboose
MPH, and the qualified person per- is changed;
forming the ‘‘roll-by’’ inspection shall (2) Where a car or a block of cars is
communicate the results of the inspec- removed from the train with the con-
tion to the operator of the train; and sist otherwise remaining intact;
(5) Before the train proceeds the op- (3) At a point other than the initial
erator of the train shall know that the terminal for the train, where a car or a
brake pipe pressure at the rear of the solid block of cars that is comprised of
train is being restored. cars from only one previous train the
635
§ 232.213 49 CFR Ch. II (10–1–11 Edition)
cars of which have remained continu- shall be inspected to verify that it did
ously and consecutively coupled to- release; and
gether with the trainline remaining (4) Before proceeding the operator of
connected, other than for removing de- the train shall know that the brake
fective equipment, since being removed pipe pressure at the rear of freight
from its previous train that has pre- train is being restored.
viously received a Class I brake test (c) As an alternative to the rear car
and that has not been off air for more brake application and release portion
than four hours is added to a train; of the test, it shall be determined that
(4) At a point other than the initial the brake pipe pressure of the train is
terminal for the train, where a solid being reduced, as indicated by a rear
block of cars that is comprised of cars car gauge or end-of-train telemetry de-
from a single previous train is added to vice, and then that the brake pipe pres-
a train, provided that the solid block of sure of the train is being restored, as
cars was required to be separated into indicated by a rear car gauge or end-of-
multiple solid blocks of cars due to train telemetry device. If an electronic
or radio communication link between a
space or trackage constraints at a par-
controlling locomotive and a remotely
ticular location when removed from
controlled locomotive attached to the
the previous train, and the cars have
rear end of a train is utilized to deter-
previously received a Class I brake
mine that brake pipe pressure is being
test, have not been off air more than
restored, the operator of the train shall
four hours, and the cars in each of the know that the air brakes function as
multiple blocks of cars have remained intended on the remotely controlled lo-
continuously and consecutively cou- comotive.
pled together with the train line re- (d) Whenever the continuity of the
maining connected, except for the re- brake pipe is broken or interrupted
moval of defective equipment. Further- with the train consist otherwise re-
more, these multiple solid blocks of maining unchanged, it must be deter-
cars must be added to the train in the mined that the brake pipe pressure of
same relative order (no reclassifica- the train is being restored as indicated
tion) as when removed from the pre- by a rear car gauge or end-of-train de-
vious train, except for the removal of vice prior to proceeding. In the absence
defective equipment; or of an accurate rear car gauge or end-of-
(5) At a point other than the initial train telemetry device, it must be de-
terminal for the train, where a car or a termined that the brakes on the rear
solid block of cars that has received a car of the train apply and release in re-
Class I or Class II brake test at that lo- sponse to air pressure changes made in
cation, prior to being added to the the controlling locomotive.
train, and that has not been off air for
more than four hours is added to a FR 17583, Apr. 10, 2002]
train.
(b) A Class III brake test shall con- § 232.213 Extended haul trains.
sist of the following tasks and require- (a) A railroad may be permitted to
ments: move a train up to, but not exceeding,
(1) The train brake system shall be 1,500 miles between brake tests and in-
charged to the pressure at which the spections if the railroad designates a
train will be operated, and the pressure train as an extended haul train. In
at the rear of the train shall not be less order for a railroad to designate a train
than 60 psi, as indicated at the rear of as an extended haul train, all of the
the train by an accurate gauge or end- following requirements must be met:
of-train device; (1) The railroad must designate the
(2) The brakes on the rear car of the train in writing to FRA’s Associate Ad-
train shall apply in response to a 20-psi ministrator for Safety. This designa-
brake pipe service reduction and shall tion must include the following:
remain applied until the release is ini- (i) The train identification symbol or
tiated by the controlling locomotive; identification of the location where ex-
(3) When the release is initiated, the tended haul trains will originate and a
brakes on the rear car of the train description of the trains that will be
636
operated as extended haul trains from inspection elements contained in

those locations; § 232.205.
(ii) The origination and destination (ii) If the train will move greater
points for the train; than 1,000 miles from that location
(iii) The type or types of equipment without another brake inspection, the
the train will haul; and train must be identified as an extended
(iv) The locations where all train haul train for that movement and shall
brake and mechanical inspections and meet all the requirements contained in
tests will be performed. paragraphs (a)(1) through (a)(7) of this
section. Such trains shall receive a
(2) A Class I brake test pursuant to
Class I brake test pursuant to § 232.205
§ 232.205 shall be performed at the ini-
by a qualified mechanical inspector to
tial terminal for the train by a quali-
ensure 100 percent effective and opera-
fied mechanical inspector as defined in
tive brakes, a freight car inspection
§ 232.5.
pursuant to part 215 of this chapter by
(3) A freight car inspection pursuant an inspector designated under § 215.11 of
to part 215 of this chapter shall be per- this chapter, and all cars containing
formed at the initial terminal for the non-complying conditions under part
train and shall be performed by an in- 215 of this chapter shall either be re-
spector designated under § 215.11 of this paired or removed from the train. The
chapter. inbound inspection required by para-
(4) All cars having conditions not in graph (a)(6) of this section may be used
compliance with part 215 of this chap- to meet these inspection requirements
ter at the initial terminal for the train provided it encompasses all the inspec-
shall be either repaired or removed tion elements contained paragraphs
from the train. Except for a car devel- (a)(2) through (a)(4) of this section.
oping such a condition en route, no car (7) FRA inspectors shall have phys-
shall be moved pursuant to the provi- ical access to visually observe all
sions of § 215.9 of this chapter in the brake and freight car inspections and
train. tests required by this section.
(5) The train shall have no more than (b) Failure to comply with any of the
one pick-up and one set-out en route, requirements contained in paragraph
except for the set-out of defective (a) of this section will be considered an
equipment pursuant to the require- improper movement of a designated
ments of this chapter. priority train for which appropriate
(i) Cars added to the train en route civil penalties may be assessed as out-
shall be inspected pursuant to the re- lined in appendix A to this part. Fur-
quirements contained in paragraphs thermore, FRA’s Associate Adminis-
(a)(2) through (a)(5) of this section at trator for Safety may revoke a rail-
the location where they are added to road’s ability to designate any or all
the train. trains as extended haul trains for re-
(ii) Cars set out of the train en route peated or willful noncompliance with
shall be inspected pursuant to the re- any of the requirements contained in
quirements contained in paragraph this section. Such a determination will
(a)(6) of this section at the location be made in writing and will state the
where they are set out of the train. basis for such action.
(6) In order for an extended haul [66 FR 4193, Jan. 17, 2001, as amended at 67
train to proceed beyond 1,500 miles, the FR 17583, Apr. 10, 2002; 73 FR 61553, Oct. 16,
following requirements shall be met: 2008]
(i) If the train will move 1,000 miles
or less from that location before re- § 232.215 Transfer train brake tests.
ceiving a Class IA brake test or reach- (a) A transfer train, as defined in
ing destination, a Class I brake test § 232.5, shall receive a brake test per-
shall be conducted pursuant to § 232.205 formed by a qualified person, as defined
to ensure 100 percent effective and op- in § 232.5, that includes the following:
erative brakes. The inbound inspection (1) The air brake hoses shall be cou-
required by paragraph (a)(6) of this sec- pled between all freight cars;
tion may be used to meet this require- (2) After the brake system is charged
ment provided it encompasses all the to not less than 60 psi as indicated by
637
§ 232.217 49 CFR Ch. II (10–1–11 Edition)
an accurate gauge or end-of-train de- (1) If the cars are off air for more
vice at the rear of the train, a 15-psi than four hours, the cars shall be re-
service brake pipe reduction shall be tested in accordance with § 232.205(c)
made; and through (f).
(3) An inspection shall be made to de- (2) At a minimum, yard air pressure
termine that the brakes on each car shall be 60 psi at the end of the consist
apply and remain applied until the re- or block of cars opposite from the yard
lease is initiated by the controlling lo- test device and shall be within 15 psi of
comotive. A car found with brakes that the regulator valve setting on yard test
fail to apply or remain applied may be device.
retested and remain in the train if the (3) If the air pressure of the yard test
retest is conducted as prescribed in device is less than 80 psi, then a brake
§ 232.205(c)(4); otherwise, the defective pipe leakage or air flow test shall be
equipment may be moved only pursu- conducted at the operating pressure of
ant to the provisions contained in the train when the locomotives are at-
§ 232.15, if applicable; tached in accordance with
(b) Cars added to transfer trains en § 232.205(c)(1).
route shall be inspected pursuant to (d) Mechanical yard air test devices
the requirements contained in para- and gauges shall be calibrated every 92
graph (a) of this section at the location days. Electronic yard test devices and
where the cars are added to the train.
gauges shall be calibrated annually.
(c) If a train’s movement will exceed Mechanical and electronic yard air test
20 miles or is not a transfer train as de- devices and gauges shall be calibrated
fined in § 232.5, the train shall receive a so that they are accurate to within ±3
Class I brake test in accordance with
psi.
§ 232.205 prior to departure.
(e) If used to test a train, a yard air
[66 FR 4193, Jan. 17, 2001, as amended at 67 test device and any yard air test equip-
FR 17583, Apr. 10, 2002] ment shall be accurate and function as
intended.
§ 232.217 Train brake tests conducted
using yard air. [66 FR 4193, Jan. 17, 2001, as amended at 67
FR 17583, Apr. 10, 2002]
(a) When a train air brake system is
tested from a yard air source, an engi- § 232.219 Double heading and helper
neer’s brake valve or a suitable test de- service.
vice shall be used to provide any in-
crease or reduction of brake pipe air (a) When more than one locomotive
pressure at the same, or slower, rate as is attached to a train, the engineer of
an engineer’s brake valve. the controlling locomotive shall oper-
(b) The yard air test device must be ate the brakes. In case it becomes nec-
connected to the end of the train or essary for the controlling locomotive
block of cars that will be nearest to the to give up control of the train short of
controlling locomotive. However, if the the destination of the train, a Class III
railroad adopts and complies with writ- brake test pursuant to § 232.211 shall be
ten procedures to ensure that potential made to ensure that the brakes are op-
overcharge conditions to the train erative from the automatic brake valve
brake system are avoided, the yard air of the locomotive taking control of the
test device may be connected to other train.
than the end nearest to the controlling (b) When one or more helper loco-
locomotive. motives are placed in a train, a visual
(c) Except as provided in this section, inspection shall be made of each helper
when yard air is used the train air locomotive brake system to determine
brake system must be charged and that the brake system operates as in-
tested as prescribed by § 232.205(c) and tended in response to a 20-psi reduction
when practicable should be kept initiated from the controlling loco-
charged until road motive power is motive of the train. A helper loco-
coupled to train, after which, a Class motive with inoperative or ineffective
III brake test shall be performed as brakes shall be repaired prior to use or
prescribed by § 232.211. removed from the train.
638
(c) If a helper locomotive utilizes a tain portion of that trackage as a re-

Helper Link device or a similar tech- pair track;
nology, the locomotive and device shall (iv) A track designated by a railroad
be equipped, designed, and maintained as a track where minor repairs will be
as follows: conducted or used by a railroad to reg-
(1) The locomotive engineer shall be ularly and consistently perform minor
notified by a distinctive alarm of any repairs during the period when the
loss of communication between the de- track is used to conduct major repairs;
vice and the two-way end-of-train de- however, such trackage is considered a
vice of more than 25 seconds; shop or repair track only for each car
(2) A method to reset the device shall receiving major repairs on such track-
be provided in the cab of the helper lo- age and not for a car receiving only
comotive that can be operated from the minor repairs; and
engineer’s usual position during oper- (v) The facilities and tracks identi-
ation of the locomotive. Alternatively, fied in paragraphs (a)(1)(i) through
the helper locomotive or the device (a)(1)(iv) shall be considered shop or re-
shall be equipped with a means to auto- pair tracks regardless of whether a mo-
matically reset the device, provided bile repair vehicle is used to conduct
that the automatic reset occurs within the repairs.
the period time permitted for manual (2) Major repair means a repair that
reset of the device; and normally would require greater than
(3) The device shall be tested for ac- four person-hours to accomplish or
curacy and calibrated if necessary ac- would involve the use of specialized
cording to the manufacturer’s speci- tools and equipment. Major repairs in-
fications and procedures every 365 clude such activities as coupler re-
days. This shall include testing radio placement, draft gear repair, and re-
frequencies and modulation of the de- pairs requiring the use of an air jack
vice. A legible record of the date and but exclude changing wheels on inter-
location of the last test or calibration modal loading ramps either with or
shall be maintained with the device. without an air jack.
(3) Minor repair means repairs, other
FR 17584, Apr. 10, 2002] than major repairs, that can be accom-
plished in a short period of time with
limited tools and equipment. Minor re-
Subpart D—Periodic Maintenance pairs would include such things as safe-
and Testing Requirements ty appliance straightening, handhold
replacement, air hose replacement, lad-
§ 232.301 Scope.
ing adjustment, and coupler knuckle or
This subpart contains the periodic knuckle pin replacement.
brake system maintenance and testing (b) A car on a shop or repair track
requirements for equipment used in shall be tested to determine that the
freight and other non-passenger trains. air brakes apply and remain applied
until a release is initiated.
§ 232.303 General requirements. (c) A car on a shop or repair track
(a) Definitions. The following defini- shall have its piston travel inspected.
tions are intended solely for the pur- For cars equipped with 81⁄2-inch or 10-
pose of identifying what constitutes a inch diameter brake cylinders, piston
shop or repair track under this subpart. travel shall be within 6 to 9 inches. If
(1) Shop or repair track means: piston travel is found to be less than 6
(i) A fixed repair facility or track inches or more than 9 inches, it must
designated by the railroad as a shop or be adjusted to nominally 71⁄2 inches.
repair track; For cars not equipped with 81⁄2-inch or
(ii) A fixed repair facility or track 10-inch diameter brake cylinders, pis-
which is regularly and consistently ton travel shall be within the piston
used to perform major repairs; travel stenciled or marked on the car
(iii) Track which is used at a location or badge plate.
to regularly and consistently perform (d) Before a car is released from a
both minor and major repairs where shop or repair track, a qualified person
the railroad has not designated a cer- shall ensure:
639
§ 232.305 49 CFR Ch. II (10–1–11 Edition)
(1) The brake pipe is securely shall contain the date, location, and
clamped; the signature or identification of the
(2) Angle cocks are properly located qualified person removing it from the
with suitable clearance and properly piece of equipment.
positioned to allow maximum air flow; (f) The location and date of the last
(3) Valves, reservoirs, and cylinders single car air brake test required by
are tight on supports and the supports § 232.305 shall be clearly stenciled,
are securely attached to the car; marked, or labeled in two-inch high
(4) Hand brakes are tested, inspected, letters or numerals on the side of the
and operate as intended; and equipment. Alternatively, the railroad
(5) Brake indicators, on cars so industry may use an electronic or
equipped, are accurate and operate as automated tracking system to track
intended. the required information and the per-
(e) If the single car air brake test re- formance of the test required by
quired by § 232.305 cannot be conducted § 232.305.
at the point where repairs can be made (1) Electronic or automated tracking
to the car, the car may be moved after systems used to meet the requirement
the repairs are made to the next for- contained in this paragraph shall be ca-
ward location where the test can be pable of being reviewed and monitored
performed. Inability to perform a sin- by FRA at any time to ensure the in-
gle car air brake test does not con- tegrity of the system. FRA’s Associate
stitute an inability to make the nec- Administrator for Safety may prohibit
essary repairs. or revoke the railroad industry’s au-
(1) If it is necessary to move a car thority to utilize an electronic or auto-
from the location where the repairs are mated tracking system in lieu of sten-
performed in order to perform a single ciling or marking if FRA finds that the
car air brake test required by this part, electronic or automated tracking sys-
a tag or card shall be placed on both tem is not properly secure, is inacces-
sides of the equipment, or an auto- sible to FRA or railroad employees, or
mated tracking system approved for fails to adequately track and monitor
use by FRA, shall contain the fol- the equipment. FRA will record such a
lowing information about the equip- determination in writing, include a
ment: statement of the basis for such action,
(i) The reporting mark and car num- and will provide a copy of the docu-
ber; ment to the affected railroads.
(ii) The name of the inspecting rail- (2) [Reserved]
road; [66 FR 4193, Jan. 17, 2001, as amended at 66
(iii) The location where repairs were FR 39687, Aug. 1, 2001; 67 FR 17584, Apr. 10,
performed and date; 2002; 73 FR 61553, Oct. 16, 2008]
(iv) Indication whether the car re-
quires a single car air brake test; § 232.305 Single car air brake tests.
(v) The location where the appro- (a) Single car air brake tests shall be
priate test is to be performed; and performed by a qualified person in ac-
(vi) The name, signature, if possible, cordance with either Section 3.0,
and job title of the qualified person ap- ‘‘Tests-Standard Freight Brake Equip-
proving the move. ment,’’ and Section 4.0, ‘‘Special
(2) The tag or card required by para- Tests,’’ of the Association of American
graph (e)(1) of this section shall remain Railroads Standard S–486–04, ‘‘Code of
affixed to the equipment until the nec- Air Brake System Tests for Freight
essary test has been performed. Equipment,’’ contained in the AAR
(3) An electronic or written record or Manual of Standards and Recommended
copy of each tag or card attached to or Practices, Section E (January 1, 2004); an
removed from a car or locomotive shall alternative procedure approved by FRA
be retained for 90 days and, upon re- pursuant to § 232.17; or a modified pro-
quest, shall be made available within 15 cedure approved in accordance with the
calendar days for inspection by FRA or provisions contained in § 232.307. The
State inspectors. incorporation by reference of these two
(4) The record or copy of each tag or sections of this AAR standard was ap-
card removed from a car or locomotive proved by the Director of the Federal
640
Register in accordance with 5 U.S.C. prior to placing or using the car in rev-
552(a) and 1 CFR part 51. You may ob- enue service.
tain a copy of the incorporated docu- [66 FR 39688, Aug. 1, 2001, as amended at 73
ment from the Association of American FR 61553, Oct. 16, 2008; 74 FR 25174, May 27,
Railroads, 50 F Street, NW., Wash- 2009]
ington, DC 20001. You may inspect a
copy of the document at the Federal § 232.307 Modification of the single car
Railroad Administration, Docket air brake test procedures.
Clerk, 1200 New Jersey Avenue, SE., (a) Request. The AAR or other author-
Washington, DC or at the National Ar- ized representative of the railroad in-
chives and Records Administration dustry may seek modification of the
(NARA). For information on the avail- single car air brake test procedures
ability of this material at NARA, call prescribed in § 232.305(a). The request
202–741–6030, or go to: http:// for modification shall be submitted to
www.archives.gov/federallregister/ the Associate Administrator for Safe-
codeloflfederallregulations/ ty, Federal Railroad Administration,
ibrllocations.html. 1200 New Jersey Avenue, SE., Wash-
(b) Except as provided in § 232.303(e), a ington, DC 20590 and shall contain:
railroad shall perform a single car air (1) The name, title, address, and tele-
brake test on a car when: phone number of the primary person to
(1) A car has its brakes cut-out or in- be contacted with regard to review of
operative when removed from a train the modification;
or when placed on a shop or repair (2) The modification, in detail, to be
track, as defined in § 232.303(a); substituted for a particular procedure
(2) A car is on a shop or repair track, prescribed in § 232.305(a);
as defined in § 232.303(a), for any reason (3) Appropriate data or analysis, or
and has not received a single car air both, for FRA to consider in deter-
brake test within the previous 12- mining whether the modification will
provide at least an equivalent level of
month period;
safety; and
(3) A car is found with missing or in- (4) A statement affirming that the
complete single car air brake test in- railroad industry has served a copy of
formation; the request on the designated rep-
(4) One or more of the following con- resentatives of the employees respon-
ventional air brake equipment items is sible for the equipment’s operation, in-
removed, repaired, or replaced: spection, testing, and maintenance
(i) Brake reservoir; under this part, together with a list of
(ii) Control valve mounting gasket; the names and addresses of the persons
(iii) Pipe bracket stud; served.
(iv) Service portion; (b) Federal Register document. Upon
(v) Emergency portion; or receipt of a request for modification,
(vi) Pipe bracket. FRA will publish a document in the
(5) A car is found with one or more of FEDERAL REGISTER containing the re-
the following wheel defects: quested modification. The document
will permit interested parties 60 days
(i) Built-up tread, unless known to be
to comment on any requested modi-
caused by hand brake left applied;
fication.
(ii) Slid flat wheel, unless known to (c) FRA review. During the 60 days
be caused by hand brake left applied; or provided for public comment, FRA will
(iii) Thermal cracks. review the petition. If FRA objects to
(c) Except as provided in paragraph the requested modification, written no-
(d) of this section, each car shall re- tification will be provided, within this
ceive a single car air brake test no less 60-day period, to the party requesting
than every 5 years. the modification detailing FRA’s ob-
(d) Each car shall receive a single car jection.
air brake test no less than 8 years from (d) Disposition. (1) If no comment ob-
the date the car was built or rebuilt. jecting to the requested modification is
(e) A single car air brake test shall be received during the 60-day comment
performed on each new or rebuilt car period, provided by paragraph (b) of
641
§ 232.309 49 CFR Ch. II (10–1–11 Edition)
this section, or if FRA does not issue a every 92 days after being placed in
written objection to the requested service and may not continue in serv-
modification, the modification will be- ice if more than one year has passed
come effective 15 days after the close of since its last 92-day test.
the 60-day comment period. (f) Each single car test device shall
(2) If an objection is raised by an in- be disassembled and cleaned not less
terested party, during the 60-day com- frequently than every 365 days after
ment period, or if FRA issues a written being placed in service.
objection to the requested modifica- [66 FR 4193, Jan. 17, 2001, as amended at 66
tion, the requested modification will be FR 39689, Aug. 1, 2001]
handled as follows:
(i) If FRA finds that the request com-
plies with the requirements of this sec-
Subpart E—End-of-Train Devices
tion and that the proposed modifica- § 232.401 Scope.
tion is acceptable and justified, the re-
This subpart contains the require-
quest will be granted, normally within
ments related to the performance, op-
90 days of its receipt. If the request for
eration, and testing of end-of-train de-
modification is neither granted nor de-
vices. Unless expressly excepted in this
nied within 90 days, the request re-
subpart, the requirements of this sub-
mains pending for decision. FRA may
part apply to all trains operating on
attach special conditions to the ap-
proval of any request for modification. road system of transportation.
Following the approval of a request for
modification, FRA may reopen consid- § 232.403 Design standards for one-way
eration of the request for cause. end-of-train devices.
(ii) If FRA finds that the request does (a) General. A one-way end-of-train
not comply with the requirements of device shall be comprised of a rear-of-
this section and that the proposed train unit (rear unit) located on the
modification is not acceptable or justi- last car of a train and a front-of-train
fied, the requested modification will be unit (front unit) located in the cab of
denied, normally within 90 days of its the locomotive controlling the train.
receipt. (b) Rear unit. The rear unit shall be
(iii) When FRA grants or denies a re- capable of determining the brake pipe
quest for modification, or reopens con- pressure on the rear car and transmit-
sideration of the request, written no- ting that information to the front unit
tice is sent to the requesting party and for display to the locomotive engineer.
other interested parties. The rear unit shall be—
[66 FR 39688, Aug. 1, 2001, as amended at 74 (1) Capable of measuring the brake
FR 25174, May 27, 2009] pipe pressure on the rear car with an
accuracy of ±3 pounds per square inch
§ 232.309 Equipment and devices used (psig) and brake pipe pressure vari-
to perform single car air brake ations of ±1 psig;
tests. (2) Equipped with a ‘‘bleeder valve’’
(a) Equipment and devices used to that permits the release of any air
perform single car air brake tests shall under pressure from the rear of train
be tested for correct operation at least unit or the associated air hoses prior to
once each calendar day of use. detaching the rear unit from the brake
(b) Except for single car test devices, pipe;
mechanical test devices such as pres- (3) Designed so that an internal fail-
sure gauges, flow meters, orifices, etc. ure will not cause an undesired emer-
shall be calibrated once every 92 days. gency brake application;
(c) Electronic test devices shall be (4) Equipped with either an air gauge
calibrated at least once every 365 days. or a means of visually displaying the
(d) Test equipment and single car rear unit’s brake pipe pressure meas-
test devices placed in service shall be urement; and
tagged or labeled with the date its next (5) Equipped with a pressure relief
calibration is due. safety valve to prevent explosion from
(e) Each single car test device shall a high pressure air leak inside the rear
be tested not less frequently than unit.
642
(c) Reporting rate. Multiple data from the rear unit with the same code
transmissions from the rear unit shall as entered into the front unit.
occur immediately after a variation in (4) The front unit shall be designed to
the rear car brake pipe pressure of ±2 meet the requirements of paragraphs
psig and at intervals of not greater (d)(2), (3), (4), and (5) of this section. It
than 70 seconds when the variation in shall also be designed to meet the per-
the rear car brake pipe pressure over formance requirements in this para-
the 70-second interval is less than ±2 graph under the following environ-
psig. mental conditions:
(d) Operating environment. The rear (i) At temperatures from 0 °C to 60 °C;
unit shall be designed to meet the per- (ii) During a vertical or lateral shock
formance requirements of paragraphs of 2 g. peak for 0.1 second; and
(b) and (c) of this section under the fol- (iii) During a longitudinal shock of 5
lowing environmental conditions: g. peak for 0.1 second.
(1) At temperatures from ¥40 °C to 60 (g) Radio equipment. (1) The radio
°C; transmitter in the rear unit and the
(2) At a relative humidity of 95% non- radio receiver in the front unit shall
condensing at 50 °C; comply with the applicable regulatory
(3) At altitudes of zero to 12,000 feet requirements of the Federal Commu-
mean sea level; nications Commission (FCC) and use of
(4) During vertical and lateral vibra- a transmission format acceptable to
tions of 1 to 15 Hz., with 0.5 g. peak to the FCC.
peak, and 15 to 500 Hz., with 5 g. peak (2) If power is supplied by one or
to peak; more batteries, the operating life shall
be a minimum of 36 hours at 0 °C.
(5) During the longitudinal vibrations
of 1 to 15 Hz., with 3 g. peak to peak, § 232.405 Design and performance
and 15 to 500 Hz., with 5 g. peak to standards for two-way end-of-train
peak; and devices.
(6) During a shock of 10 g. peak for 0.1 Two-way end-of-train devices shall be
second in any axis. designed and perform with the features
(e) Unique code. Each rear unit shall applicable to one-way end-of-train de-
have a unique and permanent identi- vices described in § 232.403, except those
fication code that is transmitted along included in § 232.403(b)(3). In addition, a
with the pressure message to the front- two-way end-of-train device shall be
of-train unit. A code obtained from the designed and perform with the fol-
Association of American Railroads, 50 lowing features:
F Street, NW., Washington, DC 20036 (a) An emergency brake application
shall be deemed to be a unique code for command from the front unit of the de-
purposes of this section. A unique code vice shall activate the emergency air
also may be obtained from the Office of valve at the rear of the train within
Safety Assurance and Compliance one second.
(RRS–10), Federal Railroad Adminis- (b) The rear unit of the device shall
tration, Washington, DC 20590. send an acknowledgment message to
(f) Front unit. (1) The front unit shall the front unit immediately upon re-
be designed to receive data messages ceipt of an emergency brake applica-
from the rear unit and shall be capable tion command. The front unit shall lis-
of displaying the rear car brake pipe ten for this acknowledgment and re-
pressure in increments not to exceed peat the brake application command if
one pound. the acknowledgment is not correctly
(2) The display shall be clearly visi- received.
ble and legible in daylight and dark- (c) The rear unit, on receipt of a
ness from the engineer’s normal oper- properly coded command, shall open a
ating position. valve in the brake line and hold it open
(3) The front device shall have a for a minimum of 15 seconds. This
means for entry of the unique identi- opening of the valve shall cause the
fication code of the rear unit being brake line to vent to the exterior.
used. The front unit shall be designed (d) The valve opening shall have a
so that it will display a message only minimum diameter of 3⁄4 inch and the
643
§ 232.407 49 CFR Ch. II (10–1–11 Edition)
internal diameter of the hose shall be (2) Train means one or more loco-
5⁄8 inch to effect an emergency brake
motives coupled with one or more rail
application. cars, except during switching oper-
(e) The front unit shall have a manu- ations or where the operation is that of
ally operated switch which, when acti- classifying cars within a railroad yard
vated, shall initiate an emergency for the purpose of making or breaking
brake transmission command to the up trains.
rear unit or the locomotive shall be (3) Local train means a train assigned
equipped with a manually operated to perform switching en route which
switch on the engineer control stand operates with 4,000 trailing tons or less
designed to perform the equivalent and travels between a point of origin
function. The switch shall be labeled and a point of final destination, for a
‘‘Emergency’’ and shall be protected so distance that is no greater than that
that there will exist no possibility of which can normally be operated by a
accidental activation. single crew in a single tour of duty.
(f) All locomotives ordered on or (4) Work train means a non-revenue
after August 1, 2001, or placed in serv- service train of 4,000 trailing tons or
ice for the first time on or after August less used for the administration and
1, 2003, shall be designed to automati- upkeep service of the railroad.
cally activate the two-way end-of-train (5) Trailing tons means the sum of the
device to effectuate an emergency
gross weights—expressed in tons—of
brake application whenever it becomes
the cars and the locomotives in a train
necessary for the locomotive engineer
that are not providing propelling power
to place the train air brakes in emer-
to the train.
gency.
(b) General. All trains not specifically
(g) The availability of the front-to-
excepted in paragraph (e) of this sec-
rear communications link shall be
tion shall be equipped with and shall
checked automatically at least every
use either a two-way end-of-train de-
10 minutes.
vice meeting the design and perform-
(h) Means shall be provided to con-
ance requirements contained in § 232.405
firm the availability and proper func-
or a device using an alternative tech-
tioning of the emergency valve.
nology to perform the same function.
(i) Means shall be provided to arm
(c) New devices. Each newly manufac-
the front and rear units to ensure the
tured end-of-train device purchased by
rear unit responds to an emergency
a railroad after January 2, 1998 shall be
command only from a properly associ-
ated front unit. a two-way end-of-train device meeting
the design and performance require-
§ 232.407 Operations requiring use of ments contained in § 232.405 or a device
two-way end-of-train devices; prohi- using an alternative technology to per-
bition on purchase of noncon- form the same function.
forming devices. (d) Grandfathering. Each two-way
(a) Definitions. The following defini- end-of-train device purchased by any
tions are intended solely for the pur- person prior to July 1, 1997 shall be
pose of identifying those operations deemed to meet the design and per-
subject to the requirements for the use formance requirements contained in
of two-way end-of-train devices. § 232.405.
(1) Heavy grade means: (e) Exceptions. The following types of
(i) For a train operating with 4,000 trains are excepted from the require-
trailing tons or less, a section of track ment for the use of a two-way end-of-
with an average grade of two percent train device:
or greater over a distance of two con- (1) Trains with a locomotive or loco-
tinuous miles; and motive consist located at the rear of
(ii) For a train operating with great- the train that is capable of making an
er than 4,000 trailing tons, a section of emergency brake application, through
track with an average grade of one per- a command effected by telemetry or by
cent or greater over a distance of three a crew member in radio contact with
continuous miles. the controlling locomotive;
644
(2) Trains operating in the push mode (ii) If the total number of cars in a
with the ability to effectuate an emer- passenger train consist is thirteen (13)
gency brake application from the rear to twenty-four (24), a car located no
of the train; less than two-thirds (2⁄3) of the way
(3) Trains with an operational ca- through the consist (counting from the
boose placed at the rear of the train, first car in the train) must be equipped
carrying one or more crew members in with an emergency brake valve readily
radio contact with the controlling lo- accessible to a crew member;
comotive, that is equipped with an (iii) Prior to descending a section of
emergency brake valve; track with an average grade of two per-
(4) Trains operating with a sec- cent or greater over a distance of two
ondary, fully independent braking sys- continuous miles, the engineer of the
tem capable of safely stopping the train shall communicate with the con-
train in the event of failure of the pri- ductor, to ensure that a member of the
mary system; crew with a working two-way radio is
(5) Trains that do not operate over stationed in the car with the rearmost
heavy grades and do not exceed 30 mph; readily accessible emergency brake
(6) Local trains, as defined in para- valve on the train when the train be-
graph (a)(3) of this section, that do not gins its descent; and
operate over heavy grades; (iv) While the train is descending a
(7) Work trains, as defined in para- section of track with an average grade
graph (a)(4) of this section, that do not of two percent or greater over a dis-
operate over heavy grades; tance of two continuous miles, a mem-
(8) Trains that operate exclusively on ber of the train crew shall occupy the
track that is not part of the general car that contains the rearmost readily
railroad system; accessible emergency brake valve on
(9) Trains that must be divided into the train and be in constant radio com-
two sections in order to traverse a munication with the locomotive engi-
grade (e.g., doubling a hill). This excep- neer. The crew member shall remain in
tion applies only to the extent nec- this car until the train has completely
essary to traverse the grade and only
traversed the heavy grade.
while the train is divided in two for
such purpose; (f) Specific requirements for use. If a
train is required to use a two-way end-
(10) Passenger trains in which all of
of-train device:
the cars in the train are equipped with
an emergency brake valve readily ac- (1) That device shall be armed and
cessible to a crew member; operable from the time the train de-
(11) Passenger trains that have a car parts from the point where the device
at the rear of the train, readily acces- is installed until the train reaches its
sible to one or more crew members in destination. If a loss of communication
radio contact with the engineer, that is occurs at the location where the device
equipped with an emergency brake is installed, the train may depart the
valve readily accessible to such a crew location at restricted speed for a dis-
member; and tance of no more than one mile in
(12) Passenger trains that have twen- order to establish communication.
ty-four (24) or fewer cars (not including When communication is established,
locomotives) in the consist and that the quantitative values of the head and
are equipped and operated in accord- rear unit shall be compared pursuant
ance with the following train-configu- to § 232.409(b) and the device tested pur-
ration and operating requirements: suant to § 232.409(c), unless the test was
(i) If the total number of cars in a performed prior to installation.
passenger train consist is twelve (12) or (2) The rear unit batteries shall be
fewer, a car located no less than half- sufficiently charged at the initial ter-
way through the consist (counting minal or other point where the device
from the first car in the train) must be is installed and throughout the train’s
equipped with an emergency brake trip to ensure that the end-of-train de-
valve readily accessible to a crew mem- vice will remain operative until the
ber; train reaches its destination.
645
§ 232.407 49 CFR Ch. II (10–1–11 Edition)
(3) The device shall be activated to (A) The helper locomotive engineer
effectuate an emergency brake applica- shall initiate and maintain two-way
tion either by using the manual toggle voice radio communication with the
switch or through automatic activa- engineer on the head end of the train;
tion, whenever it becomes necessary this contact shall be verified just prior
for the locomotive engineer to initiate to passing the crest of the grade.
an emergency application of the air (B) If there is a loss of communica-
brakes using either the automatic tion prior to passing the crest of the
brake valve or the conductor’s emer- grade, the helper locomotive engineer
gency brake valve. and the head-end engineer shall act im-
(g) En route failure of device on a mediately to stop the train until voice
freight or other non-passenger train. Ex- communication is resumed, in accord-
cept on passenger trains required to be ance with the railroad’s operating
equipped with a two-way end-of-train rules.
device (which are provided for in para- (C) If there is a loss of communica-
graph (h) of this section), en route fail- tion once the descent has begun, the
ures of a two-way end-of-train device helper locomotive engineer and the
shall be handled in accordance with head-end engineer shall act to stop the
this paragraph. If a two-way end-of- train, in accordance with the railroad’s
train device or equivalent device fails operating rules, if the train has
en route (i.e., is unable to initiate an reached a predetermined rate of speed
emergency brake application from the that indicates the need for emergency
braking.
rear of the train due to certain losses
(D) The brake pipe of the helper loco-
of communication (front to rear) or due
motive shall be connected and cut into
to other reasons, the speed of the train
the train line and tested to ensure op-
on which it is installed shall be limited
eration.
to 30 mph until the ability of the de-
(ii) Use of an occupied caboose at the
vice to initiate an emergency brake ap-
end of the train with a tested, func-
plication from the rear of the train is
tioning brake valve capable of initi-
restored. This limitation shall apply to
ating an emergency brake application
a train using a device that uses an al-
from the caboose. This alternative may
ternative technology to serve the pur-
be used only if the train service em-
pose of a two-way end-of-train device. ployee in the caboose and the engineer
With regard to two-way end-of-train on the head end of the train establish
devices, a loss of communication be- and maintain two-way voice radio com-
tween the front and rear units is an en munication and respond appropriately
route failure only if the loss of commu- to the loss of such communication in
nication is for a period greater than 16 the same manner as prescribed for
minutes and 30 seconds. Based on the helper locomotives in paragraph
existing design of the devices, the dis- (g)(1)(i) of this section.
play to an engineer of a message that (iii) Use of a radio-controlled loco-
there is a communication failure indi- motive at the rear of the train under
cates that communication has been continuous control of the engineer in
lost for 16 minutes and 30 seconds or the head end by means of telemetry,
more. but only if such radio-controlled loco-
(1) If a two-way end-of-train device motive is capable of initiating an
fails en route, the train on which it is emergency application on command
installed, in addition to observing the from the lead (controlling) locomotive.
30-mph speed limitation, shall not op- (2) If a two-way end-of-train device
erate over a section of track with an fails en route while the train on which
average grade of two percent or greater it is installed is operating over a sec-
for a distance of two continuous miles, tion of track with an average grade of
unless one of the following alternative two percent or greater for a distance of
measures is provided: two continuous miles, the train shall
(i) Use of an occupied helper loco- be brought safely to a stop at the first
motive at the end of the train. This al- available location in accordance with
ternative may be used only if the fol- the railroad’s operating rule, except
lowing requirements are met: the train may continue in operation if
646
the railroad provides one of the alter- device, or both, on a train and before
native measures detailed in paragraph the train departs, the functional capa-
(g)(1) of this section. bility of the device shall be deter-
(h) En route failure of device on a pas- mined, after charging the train, by
senger train. (1) A passenger train re- comparing the quantitative value of
quired to be equipped with a two-way the air pressure displayed on the front
end-of-train device that develops an en unit with the quantitative value of the
route failure of the device (as explained air pressure displayed on the rear unit
in paragraph (g) of this section) shall or on a properly calibrated air gauge.
not operate over a section of track The end-of-train device shall not be
with an average grade of two percent used if the difference between the two
or greater over a distance of two con- readings exceeds three pounds per
tinuous miles until an operable two- square inch.
way end-of-train device is installed on (c) A two-way end-of-train device
the train or an alternative method of shall be tested at the initial terminal
initiating an emergency brake applica- or other point of installation to deter-
tion from the rear of the train is mine that the device is capable of initi-
achieved. ating an emergency power brake appli-
(2) Except as provided in paragraph cation from the rear of the train. If
(h)(1) of this section, a passenger train this test is conducted by a person other
required to be equipped with a two-way than a member of the train crew, the
end-of-train device that develops an en locomotive engineer shall be notified
route failure of the device (as explained that a successful test was performed.
in paragraph (g) of this section) shall The notification required by this para-
be operated in accordance with the fol- graph may be provided to the loco-
lowing: motive engineer by any means deter-
(i) A member of the train crew shall mined appropriate by the railroad;
be immediately positioned in the car however, a written or electronic record
which contains the rearmost readily of the notification shall be maintained
accessible emergency brake valve on in the cab of the controlling loco-
the train and shall be equipped with an motive and shall include the date and
operable two-way radio that commu- time of the test, the location where the
nicates with the locomotive engineer; test was performed, and the name of
and the person conducting the test.
(ii) The locomotive engineer shall pe- (d) The telemetry equipment shall be
riodically make running tests of the tested for accuracy and calibrated if
train’s air brakes until the failure is necessary according to the manufac-
corrected; and turer’s specifications and procedures at
(3) Each en route failure shall be cor- least every 368 days. The 368 days shall
rected at the next location where the not include a shelf-life of up to 92 days
necessary repairs can be conducted or prior to placing the unit in service.
at the next location where a required This test shall include testing radio
brake test is to be performed, which- frequencies and modulation of the de-
ever is reached first. vice. The date and location of the last
[66 FR 4193, Jan. 17, 2001, as amended at 67 calibration or test as well as the name
FR 17584, Apr. 10, 2002] of the person performing the calibra-
tion or test shall be legibly displayed
§ 232.409 Inspection and testing of on a weather-resistant sticker or other
end-of-train devices. marking device affixed to the outside
(a) After each installation of either of both the front unit and the rear
the front or rear unit of an end-of-train unit; however, if the front unit is an in-
device, or both, on a train and before tegral part of the locomotive or is in-
the train departs, the railroad shall de- accessible, then the information may
termine that the identification code recorded on Form FRA F6180–49A in-
entered into the front unit is identical stead, provided that the serial number
to the unique identification code on of the unit is recorded.
the rear unit. [66 FR 4193, Jan. 17, 2001, as amended at 66
(b) After each installation of either FR 29502, May 31, 2001; 67 FR 17584, Apr. 10,
the front or rear unit of an end-of-train 2002]
647
§ 232.501 49 CFR Ch. II (10–1–11 Edition)
Subpart F—Introduction of New (1) Adopt and comply with such FRA-
Brake System Technology approved plan, including fully exe-
cuting the tests required by the plan;
§ 232.501 Scope. (2) Report to the FRA Associate Ad-
This subpart contains general re- ministrator for Safety the results of
quirements for introducing new brake the pre-revenue service acceptance
system technologies. This subpart is tests;
intended to facilitate the introduction (3) Correct any safety deficiencies
of new complete brake system tech- identified by FRA in the design of the
nologies or major upgrades to existing equipment or in the inspection, test-
systems which the current regulations ing, and maintenance procedures or, if
do not adequately address (i.e., elec- safety deficiencies cannot be corrected
tronic brake systems). This subpart is by design or procedural changes, agree
not intended for use in the introduc- to comply with any operational limita-
tion of a new brake component or ma- tions that may be imposed by the Asso-
terial. ciate Administrator for Safety on the
revenue service operation of the equip-
§ 232.503 Process to introduce new ment; and
brake system technology. (4) Obtain FRA approval to place the
(a) Pursuant to the procedures con- new brake system technology in rev-
tained in § 232.17, each railroad shall enue service.
obtain special approval from the FRA (c) Compliance with limitations. The
Associate Administrator for Safety of a operating railroad shall comply with
pre-revenue service acceptance testing each operational limitation, if any, im-
plan, developed pursuant to § 232.505, posed by the Associate Administrator
for the new brake system technology, for Safety.
prior to implementing the plan. (d) Availability of plan. The plan shall
(b) Each railroad shall complete a be made available to FRA for inspec-
pre-revenue service demonstration of tion and copying upon request.
the new brake system technology in (e) Elements of plan. The plan shall in-
accordance with the approved plan, clude all of the following elements:
shall fulfill all of the other require- (1) An identification of each waiver,
ments prescribed in § 232.505, and shall if any, of FRA or other Federal safety
obtain special approval from the FRA regulations required for the tests or for
Associate Administrator for Safety revenue service operation of the equip-
under the procedures of § 232.17 prior to ment.
using such brake system technology in (2) A clear statement of the test ob-
revenue service. jectives. One of the principal test ob-
jectives shall be to demonstrate that
§ 232.505 Pre-revenue service accept- the equipment meets the safety design
ance testing plan. and performance requirements speci-
(a) General; submission of plan. Except fied in this part when operated in the
as provided in paragraph (f) of this sec- environment in which it is to be used.
tion, before using a new brake system (3) A planned schedule for conducting
technology for the first time on its sys- the tests.
tem the operating railroad or railroads (4) A description of the railroad prop-
shall submit a pre-revenue service ac- erty or facilities to be used to conduct
ceptance testing plan containing the the tests.
information required by paragraph (e) (5) A detailed description of how the
of this section and obtain the approval tests are to be conducted. This descrip-
of the FRA Associate Administrator tion shall include:
for Safety, under the procedures speci- (i) An identification of the equipment
fied in § 232.17. to be tested;
(b) Compliance with plan. After receiv- (ii) The method by which the equip-
ing FRA approval of the pre-revenue ment is to be tested;
service testing plan and before intro- (iii) The criteria to be used to evalu-
ducing the new brake system tech- ate the equipment’s performance; and
nology into revenue service, the oper- (iv) The means by which the test re-
ating railroad or railroads shall: sults are to be reported to FRA.
648
(6) A description of any special in- tains specific exceptions from various
strumentation to be used during the requirements contained in this part for
tests. freight trains and freight cars equipped
(7) A description of the information with ECP brake systems.
or data to be obtained.
(8) A description of how the informa- § 232.602 Applicability.
tion or data obtained is to be analyzed
This subpart applies to all railroads
or used.
that operate a freight car or freight
(9) A description of any criteria to be
used as safety limits during the test- train governed by this part and
ing. equipped with an ECP brake system.
(10) A description of the criteria to be Unless specifically excepted or modi-
used to measure or determine the suc- fied in this section, all of the other re-
cess or failure of the tests. If accept- quirements contained in this part are
ance is to be based on extrapolation of applicable to a freight car or freight
less than full level testing results, the train equipped with an ECP brake sys-
analysis to be done to justify the valid- tem.
ity of the extrapolation shall be de-
scribed. § 232.603 Design, interoperability, and
(11) A description of any special safe- configuration management require-
ty precautions to be observed during ments.
the testing. (a) General. A freight car or freight
(12) A written set of standard oper- train equipped with an ECP brake sys-
ating procedures to be used to ensure tem shall, at a minimum, meet the As-
that the testing is done safely. sociation of American Railroads (AAR)
(13) Quality control procedures to en- standards contained in the AAR Man-
sure that the inspection, testing, and ual of Standards and Recommended
maintenance procedures are followed. Practices related to ECP brake sys-
(14) Criteria to be used for the rev-
tems listed below; an alternate stand-
enue service operation of the equip-
ard approved by FRA pursuant to
ment.
(15) A description of all testing of the § 232.17; or a modified standard ap-
equipment that has previously been proved in accordance with the provi-
performed, if any. sions contained in paragraph (f) of this
(f) Exception. For brake system tech- section. The incorporation by reference
nologies that have previously been of the AAR standards identified in this
used in revenue service in the United section was approved by the Director of
States, the railroad shall test the the Federal Register in accordance
equipment on its system, prior to plac- with 5 U.S.C. 552(a) and 1 CFR part 51.
ing it in revenue service, to ensure the Copies of the incorporated documents
compatibility of the equipment with may be obtained from the Association
the operating system (track, signals, of American Railroads, 50 F Street,
etc.) of the railroad. A description of NW., Washington, DC 20001, 202–639–
such testing shall be retained by the 2100, www.aar.org. You may inspect a
railroad and made available to FRA for copy at the Federal Railroad Adminis-
inspection and copying upon request. tration, 1200 New Jersey Avenue, SE.,
Washington, DC, 202–493–6300 or at the
Subpart G—Electronically Con- National Archives and Records Admin-
trolled Pneumatic (ECP) Brak- istration (NARA). For information on
ing Systems the availability of this material at
NARA, call 202–741–6030, or go to: http://
SOURCE: 73 FR 61553, Oct. 16, 2008, unless www.archives.gov/federallregister/
otherwise noted. codeloflfederallregulations/
ibrllocations.html. The applicable
§ 232.601 Scope. standards, which are incorporated into
This subpart contains specific re- this regulation by reference, include
quirements applicable to freight trains the following:
and freight cars equipped with ECP (1) AAR S–4200, ‘‘Electronically Con-
brake systems. This subpart also controlled Pneumatic (ECP) Cable-Based
649
§ 232.605 49 CFR Ch. II (10–1–11 Edition)
Brake Systems—Performance Require- nology contained in subpart F of this

ments,’’ (Adopted 1999; Revised: 2002, part are not applicable to a freight car
2004, 2008); or freight train equipped with an ECP
(2) AAR S–4210, ‘‘ECP Cable-Based brake system approved by AAR in ac-
Brake System Cable, Connectors, and cordance with paragraph (b) of this sec-
Junction Boxes—Performance Speci- tion, conditionally or otherwise, as of
fications,’’ (Adopted: 1999; Revised 2002, the effective date of this rule.
2007); (e) New technology. Upon written re-
(3) AAR S–4220, ‘‘ECP Cable-Based quest supported by suitable justifica-
Brake DC Power Supply—Performance tion and submitted pursuant to the
Specification,’’ Version 2.0 (Adopted: special approval procedures in § 232.17,
1999; Revised: 2002); the Associate Administrator may ex-
(4) AAR S–4230, ‘‘Intratrain Commu- cept from the requirements of subpart
nication (ITC) Specification for Cable- F of this part the testing of new ECP
Based Freight Train Control System,’’ brake technology, demonstration of
Version 3.0 (Adopted: 1999; Revised: new ECP brake technology, or both,
2002, 2004); where testing or demonstration, or
(5) AAR S–4240, ‘‘ECP Brake Equip- both, will be conducted pursuant to an
ment—Approval Procedure’’ (Adopted: FRA-recognized industry standard and
2007); FRA is invited to monitor the testing
(6) AAR S–4250, ‘‘Performance Re- or demonstration, or both.
quirements for ITC Controlled Cable- (f) Modification of standards. The AAR
Based Distributed Power Systems,’’ or other authorized representative of
Version 2.0 (Adopted: 2003; Revised: the railroad industry may seek modi-
2004); fication of the industry standards iden-
(7) AAR S–4260, ‘‘ECP Brake and Wire tified in or approved pursuant to para-
Distributed Power Interoperability graph (a) of this section. The request
Test Procedures’’ (Adopted: 2007); and
for modification will be handled and
(8) AAR S–4270, ‘‘ECP Brake System
shall be submitted in accordance with
Configuration Management’’ (Adopted:
the modification procedures contained
2008).
in § 232.307.
(b) Approval. A freight train or
freight car equipped with an ECP brake § 232.605 Training requirements.
system and equipment covered by the
AAR standards incorporated by ref- (a) Inspection, testing and mainte-
erence in this section shall not be used nance. A railroad that operates a
without conditional or final approval freight car or freight train equipped
by AAR in accordance with AAR with an ECP brake system and each
Standard S–4240, ‘‘ECP Brake Equip- contractor that performs inspection,
ment—Approval Procedures’’ (2007). testing, or maintenance on a freight
(c) Configuration management. A railcar or freight train equipped with an
road operating a freight train or ECP brake system shall adopt and
freight car equipped with ECP brake comply with a training, qualification,
systems shall adopt and comply with and designation program for its em-
the configuration management plan de- ployees that perform inspection, test-
veloped in accordance with the AAR ing or maintenance of ECP brake sys-
standards incorporated by reference in tems. The training program required
this section. FRA reserves the right to by this section shall meet the require-
audit a manufacturer’s configuration ments in §§ 232.203(a), (b), (e), and (f).
management plan at any time. (b) Operating rules. A railroad oper-
(d) Exceptions. (1) A freight car or ating a freight train or freight car
freight train equipped with a stand- equipped with an ECP brake system
alone ECP brake system shall be ex- shall amend its operating rules to gov-
cepted from the requirement in ern safe train handling procedures re-
§ 232.103(l) referencing AAR Standard lated to ECP brake systems and equip-
S–469–47, ‘‘Performance Specification ment under all operating conditions
for Freight Brakes.’’ and shall tailor its operating rules to
(2) The provisions addressing the in- the specific equipment and territory of
troduction of new brake system tech- the railroad.
650
(c) Locomotive engineers. A railroad stricts access to the train and provides
operating a freight car or freight train sufficient security to deter vandalism.
equipped with an ECP brake system (c) Cars added en route. (1) Each
shall adopt and use in its training pro- freight car equipped with an ECP brake
gram under part 240 specific knowl- system that is added to a freight train
edge, skill, and ability criteria to en- operating in ECP brake mode shall re-
sure that its locomotive engineers are ceive a Class I brake test as described
fully trained with the operating rules in § 232.205(c) by a qualified person, un-
governing safe train handling proce- less all of the following are met:
dures related to ECP brake systems (i) The car has received a Class I
and equipment under all operating con- brake test by a qualified mechanical
ditions and tailored to the specific inspector within the last 3,500 miles;
equipment and territory of the rail- (ii) Information identified in
road. § 232.205(e) relating to the performance
of the previously received Class I brake
§ 232.607 Inspection and testing retest is provided to the train crew;
quirements. (iii) The car has not been off air for
(a) Trains at initial terminal. A freight more than 24 hours or for more than 80
train operating in ECP brake mode hours, if that train remains in an ex-
shall receive the following inspections tended-off-air facility; and
at its point of origin (initial terminal): (iv) A visual inspection of the car’s
(1) A Class I brake test as described brake systems is conducted to ensure
in § 232.205(c) by a qualified mechanical that the brake equipment is intact and
inspector (QMI); and properly secured. This may be accom-
plished as part of the inspection re-
(2) A pre-departure inspection pursu-
quired under § 215.13 of this chapter and
ant to part 215 of this chapter by an in-
may be conducted while the car is off
spector designated under § 215.11 of this
air.
chapter.
(2) Each car and each solid block of
(b) Trains en route. (1) Except for a cars not equipped with an ECP brake
unit or cycle train, a train operating in system that is added to a train oper-
ECP brake mode shall not operate a ating in ECP brake mode shall receive
distance that exceeds its destination or a visual inspection to ensure it is prop-
3,500 miles, whichever is less, unless in- erly placed in the train and safe to op-
spections meeting the requirements of erate and shall be moved and tagged in
paragraph (a) of this section are per- accordance with the provisions con-
formed on the train. tained in § 232.15.
(2) A unit or cycle train operating in (d) Class III brake test (1) A Class III
ECP brake mode shall receive the in- brake test shall be performed on a
spections required in paragraph (a) of freight train operating in ECP brake
this section at least every 3,500 miles. mode by a qualified person, as defined
(3) The greatest distance that any car in § 232.5, to test the train’s brake sys-
in a train has traveled since receiving tem whenever the continuity of the
a Class I brake test by a qualified me- brake pipe or electrical connection is
chanical inspector will determine the broken or interrupted.
distance that the train has traveled. (2) In lieu of observing the brake pipe
(4) A freight train operating in ECP changes at the rear of a freight train
brake mode shall receive a Class I with the end-of-train telemetry device
brake test as described in § 232.205(c) by referred to in §§ 232.211(c) and (d), the
a qualified person at a location where operator shall verify that the brakes
the train is off air for a period of more applied and released on the rear car of
than: the freight train by observing the ECP
(i) 24 hours, or brake system’s display in the loco-
(ii) 80 hours, if the train remains in- motive cab.
accessible to the railroad and in an ex- (e) Initialization. (1) A freight train
tended-off-air facility. For the purpose operating in ECP brake mode shall be
of this section, an extended-off-air fa- initialized as described in paragraph
cility means a location controlled by a (e)(2) whenever the following occurs:
sole shipper or consignee which re- (i) Class I brake test.
651
§ 232.609 49 CFR Ch. II (10–1–11 Edition)
(ii) Class III brake test. when it is equipped with an ECP brake
(iii) Whenever the ECP brake system system and operating in ECP brake
is powered on. mode.
(2) Initialization shall, at a min-
imum: § 232.609 Handling of defective equip-
(i) initialize the ECP brake system ment with ECP brake systems.
pursuant to AAR Series Standard S– (a) Ninety-five percent of the cars in
4200; and a train operating in ECP brake mode
(ii) be performed in the sequential shall have effective and operative
order of the vehicles in the train. brakes prior to use or departure from
(3) Whenever an ECP brake system is the train’s initial terminal or any loca-
initialized pursuant to this paragraph, tion where a Class I brake test is re-
the train crew must ensure that the quired to be performed on the entire
total number of cars indicated by the train by a qualified mechanical inspec-
ECP brake system is the same as the tor pursuant to § 232.607.
total number of cars indicated on the (b) A freight car equipped with an
train consist. ECP brake system that is known to
(f) Modifications to existing brake in- have arrived with ineffective or inoper-
spections. (1) In lieu of the specific ative brakes at initial terminal of the
brake pipe service reductions and in- next train which the car is to be in-
creases required in this part, an elec- cluded or at a location where a Class I
tronic signal that provides an equiva- brake test is required under
lent application and release of the §§ 232.607(b)(1) through (b)(3) shall not
brakes shall be utilized when con- depart that location with ineffective or
ducting any required inspection or test inoperative brakes in a train operating
on a freight car or freight train in ECP brake mode unless:
equipped with an ECP brake system (1) The location does not have the
and operating in ECP brake mode. ability to conduct the necessary re-
(2) In lieu of the specific piston travel pairs;
ranges contained in this part, the pis- (2) The car is hauled only for the pur-
ton travel on freight cars equipped pose of repair to the nearest forward
with ECP brake systems shall be with- location where the necessary repairs
in the piston travel limits stenciled or can be performed consistent with the
marked on the car or badge plate con- guidance contained in § 232.15(f);
sistent with the manufacturers rec- (3) The car is not being placed for
ommended limits, if so stenciled or loading or unloading while being
marked. moved for repair unless unloading is
(g) ECP brake system train line cable. necessary for the safe repair of the car;
Each ECP brake system train line and
cable shall: (4) The car is properly tagged in ac-
(1) Be located and guarded to provide cordance with § 232.15(b).
sufficient vertical clearance; (c) A freight car equipped with only
(2) Not cause any tripping hazards; conventional pneumatic brakes shall
(3) Not hang with one end free when- not move in a freight train operating
ever the equipment is used in a train in ECP brake mode unless it would oth-
movement; erwise have effective and operative
(4) Not be positioned to interfere brakes if it were part of a conventional
with the use of any safety appliance; or pneumatic brake-equipped train or
(5) Not have any of the following con- could be moved from the location in
ditions: defective condition under the provi-
(i) Badly chafed or broken insulation. sions contained in, and tagged in ac-
(ii) Broken plugs, receptacles or ter- cordance with, § 232.15.
minals. (d) A freight train operating in ECP
(iii) Broken or protruding strands of brake mode shall not move if less than
wire. 85 percent of the cars in the train have
(h) Exceptions. A freight car or a operative and effective brakes. How-
freight train shall be exempt from the ever, after experiencing a penalty stop
requirements contained in §§ 232.205(a) for having less than 85 percent opera-
and (b), 232.207, 232.209, and 232.211(a) tive and effective brakes, a freight
652
train operating in ECP brake mode paragraph (d) of this section when en
may be moved if all of the following route; and
are met: (2) The stand-alone ECP brake-
(1) The train is visually inspected; equipped cars are:
(2) Appropriate measures are taken (i) Moved for the purpose of delivery
to ensure that the train is safely oper- to a railroad receiving the equipment
ated to the location where necessary or to a location for placement in a
repairs or changes to the consist can be train operating in ECP brake mode or
made; being moved for repair to the nearest
(3) A qualified person determines available location where the necessary
that it is safe to move the train; and repairs can be made in accordance with
(4) The train is moved in ECP brake §§ 232.15(a)(7) and (f);
Switch Mode to the nearest or nearest (ii) Tagged in accordance with
forward location where necessary re- § 232.15(b); and
pairs or changes to the consist can be (iii) Placed in the train in accordance
made. with § 232.15(e).
(e) A freight car or locomotive (h) A train equipped and operated
equipped with an ECP brake system with conventional pneumatic brakes
that is found with inoperative or inef- may depart an initial terminal with
fective brakes for the first time during freight cars that are equipped with
the performance of a Class I brake test stand-alone ECP brake systems pro-
or while en route may be used or vided all of the following are met:
hauled without civil penalty liability (1) The train has 100 percent effective
under this part to its destination, not and operative brakes on all cars
to exceed 3,500 miles; provided, all ap- equipped with conventional pneumatic
plicable provisions of this section are brake systems;
met and the defective car or loco- (2) The train has at least 95 percent
motive is hauled in a train operating in effective and operative brakes when in-
ECP brake mode. cluding the freight cars equipped with
(f) A freight car equipped with an stand-alone ECP brake systems; and
ECP brake system that is part of a (3) The requirements contained in
train operating in ECP brake mode: paragraph (g) of this section are met.
(1) That is found with a defective (i) Tagging of defective equipment. A
non-brake safety appliance may be freight car equipped with an ECP brake
used or hauled without civil penalty system that is found with ineffective or
under this part to the nearest or near- inoperative brakes will be considered
est forward location where the nec- electronically tagged under
essary repairs can be performed con- § 232.15(b)(1) and (b)(5) if the car is used
sistent with the guidelines contained or hauled in a train operating in ECP
in § 232.15(f). brake mode and the ECP brake system
(2) That is found with an ineffective meets the following:
or inoperative brake shall be hauled in (1) The ECP brake system is able to
accordance with the following: display information in the cab of the
(i) § 232.15(e)(1). lead locomotive regarding the location
(ii) No more than two freight cars and identification of the car with de-
with brakes pneumatically cut out or fective brakes;
five freight cars or five units in a (2) The information is stored or
multi-unit articulated piece of equip- downloaded and is accessible to FRA
ment with brakes electronically cut and appropriate operating and inspec-
out shall be consecutively placed in the tion personnel; and
same train. (3) An electronic or written record of
(g) A train operating with conven- the stored or downloaded information
tional pneumatic brakes shall not oper- is retained and maintained in accord-
ate with freight cars equipped with ance with § 232.15(b)(3).
stand-alone ECP brake systems unless: (j) Procedures for handling ECP brake
(1) The train has at least the min- system repairs and designation of repair
imum percentage of operative brakes locations. (1) Each railroad operating
required by paragraph (h) of this sec- freight cars equipped with ECP brake
tion when at an initial terminal or systems shall adopt and comply with
653
§ 232.611 49 CFR Ch. II (10–1–11 Edition)
specific procedures developed in ac- freight car equipped with an ECP brake
cordance with the requirements related system whenever any of the events
to the movement of defective equip- identified in § 232.305 occur, except for
ment contained in this subpart. These those paragraphs identified in para-
procedures shall be made available to graph (f) of this section.
FRA upon request. (d) A single car air brake test con-
(2) Each railroad operating freight ducted in accordance with the proce-
trains in ECP brake mode shall submit dure submitted and approved in accord-
to FRA’s Associate Administrator for ance with paragraph (b) of this section
Safety a list of locations on its system shall be performed by a qualified per-
where ECP brake system repairs will son on each freight car retrofitted with
be performed. A railroad shall notify a newly installed ECP brake system
FRA’s Associate Administrator for prior to placing or using the car in rev-
Safety in writing 30 days prior to any enue service.
change in the locations designated for (e) Modification of single car test stand-
such repairs. A sufficient number of lo- ard. A railroad or a duly authorized
cations shall be identified to ensure representative of the railroad industry
compliance with the requirements re- may seek modification of the single car
lated to the handling of defective test standard approved in accordance
equipment contained in this part. with paragraph (b) of this section. The
(k) Exceptions: All freight cars and request for modification will be han-
trains that are specifically identified, dled and shall be submitted in accord-
operated, and handled in accordance ance with the modification procedures
with this section are excepted from the contained in § 232.307.
movement of defective equipment re- (f) Exceptions. A freight car equipped
quirements contained in § 232.15(a)(2), with a stand-alone or dual mode ECP
(a)(5) through (a)(8), and 232.103(d) and brake system is excepted from the sin-
(e). gle car air brake test procedures con-
tained in § 232.305(a). A freight car
§ 232.611 Periodic maintenance. equipped with a stand-alone ECP brake
(a) In addition to the maintenance system is excepted from the single car
requirements contained in § 232.303(b) test requirements contained in
through (d), a freight car equipped with § 232.305(b)(2).
an ECP brake system shall be in- (g) For purposes of paragraphs (c) and
spected and repaired before being re- (d) of this section, if a single car air
leased from a shop or repair track to brake test is conducted on a car prior
ensure the proper and safe condition of to June 15, 2009, pursuant to the then
the following: existing AAR standards, it shall be
(1) ECP brake system wiring and considered the last single car air brake
brackets; test for that car, if necessary.
(2) ECP brake system electrical con-
nections; and § 232.613 End-of-train devices.
(3) Car mounted ECP brake system (a) An ECP–EOT device shall, at a
components. minimum, serve as the final node on
(b) Single car air brake test procedures. the ECP brake circuit, provide a cable
Prior to placing a freight car equipped terminal circuit, and monitor, confirm,
with an ECP brake system into rev- and report train, brake pipe, and train
enue service, a railroad or a duly au- line cable continuity, cable voltage,
thorized representative of the railroad brake pipe pressure, and the status of
industry shall submit a procedure for the ECP–EOT device battery charge.
conducting periodic single car air The ECP–EOT device shall transmit a
brake tests to FRA for its approval status message (EOT Beacon) at least
pursuant to § 232.17. once per second, contain a means of
(c) Except as provided in § 232.303(e), a communicating with the HEU, and be
single car air brake test conducted in equipped with a brake pipe pressure
accordance with the procedure sub- transducer and a battery that charges
mitted and approved in accordance from the train line cable.
with paragraph (b) of this section shall (b) A railroad shall not move or use a
be performed by a qualified person on a freight train equipped with an ECP
654
brake system unless that train is performing all of the functions of a

equipped with a functioning ECP–EOT functioning ECP–EOT device.
device designed and operated in accord- (d) Exception. A freight train oper-
ance with this subpart. The ECP–EOT ating in ECP brake mode is excepted
device must be properly connected to from the end-of-train device require-
the network and to the train line cable ments contained in subpart E of this
at the rear of the train. part, provided that it is equipped with
(c) A locomotive equipped with ECP an ECP–EOT device complying with
brakes can be used in lieu of an ECP–
this section.
EOT device, provided it is capable of

Willful
Subpart A—General
232.15 Movement of power brake defects:

(a) Improper movement, general .................................................................................... (1) (1)
(11) Failure to make determinations and provide notification of en route de-
fect ................................................................................................................ $2,500 $5,000
(b) Complete failure to tag .............................................................................................. 2,500 5,000
(1) Insufficient tag or record ............................................................................. 1,000 2,000
(2), (4) Improper removal of tag ....................................................................... 2,000 4,000
(3) Failure to retain record of tag ..................................................................... 2,000 4,000
(c) Improper loading or purging ...................................................................................... 2,500 5,000
(e) Improper placement of defective equipment ............................................................. 2,500 5,000
232.19 Availability of records (1) (1)
Subpart B—General Requirements
232.103 All train brake systems:

(a)–(c), (h)–(i) Failure to meet general design requirements ......................................... 2,500 5,000
(d) Failure to have proper percentage of operative brakes from Class I brake test ..... 5,000 7,500
(e) Operating with less than 85 percent operative brakes ............................................. 5,000 7,500
(f) Improper use of car with inoperative or ineffective brakes ........................................ 2,500 5,000
(g) Improper display of piston travel ............................................................................... 2,500 5,000
(m) Failure to stop train with excess air flow or gradient ............................................... 2,500 5,000
(n) Securement of unattended equipment: ........................ ........................
(1) Failure to apply sufficient number of hand brakes; failure to develop or
implement procedure to verify number applied ............................................ 5,000 7,500
(2) Failure to initiate emergency ...................................................................... 2,500 5,000
(3) Failure to apply hand brakes on locomotives ............................................. 2,500 5,000
(4) Failure to adopt or comply with procedures for securing unattended loco-
motive ............................................................................................................ 5,000 7,500
(o) Improper adjustment of air regulating devices .......................................................... 2,500 5,000
(p) Failure to hold supervisors jointly responsible .......................................................... 2,500 5,000
232.105 Locomotives:
(a) Air brakes not in safe and suitable condition ............................................................ 1,000–5,000 2,000–7,500
(b) Not equipped with proper hand or parking brake ..................................................... 5,000 7,500
(c)(1) Failure to inspect/repair hand or parking brake .................................................... 2,500 5,000
(2) Failure to properly stencil, tag, or record ................................................... 2,000 4,000
(d) Excess leakage from equalizing reservoir ................................................................ 2,500 5,000
(e) Improper use of feed or regulating valve braking ..................................................... 2,500 5,000
(f) Improper use of passenger position .......................................................................... 2,500 5,000
(g) Brakes in operative condition .................................................................................... 2,500 5,000
232.107 Air sources/cold weather operations:
(a)(1), (2) Failure to adopt or comply with monitoring program for yard air sources .... 5,000 7,500
(3) Failure to maintain records ......................................................................... 2,500 5,000
(b) Failure to blow condensation .................................................................................... 2,500 5,000
(c) Use of improper chemicals ........................................................................................ 5,000 7,500
(d) Failure to equip or drain yard air reservoirs ............................................................. 2,500 5,000
(e) Failure to adopt or comply cold weather operating procedures ............................... 5,000 7,500
232.109 Dynamic brakes:
(a) Failure to provide information ................................................................................... 5,000 7,500
(b) Failure to make repairs ............................................................................................. 5,000 7,500
(c) Failure to properly tag ............................................................................................... 2,500 5,000
(d) Failure to maintain record of repair ........................................................................... 2,000 4,000
(e) Improper deactivation ................................................................................................ 2,500 5,000
(f) Improper use of locomotive as controlling unit .......................................................... 2,500 5,000
(g) Locomotive not properly equipped with indicator ..................................................... 2,500 5,000
655
Willful
(h) Rebuilt locomotive not properly equipped ................................................................. 2,500 5,000

(j) Failure to adopt or comply with dynamic brake operating rules ................................ 5,000 7,500
(k) Failure to adopt or comply with training on operating procedures ........................... 5,000 7,500
232.111 Train handling information:
(a) Failure to adopt and comply with procedures ........................................................... 5,000 7,500
(b) Failure to provide specific information ...................................................................... 2,500 5,000
Subpart C—Inspection and Testing Requirements
232.203 Training requirements:

(a) Failure to develop or adopt program ........................................................................ 7,500 11,000
(b)(1)–(9) Failure to address or comply with specific required item or provision of pro-
gram ............................................................................................................................ 5,000 7,500
(c) Failure to adopt or comply with two-way EOT program ........................................... 5,000 7,500
(d) Failure to adopt or comply with retaining valve program ......................................... 5,000 7,500
(e) Failure to maintain adequate records ....................................................................... 5,000 7,500
(f) Failure to adopt and comply with periodic assessment plan ..................................... 7,500 11,000
232.205 Class I brake test—initial terminal inspection:
(a) Complete failure to perform inspection ..................................................................... (1)10,000 15,000
(c)(1)–(4), (6)–(8) Partial failure to perform inspection ................................................... 5,000 7,500
(c)(5) Failure to properly adjust piston travel (per car) .................................................. 2,500 5,000
(d) Failure to use carman when required ....................................................................... 5,000 7,500
(e) Failure to provide proper notification ........................................................................ 2,500 5,000
(f) Failure to void compressed air ................................................................................... 2,500 5,000
232.207 Class IA brake tests—1,000-mile inspection:
(b)(1)–(6) Partial failure to perform inspection ............................................................... 2,500 5,000
(c) Failure to properly designate location ....................................................................... 5,000 7,500
(c)(1) Failure to perform at designated location ............................................................. 5,000 7,500
(c)(2) Failure to provide notification ................................................................................ 2,500 5,000
232.209 Class II brake tests—intermediate inspection:
(b)(1)–(5), (c) Partial failure to perform inspection ......................................................... 2,500 5,000
(d) Failure to conduct Class I after Class II pick-up ....................................................... (1) (1)
232.211 Class III brake tests—trainline continuity inspection:
(a) Complete failure to perform inspection ..................................................................... 5,000 7,500
(b)(1)–(4), (c) Partial failure to perform inspection ......................................................... 2,500 5,000
(d) Failure to restore air pressure at rear ....................................................................... 2,500 2,500
232.213 Extended haul trains:
(a)(1) Failure to properly designate an extended haul train ........................................... 5,000 7,500
(a)(2)–(3), (5)(i), (8) Failure to perform inspections ....................................................... (1) (1)
(a)(4) Failure to remove defective car (per car) ............................................................. 2,000 4,000
(a)(5)(ii), (6) Failure to conduct inbound inspection ....................................................... 5,000 7,500
(a)(7) Failure to maintain record of defects (per car) ..................................................... 2,000 4,000
(b) Improper movement or use of extended haul train .................................................. 5,000 7,500
232.215 Transfer train brake tests:
(a) Failure to perform inspection .................................................................................... 5,000 7,500
(b) Failure to perform on cars added ............................................................................. 2,500 5,000
232.217 Train brake system tests conducted using yard air:
(a) Failure to use suitable device ................................................................................... 2,500 5,000
(b) Improper connection of air test device ...................................................................... 5,000 7,500
(c) Failure to properly perform inspection ...................................................................... (1) (1)
(d) Failure to calibrate test device .................................................................................. 2,500 5,000
(e) Failure to use accurate device .................................................................................. 2,500 5,000
232.219 Double heading and helper service:
(a) Failure to perform inspection or inability to control brakes ....................................... 2,500 5,000
(b) Failure to make visual inspection .............................................................................. 2,500 5,000
(c) Use of improper helper link device ........................................................................... 2,500 5,000
Subpart D—Periodic Maintenance and Testing Requirements
232.303 General requirements:

(b)–(d) Failure to conduct inspection or test when car on repair track .......................... 2,500 5,000
(e) Improper movement of equipment for testing ........................................................... 2,500 5,000
(e)(1) Failure to properly tag equipment for movement ................................................. 2,000 5,000
(e)(2)–(4) Failure to retain record or improper removal of tag or card .......................... 2,000 4,000
(f) Failure to stencil or track test information .................................................................. 2,500 5,000
232.305 Repair track air brake tests:
(a) Failure to test in accord with required procedure ..................................................... 2,500 5,000
(b)–(d) Failure to perform test ........................................................................................ 2,500 5,000
232.307 Single car tests:
(a) Failure to test in accord with required procedure ..................................................... 2,500 5,000
(b)–(c) Failure to perform test ......................................................................................... 2,500 5,000
656
Willful
232.309 Repair track air brake test and single car test equipment and devices:
(a)–(f) Failure to properly test or calibrate ...................................................................... 2,500 5,000
Subpart E—End-of-Train Devices
232.403 Design standards for one-way devices:

(a)–(g) Failure to meet standards ................................................................................... 2,500 5,000
232.405 Design standards for two-way devices:
(a)–(i) Failure to meet standards .................................................................................... 2,500 5,000
232.407 Operating requirements for two-way devices:
(b) Failure to equip a train .............................................................................................. 5,000 7,500
(c) Improper purchase .................................................................................................... 2,500 5,000
(f)(1) Failure of device to be armed and operable ......................................................... 5,000 7,500
(f)(2) Insufficient battery charge ...................................................................................... 2,500 5,000
(f)(3) Failure to activate the device ................................................................................. 2,500 5,000
(g) Improper handling of en route failure, freight or other non-passenger .................... 5,000 7,500
(h) Improper handling of en route failure, passenger ..................................................... 5,000 7,500
232.409 Inspection and testing of devices:
(a) Failure to have unique code ..................................................................................... 2,500 5,000
(b) Failure to compare quantitative values ..................................................................... 2,500 5,000
(c) Failure to test emergency capability ......................................................................... 5,000 7,500
(d) Failure to properly calibrate ...................................................................................... 2,500 5,000
Subpart F—Introduction of New Brake System Technology
232.503 Process to introduce new technology:

(b) Failure to obtain FRA approval ................................................................................. 10,000 15,000
232.505 Pre-revenue service acceptance testing plan:
(a) Failure to obtain FRA approval ................................................................................. 5,000 7,500
(b) Failure to comply with plan ....................................................................................... 2,500 5,000
(f) Failure to test previously used technology ................................................................ 5,000 7,500
Subpart G—Electronically Controlled Pneumatic (ECP) Braking Systems
232.603 Design, interoperability, and configuration management requirements:

(a) Failure to meet minimum standards ......................................................................... 7,500 11,000
(b) Using ECP brake equipment without approval ......................................................... 7,500 11,000
(c) Failure to adopt and comply with a proper configuration management plan ........... 7,500 11,000
232.605 Training Requirements:
(a) Failure to adopt and comply with a proper training, qualification, and designation
program for employees that perform inspection, testing or maintenance .................. (1) (1)
(b) Failure to amend operating rules .............................................................................. 12,500 16,000
(c) Failure to adopt and comply with proper training criteria for locomotive engineers 12,500 16,000
232.607 Inspection and testing requirements:
(a)(1), (b), (c)(1) Complete or partial failure to perform inspection ................................ (1) (1)
(a)(2) Complete or partial failure to perform pre-departure inspection .......................... 7,500 11,000
(c)(1)(iv), (c)(2) Failure to perform visual inspection on a car added en route .............. 4,500 6,500
(d) Failure to perform inspection .................................................................................... (1) (1)
(e)(1), (2) Failure to properly initialize the train .............................................................. 7,500 11,000
(e)(3) Failure to ensure identical consist and system information ................................. 7,500 11,000
(f)(1) Failure to apply a proper brake pipe service reduction ......................................... (1) (1)
(f)(2) Failure to properly adhere to the proper piston travel ranges .............................. (1) (1)
(g)(1)–(4) Improperly located and guarded cable ........................................................... 7,500 11,000
(g)(5) Condition of cable and connections ..................................................................... 7,500 11,000
232.609 Handling of defective equipment with ECP brake systems:
(a) Failure to have proper percentage of operative brakes from Class I brake test ..... (1) (1)
(b) Failure to prevent a car known to arrive with defective brakes to depart location
where a Class I brake test is required ........................................................................ 7,500 11,000
(c) Improper movement of a car equipped with conventional pneumatic brakes .......... 7,500 11,000
(d) Operating with less than 85 percent operative brakes ............................................. (1) (1)
(f)(2)(i) Improper placement of defective conventional brake equipment ...................... (1) (1)
(f)(2)(ii) Improper placement of defective ECP brake equipment .................................. 7,500 11,000
(g) Improper movement of defective stand-alone ECP brake equipment in a train op-
erating with conventional pneumatic brakes ............................................................... (1) (1)
(h) Improper movement from initial terminal of stand-alone ECP brake equipment in a
conventional brake operated train ............................................................................... (1) (1)
(i) Failure to tag equipment ............................................................................................ (1) (1)
(j)(1) Failure to adopt and comply with procedures for the movement of defective
equipment .................................................................................................................... 7,500 11,000
(j)(2) Failure to submit list of ECP brake system repair locations ................................. 7,500 11,000
232.611 Periodic maintenance:
(a) Failure to ensure the proper and safe condition of car ............................................ 7,500 11,000
(b)–(d) Failure to perform test ........................................................................................ 7,500 11,000
657
Willful
232.613 End-of-train devices:

(a) Failure to meet design standards for ECP–EOT devices ......................................... 7,500 11,000
(b) Moving with an improper or improperly connected ECP–EOT device ..................... 9,500 13,000
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 unit of equipment that is placed or continued in service by a railroad, the ap-
propriate penalties set forth above are aggregated up to a maximum of $25,000 per day. An exception to this rule is the $15,000
penalty for willful violation of § 232.503 (failure to get FRA approval before introducing new technology) with respect to a single
unit of equipment; if the unit has additional violative conditions, the penalty may routinely be aggregated to $15,000. Although
the penalties listed for failure to perform the brake inspections and tests under § 232.205 through § 232.209 may be assessed for
each train that is not properly inspected, failure to perform any of the inspections and tests required under those sections will be
treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on the equipment
contained in the train consist. Moreover, the Administrator reserves the right to assess a penalty of up to $100,000 for any viola-
tion where circumstances warrant. See 49 CFR part 209, appendix A.
Failure to observe any condition for movement of defective equipment set forth in § 232.15(a) 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 equipment at the time of movement.
Failure to provide any of the records or plans required by this part pursuant to § 232.19 will be considered a failure to maintain
or develop the record or plan and will make the railroad liable for penalty under the particular regulatory section(s) concerning
the retention or creation of the document involved.
Failure to properly perform any of the inspections specifically referenced in § 232.209, § 232.213, § 232.217, and subpart G
may be assessed under each section of this part or this chapter, or both, that contains the requirements for performing the ref-
erenced inspection.
[66 FR 4193, Jan. 17, 2001, as amended at 69 FR 30594, May 28, 2004; 72 FR 51197, Sept. 6, 2007;
73 FR 61556, Oct. 16, 2008; 73 FR 79703, Dec. 30, 2008; 74 FR 15388, Apr. 6, 2009]
APPENDIX B TO PART 232—PART 232 the general railroad system of transpor-

PRIOR TO MAY 31, 2001 AS CLARIFIED tation; or
EFFECTIVE APRIL 10, 2002 (2) Rapid transit operations in an urban
area that are not connected with the general
PART 232—RAILROAD POWER BRAKES railroad system of transportation.
AND DRAWBARS (c) As used in this part, carrier means
‘‘railroad,’’ as that term is defined below.
Sec. (d) Railroad means all forms of non-high-
232.0 Applicability and penalties. way ground transportation that run on rails
232.1 Power brakes; minimum percentage. or electromagnetic guideways, including (1)
232.2 Drawbars; standard height. commuter or other short-haul rail passenger
232.3 Power brakes and appliances for oper- service in a metropolitan or suburban area,
ating power-brake systems. and (2) high speed ground transportation sys-
232.10 General rules; locomotives. tems that connect metropolitan areas, with-
232.11 Train air brake system tests. out regard to whether they use new tech-
232.12 Initial terminal road train airbrake nologies not associated with traditional rail-
tests. roads. Such term does not include rapid
232.13 Road train and intermediate terminal transit operations within an urban area that
train air brake tests. are not connected to the general railroad
232.14 Inbound brake equipment inspection. system of transportation.
232.15 Double heading and helper service. (e) Any person (including a railroad and
232.16 Running tests. any manager, supervisor, official, or other
232.17 Freight and passenger train car employee or agent of a railroad) who violates
brakes. any requirement of this part or causes the
232.19 End of train device. violation of any such requirement is subject
APPENDIX A TO PART 232 to a civil penalty of at least $250 and not
APPENDIX B TO PART 232 more than $10,000 per violation, except that:
AUTHORITY: 45 U.S.C. 1, 3, 5, 6, 8–12, and 16, Penalties may be assessed against individ-
as amended; 45 U.S.C. 431, 438, as amended; 49 uals only for willful violations, and, where a
app. U.S.C. 1655(e), as amended; Pub. L. 100– grossly negligent violation or a pattern of
342; and 49 CFR 1.49(c), (g), and (m). repeated violations has created an imminent
hazard of death or injury to persons, or has
I. PART 232 PRIOR TO MAY 31, 2001. caused death or injury, a penalty not to ex-
ceed $20,000 per violation may be assessed.
§ 232.0 Applicability and penalties. Each day a violation continues shall con-
(a) Except as provided in paragraph (b), stitute a separate offense.
this part applies to all standard gage rail-
§ 232.1 Power brakes; minimum percentage.
roads.
(b) This part does not apply to: On and after September 1, 1910, on all rail-
(1) A railroad that operates only on track roads used in interstate commerce, when-
inside an installation which is not part of ever, as required by the Safety Appliance
658
Act as amended March 2, 1903, any train is or station at which the work was done shall
operated with power or train brakes, not less be placed on a card displayed under trans-
than 85 percent of the cars of such train shall parent covering in the cab of each loco-
have their brakes used and operated by the motive unit.
engineer of the locomotive drawing such (h)(1) Minimum brake cylinder piston trav-
train, and all power-brake cars in every such el must be sufficient to provide proper brake
train which are associated together with the shoe clearance when brakes are released.
85 percent shall have their brakes so used (2) Maximum brake cylinder piston travel
and operated. when locomotive is standing must not exceed
the following:
§ 232.2 Drawbars; standard Height.
Not included in this Appendix. Moved to 49 Inches
CFR part 231. Steam locomotives:
Cam type of driving wheel brake ........ 31⁄2
§ 232.3 Power brakes and appliances for
Other types of driving wheel brakes ... 6
operating power-brake systems. Engine truck brake .............................. 8
(a) The specifications and requirement for Engine trailer truck brake .................... 8
power brakes and appliances for operating Tender brake (truck mounted and ten-
power-brake systems for freight service set der bed mounted) ............................ 8
Tender brake (body mounted) ............ 9
forth in the appendix to the report on fur-
Locomotives other than steam:
ther hearing, of May 30, 1945, are hereby Driving wheel brake ............................ 6
adopted and prescribed. (See appendix to this Swivel type truck brake with brakes
part for order in Docket 13528.) on more than one truck operated by
one brake cylinder ........................... 7
Rules for Inspection, Testing and Swivel type truck brake equipped with
Maintenance of Air Brake Equipment one brake cylinder ........................... 8
Swivel type truck brake equipped with
§ 232.10 General rules; locomotives. two or more brake cylinders ............ 6
(a) Air brake and hand brake equipment on
locomotives including tender must be in- (i)(1) Foundation brake rigging, and safety
spected and maintained in accordance with supports, where used, must be maintained in
the requirements of the Locomotive Inspec- a safe and suitable condition for service. Le-
tion and United States Safety Appliance vers, rods, brake beams, hangars and pins
Acts and related orders and regulations of must be of ample strength and must not bind
the Federal Railroad Administrator (FRA). or foul in any way that will affect proper op-
(b) It must be known that air brake equip- eration of brakes. All pins must be properly
ment on locomotives is in a safe and suitable applied and secured in place with suitable
condition for service. locking devices. Brake shoes must be prop-
(c) Compressor or compressors must be erly applied and kept approximately in line
tested for capacity by orifice test as often as with treads of wheels or other braking sur-
conditions require but not less frequently faces.
than required by law and orders of the FRA. (2) No part of the foundation brake rigging
(d) Main reservoirs shall be subjected to and safety supports shall be closer to the
tests periodically as required by law and or- rails than specified by law and orders of the
ders of the FRA. FRA.
(e) Air gauges must be tested periodically (j)(1) Main reservoir leakage: Leakage from
as required by law and orders of the FRA, main air reservoir and related piping shall
and whenever any irregularity is reported. not exceed an average of 3 pounds per minute
They shall be compared with an accurate in a test of three minutes’ duration, made
deadweight tester, or test gauge. Gauges after the pressure has been reduced 40 per-
found inaccurate or defective must be recent below maximum pressure.
paired or replaced. (2) Brake pipe leakage: Brake pipe leakage
(f)(1) All operating portions of air brake must not exceed 5 pounds per minute after a
equipment together with dirt collectors and reduction of 10 pounds has been made from
filters must be cleaned, repaired and tested brake pipe air pressure of not less than 70
as often as conditions require to maintain pounds.
them in a safe and suitable condition for (3) Brake cylinder leakage: With a full
service, and not less frequently than re- service application of brakes, and with com-
quired by law and orders of the FRA. munication to the brake cylinders closed,
(2) On locomotives so equipped, hand brakes must remain applied not less than
brakes, parts, and connections must be in- five minutes.
spected, and necessary repairs made as often (4) The main reservoir system of each unit
as the service requires, with date being suit- shall be equipped with at least one safety
ably stenciled or tagged. valve, the capacity of which shall be suffi-
(g) The date of testing or cleaning of air cient to prevent an accumulation of pressure
brake equipment and the initials of the shop of more than 10 pounds per square inch above
659
the maximum setting of the compressor gov- dition of train air brake and air signal equip-
ernor fixed by the chief mechanical officer of ment on motive power and cars to the extent
the carrier operating the locomotive. that it is possible to detect defective equip-
(5) A suitable governor shall be provided ment by required air tests.
that will stop and start the air compressor (b) Communicating signal system on pas-
within 5 pounds above or below the pressures senger equipment trains must be tested and
fixed.

CFR 2011 Title49 Vol4 PDF

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

CFR 2011 Title49 Vol4 PDF

Uploaded by

Copyright:

Available Formats

Title 49

Revised as of October 1, 2011

Containing a codification of documents

Published by the Office 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

Chapter II—Federal Railroad Administration, Department of

Table of CFR Titles and Chapters ....................................................... 1019

Alphabetical List of Agencies Appearing in the CFR ......................... 1039

List of CFR Sections Affected ............................................................. 1049

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.

information, data and documents suffi- (c) Hearings shall be conducted by a

(1) The railroad’s employees, pas- CRIMINAL PENALTIES

Subpart A—General Subpart E—Reporting of Remedial Actions

Subpart A—General utory provisions were contained in the

supervisor, official, or other employee connected to the general railroad sys-

or deny the matter. If an objection is (ii) Leaving it at his or her office

penalty. If the amendment contains Center, General Accounting Division,

(c) The degree of the respondent’s violation of 49 U.S.C. 5104(b) or a will-

§ 209.205 Reply. further notice to the respondent, to

§ 209.303 Coverage. (1) A statement of the rule(s), regula-

preponderance of the evidence, as to (5) Notice of the parties’ appeal

CIVIL PENALTY ASSESSMENT GUIDELINES

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

172.302(c) ............................ Failure to place exemption number markings on 2,000.

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

49 CFR section Description Guideline amount 2

172.502 ................................ —Placarded as hazardous material when car 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

172.514 ................................ Improper placarding of bulk packaging other than 2,000.

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.

49 CFR section Description Guideline amount 2

49 CFR section Description Guideline amount 2

172.820(f) ........................................... Failure to complete route analyses within the 2,000

PART 173—SHIPPERS—GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGES

173.1 .................................... General duty section applicable to shippers; also 2,000.

Preparation of Hazardous Materials for Transportation:

—Small bottle or box ............................................ 1,000.

49 CFR section Description Guideline amount 2