CFR Title 49 Part 232 Brake System Safety Standards For Freight and Other Non-Passenger Trains and Equipment - End-of-Train Devices

Pt. 232 49 CFR Ch.
II (10–1–10 Edition)
Willful viola-
FRA safety appliance defect code section 2 Violation tion
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
231.31 Drawbars, standard height ..................................................................................................... 2,500 5,000
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 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 232.103 General requirements for all train
brake systems.
STANDARDS FOR FREIGHT AND 232.105 General requirements for loco-
OTHER NON-PASSENGER TRAINS motives.
AND EQUIPMENT; END-OF-TRAIN 232.107 Air source requirements and cold
DEVICES weather operations.
232.109 Dynamic brake requirements.
Subpart A—General 232.111 Train handling information.
Sec. Subpart C—Inspection and Testing

232.1 Scope. Requirements
232.3 Applicability.
232.5 Definitions. 232.201 Scope.
232.7 Waivers. 232.203 Training requirements.
232.9 Responsibility for compliance. 232.205 Class I brake tests—initial terminal
232.11 Penalties. inspection.
232.13 Preemptive effect. 232.207 Class IA brake tests—1,000-mile in-
232.15 Movement of defective equipment. spection.
232.17 Special approval procedure.
232.209 Class II brake tests—intermediate
232.19 Availability of records.
inspection.
232.21 Information collection.
232.211 Class III brake tests—trainline con-
jdjones on DSK8KYBLC1PROD with CFR
tinuity inspection.
Subpart B—General Requirements
232.213 Extended haul trains.
232.101 Scope. 232.215 Transfer train brake tests.
594
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Federal Railroad Administration, DOT § 232.1
232.217 Train brake tests conducted using Subpart A—General
yard air.
232.219 Double heading and helper service. § 232.1 Scope.
Subpart D—Periodic Maintenance and (a) This part prescribes Federal safe-
Testing Requirements ty standards for freight and other non-
passenger train brake systems and
232.301 Scope. equipment. Subpart E of this part pre-
232.303 General requirements. scribes Federal safety standards not
232.305 Single car air brake tests. only for freight and other non-pas-
232.307 Modification of the single car air senger train brake systems and equip-
brake test procedures.
ment, but also for passenger train
232.309 Equipment and devices used to per-
brake systems. This part does not re-
form single car air brake tests.
strict a railroad from adopting or en-
Subpart E—End-of-Train Devices forcing additional or more stringent re-
quirements not inconsistent with this
232.401 Scope. part.
232.403 Design standards for one-way end-of- (b) Except as otherwise specifically
train devices. provided in this paragraph or in this
232.405 Design and performance standards part, railroads to which this part ap-
for two-way end-of-train devices. plies shall comply with all the require-
232.407 Operations requiring use of two-way ments contained in subparts A through
end-of-train devices; prohibition on pur-
C and subpart F of this part beginning
chase of nonconforming devices.
232.409 Inspection and testing of end-of-
on April 1, 2004. Sections 232.1 through
train devices. 232.13 and 232.17 through 232.21 of this
part will become applicable to all rail-
Subpart F—Introduction of New Brake roads to which this part applies begin-
System Technology ning on May 31, 2001. Subpart D of this
part will become applicable to all rail-
232.501 Scope. roads to which this part applies begin-
232.503 Process to introduce new brake sys- ning on August 1, 2001. Subpart E of
tem technology. this part will become applicable to all
232.505 Pre-revenue service acceptance test- trains operating on track which is part
ing plan. of the general railroad system of trans-
portation beginning on May 31, 2001.
Subpart G—Electronically Controlled
(c) A railroad may request earlier ap-
Pneumatic (ECP) Braking Systems
plication of the requirements con-
232.601 Scope. tained in subparts A through C and
232.602 Applicability. subpart F of this part upon written no-
232.603 Design, interoperability, and con- tification to FRA’s Associate Adminis-
figuration management requirements. trator for Safety. Such a request shall
232.605 Training requirements. indicate the railroad’s readiness and
232.607 Inspection and testing requirements. ability to comply with all of the re-
232.609 Handling of defective equipment quirements contained in those sub-
with ECP brake systems. parts.
232.611 Periodic maintenance. (d) Except for operations identified in
232.613 End-of-train devices. § 232.3(c)(1), (c)(4), and (c)(6) through
APPENDIX A TO PART 232—SCHEDULE OF CIVIL (c)(8), all railroads which are part of
PENALTIES the general railroad system of trans-
APPENDIX B TO PART 232—PART 232 PRIOR TO portation shall operate pursuant to the
MAY 31, 2001 AS CLARIFIED EFFECTIVE requirements contained in this part 232
APRIL 10, 2002 as it existed on May 31, 2001 and in-
AUTHORITY: 49 U.S.C. 20102–20103, 20107, cluded as appendix B to this part until
20133, 20141, 20301–20303, 20306, 21301–21302, they are either required to operate pur-
21304; 28 U.S.C. 2461, note; and 49 CFR 1.49. suant to the requirements contained in
SOURCE: 66 FR 4193, Jan. 17, 2001, unless
this part or the requirements con-
otherwise noted. tained in part 238 of this chapter or

they elect to comply earlier than oth-
erwise required with the requirements
595
§ 232.3 49 CFR Ch. II (10–1–10 Edition)
contained in this part or the require- (d) The provisions formerly contained
ments contained in part 238 of this in Interstate Commerce Commission
chapter. Order 13528, of May 30, 1945, as amend-
[66 FR 4193, Jan. 17, 2001, as amended at 66
ed, now revoked, are codified in this
FR 9906, Feb. 12, 2001] paragraph. This part is not applicable
to the following equipment:
§ 232.3 Applicability. (1) Scale test weight cars.
(a) Except as provided in paragraphs (2) Locomotive cranes, steam shovels,
(b) and (c) of this section, this part ap- pile drivers, and machines of similar
plies to all railroads that operate construction, and maintenance ma-
freight or other non-passenger train chines built prior to September 21, 1945.
service on standard gage track which is (3) Export, industrial, and other cars
part of the general railroad system of not owned by a railroad which are not
transportation. This includes the oper- to be used in service, except for move-
ation of circus trains and private cars ment as shipments on their own wheels
when hauled on such railroads. to given destinations. Such cars shall
(b) Subpart E of this part, ‘‘End-of- be properly identified by a card at-
Train Devices,’’ applies to all trains op- tached to each side of the car, signed
erating on track which is part of the by the shipper, stating that such move-
general railroad system of transpor- ment is being made under the author-
tation unless specifically excepted in ity of this paragraph.
that subpart. (4) Industrial and other than rail-
(c) Except as provided in § 232.1(d) and road-owned cars which are not to be
paragraph (b) of this section, this part used in service except for movement
does not apply to: within the limits of a single switching
(1) A railroad that operates only on district (i.e., within the limits of an in-
track inside an installation that is not dustrial facility).
part of the general railroad system of (5) Narrow-gage cars.
transportation. (6) Cars used exclusively in switching
(2) Intercity or commuter passenger operations and not used in train move-
train operations on standard gage ments within the meaning of the Fed-
track which is part of the general rail- eral safety appliance laws (49 U.S.C.
road system of transportation; 20301–20306).
(3) Commuter or other short-haul rail
passenger train operations in a metro- § 232.5 Definitions.
politan or suburban area (as described
by 49 U.S.C. 20102(1)), including public The definitions in this section are in-
authorities operating passenger train tended to clarify the meaning of terms
service; used in this part as it becomes applica-
(4) Rapid transit operations in an ble pursuant to § 232.1(b) and (c).
urban area that are not connected with AAR means the Association of Amer-
the general railroad system of trans- ican Railroads.
portation; Air brake means a combination of de-
(5) Tourist, scenic, historic, or excur- vices operated by compressed air, ar-
sion operations, whether on or off the ranged in a system, and controlled
general railroad system; manually, electrically, electronically,
(6) Freight and other non-passenger or pneumatically, by means of which
trains of four-wheel coal cars; the motion of a railroad car or loco-
(7) Freight and other non-passenger motive is retarded or arrested.
trains of eight-wheel standard logging Air Flow Indicator, AFM means a spe-
cars if the height of each car from the cific air flow indicator required by the
top of the rail to the center of the cou- air flow method of qualifying train air
pling is not more than 25 inches; or brakes (AFM). The AFM Air Flow Indi-
(8) A locomotive used in hauling a cator is a calibrated air flow measuring
train referred to in paragraph (c)(7) of device which is clearly visible and leg-
this subsection when the locomotive ible in daylight and darkness from the
and cars of the train are used only to engineer’s normal operating position.
transport logs. The indicator face displays:
596
(1) Markings from 10 cubic feet per nal spacing distance without thermal
minute (CFM) to 80 CFM, in incre- damage to friction braking surfaces.
ments of 10 CFM or less; and Brake, secondary means those compo-
(2) Numerals indicating 20, 40, 60, and nents of the train brake system which
80 CFM for continuous monitoring of develop supplemental brake retarding
air flow. force that is not needed to stop the
Bind means restrict the intended train within signal spacing distances or
movement of one or more brake system to prevent thermal damage to wheels.
components by reduced clearance, by Car control device (CCD) means an
obstruction, or by increased friction. electronic control device that replaces
Brake, dynamic means a train braking the function of the conventional pneu-
system whereby the kinetic energy of a matic service and emergency portions
moving train is used to generate elec- of a car’s air brake control valve dur-
tric current at the locomotive traction ing electronic braking and provides for
motors, which is then dissipated electronically controlled service and
through resistor grids or into the cat- emergency brake applications.
enary or third rail system. Dual mode ECP brake system means an
Brake, effective means a brake that is ECP brake system that is equipped
capable of producing its nominally de- with either an emulator CCD or an
signed retarding force on the train. A overlay ECP brake system on each car
car’s air brake is not considered effec- which can be operated in either ECP
tive if it is not capable of producing its brake mode or conventional pneumatic
nominally designed retarding force or brake mode.
if its piston travel exceeds: ECP means ‘‘electronically con-
(1) 101⁄2 inches for cars equipped with trolled pneumatic’’ when applied to a
nominal 12-inch stroke brake cylinders; brake or brakes.
or ECP brake mode means operating a
(2) The piston travel limit indicated car or an entire train using an ECP
on the stencil, sticker, or badge plate brake system.
for that brake cylinder. ECP brake system means a train power
Brake, hand means a brake that can braking system actuated by com-
be applied and released by hand to pre- pressed air and controlled by electronic
vent or retard the movement of a loco- signals from the locomotive or an ECP–
motive. EOT to the cars in the consist for serv-
Brake indicator means a device which ice and emergency applications in
indicates the brake application range which the brake pipe is used to provide
and indicates whether brakes are ap- a constant supply of compressed air to
plied and released. the reservoirs on each car but does not
Brake, inoperative means a primary convey braking signals to the car. ECP
brake that, for any reason, no longer brake systems include dual mode and
applies or releases as intended. stand-alone ECP brake systems.
Brake, inoperative dynamic means a ECP–EOT device means an end-of-
dynamic brake that, for any reason, no train device for an ECP brake system
longer provides its designed retarding that is physically the last network
force on the train. node in the train, pneumatically and
Brake, parking means a brake that electrically connected at the end of the
can be applied by means other than by train to the train line cable operating
hand, such as spring, hydraulic, or air with an ECP brake system.
pressure when the brake pipe air is de- Emergency application means an irre-
pleted, or by an electrical motor. trievable brake application resulting in
Brake pipe means the system of pip- the maximum retarding force available
ing (including branch pipes, angle from the train brake system.
cocks, cutout cocks, dirt collectors, Emulator CCD means a CCD that is
hoses, and hose couplings) used for con- capable of optionally emulating the
necting locomotives and all railroad function of the pneumatic control
cars for the passage of compressed air. valve while in a conventionally braked
Brake, primary means those compo- train.

nents of the train brake system nec- End-of-train device, one-way means
essary to stop the train within the sig- two pieces of equipment linked by
597
§ 232.5 49 CFR Ch. II (10–1–10 Edition)
radio that meet the requirements of Piston travel means the amount of lin-
§ 232.403. ear movement of the air brake hollow
End-of-train device, two-way means rod (or equivalent) or piston rod when
two pieces of equipment linked by forced outward by movement of the
radio that meet the requirements of piston in the brake cylinder or actu-
§§ 232.403 and 232.405. ator and limited by the brake shoes
Foul means any condition which re- being forced against the wheel or disc.
stricts the intended movement of one Pre-revenue service acceptance testing
or more brake system components be- plan means a document, as further
cause the component is snagged, entan- specified in § 232.505, prepared by a rail-
gled, or twisted. road that explains in detail how pre-
Freight car means a vehicle designed revenue service tests of certain equip-
to carry freight, or railroad personnel, ment demonstrate that the equipment
by rail and a vehicle designed for use in meets Federal safety standards and the
a work or wreck train or other non- railroad’s own safety design require-
passenger train. ments.
Initial terminal means the location Previously tested equipment means
where a train is originally assembled. equipment that has received a Class I
Locomotive means a piece of railroad brake test pursuant to § 232.205 and has
on-track equipment, other than hi-rail, not been off air for more than four
specialized maintenance, or other simi- hours.
lar equipment, which may consist of Primary responsibility means the task
one or more units operated from a sin- that a person performs at least 50 per-
gle control stand— cent of the time. The totality of the
(1) With one or more propelling mo- circumstances will be considered on a
tors designed for moving other railroad case-by-case basis in circumstances
equipment; where an individual does not spend 50
(2) With one or more propelling mo- percent of the day engaged in any one
tors designed to transport freight or readily identifiable type of activity.
passenger traffic or both; or Qualified mechanical inspector means a
(3) Without propelling motors but qualified person who has received, as a
with one or more control stands. part of the training, qualification, and
Locomotive cab means that portion of designation program required under
the superstructure designed to be occu- § 232.203, instruction and training that
pied by the crew operating the loco- includes ‘‘hands-on’’ experience (under
motive. appropriate supervision or apprentice-
Locomotive, controlling means the lo- ship) in one or more of the following
comotive from which the engineer ex- functions: troubleshooting, inspection,
ercises control over the train. testing, maintenance or repair of the
Off air means not connected to a con- specific train brake components and
tinuous source of compressed air of at systems for which the person is as-
least 60 pounds per square inch (psi). signed responsibility. This person shall
Ordered date or date ordered means the also possess a current understanding of
date on which notice to proceed is what is required to properly repair and
given by a procuring railroad to a con- maintain the safety-critical brake
tractor or supplier for new equipment. components for which the person is as-
Overlay ECP brake system means a signed responsibility. Further, the
brake system that has both conven- qualified mechanical inspector shall be
tional pneumatic brake valves and ECP a person whose primary responsibility
brake components, making it capable includes work generally consistent
of operating as either a conventional with the functions listed in this defini-
pneumatic brake system or an ECP tion.
brake system. This brake system can Qualified person means a person who
operate in either a conventionally has received, as a part of the training,
braked train using the conventional qualification, and designation program
pneumatic control valve or in an ECP required under § 232.203, instruction and

braked train using the ECP brake sys- training necessary to perform one or
tem’s CCD. more functions required under this
598
part. The railroad is responsible for de- under the Surface Transportation
termining that the person has the Board’s accounting standards.
knowledge and skills necessary to per- Refresher training means periodic re-
form the required function for which training required for employees or con-
the person is assigned responsibility. tractors to remain qualified to perform
The railroad determines the qualifica- specific equipment troubleshooting, in-
tions and competencies for employees spection, testing, maintenance, or re-
designated to perform various func- pair functions.
tions in the manner set forth in this Respond as intended means to produce
part. Although the rule uses the term the result that a device or system is
‘‘qualified person’’ to describe a person designed to produce.
responsible for performing various ‘‘Roll-by’’ inspection means an inspec-
functions required under this part, a tion performed while equipment is
person may be deemed qualified to per- moving.
form some functions but not qualified Service application means a brake ap-
to perform other functions. For exam- plication that results from one or more
ple, although a person may be deemed service reductions or the equivalent.
qualified to perform the Class II/inter- Service reduction means a decrease in
mediate brake test required by this brake pipe pressure, usually from 5 to
part, that same person may or may not 25 psi at a rate sufficiently rapid to
be deemed qualified to perform the move the operating valve to service po-
Class I/initial Terminal brake test or sition, but at a rate not rapid enough
authorize the movement of defective to move the operating valve to emer-
equipment under this part. The rail- gency position.
road will determine the required func- Solid block of cars means two or more
tions for which an individual will be freight cars coupled together and added
deemed a ‘‘qualified person’’ based to or removed from a train as a single
upon the instruction and training the unit.
individual has received pursuant to Stand-alone CCD means a CCD that
§ 232.203 concerning a particular func- can operate properly only in a train op-
tion. erating in ECP brake mode and cannot
Railroad means any form of non-high- operate in a conventional pneumati-
way ground transportation that runs cally braked train.
on rails or electromagnetic guideways, Stand-alone ECP brake system means a
including: brake system equipped with a CCD that
(1) Commuter or short-haul railroad can only operate the brakes on the car
passenger service in a metropolitan or in ECP brake mode.
suburban area and commuter railroad State inspector means an inspector of
service that was operated by the Con- a participating State rail safety pro-
solidated Rail Corporation on January gram under part 212 of this chapter.
1, 1979; and Switch Mode means a mode of oper-
(2) High speed ground transportation ation of the ECP brake system that al-
systems that connect metropolitan lows operation of that train at 20 miles
areas, without regard to whether those per hour or less when the train’s ECP–
systems use new technologies not asso- EOT device is not communicating with
ciated with traditional railroads. The the lead locomotive’s HEU, the train is
term ‘‘railroad’’ is also intended to separated during road switching oper-
mean a person that provides transpor- ations, or the ECP brake system has
tation by railroad, whether directly or stopped the train because the percent-
by contracting out operation of the age of operative brakes fell below 85%.
railroad to another person. The term Many of the ECP brake system’s fault
does not include rapid transit oper- detection/response procedures are sus-
ations in an urban area that are not pended during Switch Mode.
connected to the general railroad sys- Switching service means the classifica-
tem of transportation. tion of freight cars according to com-
Rebuilt equipment means equipment modity or destination; assembling of

that has undergone overhaul identified cars for train movements; changing the
by the railroad as a capital expense position of cars for purposes of loading,
599
§ 232.7 49 CFR Ch. II (10–1–10 Edition)
unloading, or weighing; placing of loco- (b) Each petition for waiver must be
motives and cars for repair or storage; filed in the manner and contain the in-
or moving of rail equipment in connec- formation required by part 211 of this
tion with work service that does not chapter.
constitute a train movement. (c) If the Administrator finds that a
Tourist, scenic, historic, or excursion waiver of compliance is in the public
operations are railroad operations that interest and is consistent with railroad
carry passengers, often using anti- safety, the Administrator may grant
quated equipment, with the convey- the waiver subject to any conditions
ance of the passengers to a particular the Administrator deems necessary. If
destination not being the principal pur- a waiver is granted, the Administrator
pose. publishes a notice in the FEDERAL REG-
Train means one or more locomotives ISTER containing the reasons for grant-
coupled with one or more freight cars, ing the waiver.
except during switching service.
§ 232.9 Responsibility for compliance.
Train line means the brake pipe or
any non-pneumatic system used to (a) A railroad subject to this part
transmit the signal that controls the shall not use, haul, permit to be used
locomotive and freight car brakes. or hauled on its line, offer in inter-
Train line cable is a two-conductor change, or accept in interchange any
electric wire spanning the train and train, railroad car, or locomotive with
carrying both electrical power to oper- one or more conditions not in compli-
ate all CCDs and ECP–EOT devices and ance with this part; however, a railroad
communications network signals. shall not be liable for a civil penalty
Train, unit or train, cycle means a for such action if such action is in ac-
train that, except for the changing of cordance with § 232.15. For purposes of
locomotive power or for the removal or this part, a train, railroad car, or loco-
replacement of defective equipment, motive will be considered in use prior
remains coupled as a consist and oper- to departure but after it has received,
ates in a continuous loop or continuous or should have received, the inspection
loops without destination. required for movement and is deemed
Transfer train means a train that ready for service.
travels between a point of origin and a (b) Although many of the require-
point of final destination not exceeding ments of this part are stated in terms
20 miles. Such trains may pick up or of the duties of a railroad, when any
deliver freight equipment while en person performs any function required
route to destination. by this part, that person (whether or
not a railroad) is required to perform
Yard air means a source of com-
that function in accordance with this
pressed air other than from a loco-
part.
motive.
(c) Any person performing any func-
Yard limits means a system of tracks, tion or task required by this part shall
not including main tracks and sidings, be deemed to have consented to FRA
used for classifying cars, making-up inspection of the person’s operation to
and inspecting trains, or storing cars the extent necessary to determine
and equipment. whether the function or task is being
[66 FR 4193, Jan. 17, 2001, as amended at 67 performed in accordance with the re-
FR 17580, Apr. 10, 2002; 73 FR 61552, Oct. 16, quirements of this part.
2008]
§ 232.11 Penalties.
§ 232.7 Waivers. (a) Any person (including but not
(a) Any person subject to a require- limited to a railroad; any manager, su-
ment of this part may petition the Ad- pervisor, official, or other employee or
ministrator for a waiver of compliance agent of a railroad; any owner, manu-
with such requirement. The filing of facturer, lessor, or lessee of railroad
such a petition does not affect that equipment, track, or facilities; any em-
person’s responsibility for compliance ployee of such owner, manufacturer,

with that requirement while the peti- lessor, lessee, or independent con-
tion is being considered. tractor) who violates any requirement
600
of this part or causes the violation of empt provisions of State criminal law
any such requirement is subject to a that impose sanctions for reckless con-
civil penalty of at least $650, but not duct that leads to actual loss of life, in-
more than $25,000 per violation, except jury, or damage to property, whether
that: Penalties may be assessed against such provisions apply specifically to
individuals only for willful violations, railroad employees or generally to the
and, where a grossly negligent viola- public at large.
tion or a pattern of repeated violations
has created an imminent hazard of [66 FR 4193, Jan. 17, 2001, as amended at 73
death or injury to persons, or has FR 61552, Oct. 16, 2008]
caused death or injury, a penalty not
to exceed $100,000 per violation may be § 232.15 Movement of defective equip-
ment.
assessed. Each day a violation con-
tinues shall constitute a separate of- (a) General provision. Except as pro-
fense. Appendix A to this part contains vided in paragraph (c) of this section, a
a schedule of civil penalty amounts railroad car or locomotive with one or
used in connection with this rule. more conditions not in compliance
(b) Any person who knowingly and with this part may be used or hauled
willfully falsifies a record or report re- without civil penalty liability under
quired by this part is subject to crimi- this part only if all of the following
nal penalties under 49 U.S.C. 21311. conditions are met:
[66 FR 4193, Jan. 17, 2001, as amended at 69 (1) The defective car or locomotive is
FR 30594, May 28, 2004; 72 FR 51197, Sept. 6, properly equipped in accordance with
2007; 73 FR 79703, Dec. 30, 2008] the applicable provisions of 49 U.S.C.
chapter 203 and the requirements of
§ 232.13 Preemptive effect. this part.
(a) Under 49 U.S.C. 20106, issuance of (2) The car or locomotive becomes de-
the regulations in this part preempts fective while it is being used by the
any State law, rule, regulation, order railroad on its line or becomes defec-
or standard covering the same subject tive on the line of a connecting rail-
matter, except for a provision nec- road and is properly accepted in inter-
essary to eliminate or reduce a local change for repairs in accordance with
safety hazard if that provision is not paragraph (a)(7) of this section.
incompatible with this part and does (3) The railroad first discovers the de-
not impose an undue burden on inter- fective condition of the car or loco-
state commerce. Nothing in this para- motive prior to moving it for repairs.
graph shall be construed to preempt an
(4) The movement of the defective
action under State law seeking dam-
car or locomotive for repairs is from
ages for personal injury, death, or
the location where the car or loco-
property damage alleging that a party
motive is first discovered defective by
has failed to comply with the Federal
the railroad.
standard of care established by this
part, has failed to comply with its own (5) The defective car or locomotive
plan, rule, or standard that it created cannot be repaired at the location
pursuant to this part, or has failed to where the railroad first discovers it to
comply with a State law, regulation, or be defective.
order that is not incompatible with the (6) The movement of the car or loco-
first sentence of this paragraph. motive is necessary to make repairs to
(b) Preemption should also be consid- the defective condition.
ered pursuant to the Locomotive Boiler (7) The location to which the car or
Inspection Act (now codified at 49 locomotive is being taken for repair is
U.S.C. 20701–20703), the Safety Appli- the nearest available location where
ance Acts (now codified at 49 U.S.C. necessary repairs can be performed on
20301–20304), and the Commerce Clause the line of the railroad where the car
based on the relevant case law per- or locomotive was first found to be de-
taining to preemption under those pro- fective or is the nearest available loca-
visions. tion where necessary repairs can be

(c) FRA does not intend by issuance performed on the line of a connecting
of the regulations in this part to pre- railroad if:
601
§ 232.15 49 CFR Ch. II (10–1–10 Edition)
(i) The connecting railroad elects to strictions contained in the Special No-
accept the defective car or locomotive tice.
for such repair; and (b) Tagging of defective equipment. (1)
(ii) The nearest available location At the place where the railroad first
where necessary repairs can be per- discovers the defect, a tag or card shall
formed on the line of the connecting be placed on both sides of the defective
railroad is no farther than the nearest equipment, except that defective loco-
available location where necessary re- motives may have the tag or card
pairs can be performed on the line of placed in the cab of the locomotive. In
the railroad where the car or loco- lieu of a tag or card, an automated
motive was found defective. tracking system approved for use by
(8) The movement of the defective FRA shall be provided. The tag, card,
car or locomotive for repairs is not by or automated tracking system shall
a train required to receive a Class I contain the following information
brake test at that location pursuant to about the defective equipment:
§ 232.205. (i) The reporting mark and car or lo-
(9) The movement of the defective comotive number;
car or locomotive for repairs is not in (ii) The name of the inspecting rail-
a train in which less than 85 percent of road;
the cars have operative and effective (iii) The name and job title of the in-
brakes. spector;
(10) The defective car or locomotive (iv) The inspection location and date;
is tagged, or information is recorded, (v) The nature of each defect;
as prescribed in paragraph (b) of this (vi) A description of any movement
section. restrictions;
(vii) The destination where the equip-
(11) Except for cars or locomotives
ment will be repaired; and
with brakes cut out en route, the fol-
(viii) The signature, or electronic
lowing additional requirements are
identification, of the person reporting
met:
the defective condition.
(i) A qualified person shall deter-
(2) The tag or card required by para-
mine—
graph (b)(1) of this section shall remain
(A) That it is safe to move the car or affixed to the defective equipment
locomotive; and until the necessary repairs have been
(B) The maximum safe speed and performed.
other restrictions necessary for safely (3) An electronic or written record or
conducting the movement. a copy of each tag or card attached to
(ii) The person in charge of the train or removed from a car or locomotive
in which the car or locomotive is to be shall be retained for 90 days and, upon
moved shall be notified in writing and request, shall be made available within
inform all other crew members of the 15 calendar days for inspection by FRA
presence of the defective car or loco- or State inspectors.
motive and the maximum speed and (4) Each tag or card removed from a
other restrictions determined under car or locomotive shall contain the
paragraph (a)(11)(i)(B) of this section. date, location, reason for its removal,
A copy of the tag or card described in and the signature of the person who re-
paragraph (b) of this section may be moved it from the piece of equipment.
used to provide the notification re- (5) Any automated tracking system
quired by this paragraph. approved by FRA to meet the tagging
(iii) The defective car or locomotive requirements contained in paragraph
is moved in compliance with the max- (b)(1) of this section shall be capable of
imum speed and other restrictions de- being reviewed and monitored by FRA
termined under paragraph (a)(11)(i)(B) at any time to ensure the integrity of
of this section. the system. FRA’s Associate Adminis-
(12) The defective car or locomotive trator for Safety may prohibit or re-
is not subject to a Special Notice for voke a railroad’s authority to utilize
Repair under part 216 of this chapter, an approved automated tracking sys-
unless the movement of the defective tem in lieu of tagging if FRA finds that
car is made in accordance with the re- the automated tracking system is not
602
properly secure, is inaccessible to FRA (3) Multi-unit articulated equipment

or a railroad’s employees, or fails to shall not be placed in a train if the
adequately track and monitor the equipment has more than two consecu-
movement of defective equipment. tive individual control valves cut-out
FRA will record such a determination or if the brakes controlled by the
in writing, include a statement of the valves are inoperative.
basis for such action, and provide a (f) Guidelines for determining locations
copy of the document to the railroad. where necessary repairs can be performed.
(c) Movement for unloading or purging The following guidelines will be consid-
of defective cars. If a defective car is ered by FRA when determining wheth-
loaded with a hazardous material or er a location is a location where re-
contains residue of a hazardous mate- pairs to a car’s brake system or compo-
rial, the car may not be placed for un- nents can be performed and whether a
loading or purging unless unloading or location is the nearest location where
purging is consistent with determina- the needed repairs can be effectuated.
tions made and restrictions imposed
(1) The following general factors and
under paragraph (a)(11)(i) of this sec-
guidelines will be considered when
tion and the unloading or purging is
making determinations as to whether a
necessary for the safe repair of the car.
location is a location where brake re-
(d) Computation of percent operative
pairs can be performed:
power brakes. (1) The percentage of op-
erative power brakes in a train shall be (i) The accessibility of the location
based on the number of control valves to persons responsible for making re-
in the train. The percentage shall be pairs;
determined by dividing the number of (ii) The presence of hazardous condi-
control valves that are cut-in by the tions that affect the ability to safely
total number of control valves in the make repairs of the type needed at the
train. A control valve shall not be con- location;
sidered cut-in if the brakes controlled (iii) The nature of the repair nec-
by that valve are inoperative. Both essary to bring the car into compli-
cars and locomotives shall be consid- ance;
ered when making this calculation. (iv) The need for railroads to have in
(2) The following brake conditions place an effective means to ensure the
not in compliance with this part are safe and timely repair of equipment;
not considered inoperative power (v) The relevant weather conditions
brakes for purposes of this section: at the location that affect accessibility
(i) Failure or cutting out of sec- or create hazardous conditions;
ondary brake systems; (vi) A location need not have the
(ii) Inoperative or otherwise defec- ability to effectuate every type of
tive handbrakes or parking brakes; brake system repair in order to be con-
(iii) Piston travel that is in excess of sidered a location where some brake re-
the Class I brake test limits required in pairs can be performed;
§ 232.205 but that does not exceed the
(vii) A location need not be staffed
outside limits contained on the stencil,
continuously in order to be considered
sticker, or badge plate required by
a location where brake repairs can be
§ 232.103(g) for considering the power
performed;
brakes to be effective; and
(iv) Power brakes overdue for inspec- (viii) The ability of a railroad to per-
tion, testing, maintenance, or sten- form repair track brake tests or single
ciling under this part. car tests at a location shall not be con-
(e) Placement of equipment with inoper- sidered; and
ative brakes. (1) A freight car or loco- (ix) The congestion of work at a loca-
motive with inoperative brakes shall tion shall not be considered
not be placed as the rear car of the (2) The general factors and guidelines
train. outlined in paragraph (f)(1) of this sec-
(2) No more than two freight cars tion should be applied to the following
with either inoperative brakes or not locations:

equipped with power brakes shall be (i) A location where a mobile repair
consecutively placed in the same train. truck is used on a regular basis;
603
§ 232.17 49 CFR Ch. II (10–1–10 Edition)
(ii) A location where a mobile repair plan under § 232.15(g); an alternative

truck originates or is permanently sta- standard under § 232.305 or § 232.603; or a
tioned; single car test procedure under § 232.611
(iii) A location at which a railroad shall contain:
performs mechanical repairs other (1) The name, title, address, and tele-
than brake system repairs; and phone number of the primary person to
(iv) A location that has an operative be contacted with regard to review of
repair track or repair shop; the petition;
(3) In determining whether a location (2) The plan, alternative standard, or
is the nearest location where the nec- test procedure proposed, in detail, to be
essary brake repairs can be made, the submitted for or to meet the particular
distance to the location is a key factor requirement of this part;
but should not be considered the deter- (3) Appropriate data or analysis, or
mining factor. The distance to a loca- both, for FRA to consider in deter-
tion must be considered in conjunction mining whether the plan, alternative
with the factors and guidance outlined standard, or test procedure, will be
in paragraphs (f)(1) and (f)(2) of this consistent with the guidance under
section. In addition, the following safe- § 232.15(f), if applicable, and will provide
ty factors must be considered in order at least an equivalent level of safety or
to optimize safety: otherwise meet the requirements con-
(i) The safety of the employees retained in this part; and
sponsible for getting the equipment to (4) A statement affirming that the
or from a particular location; and railroad has served a copy of the peti-
(ii) The potential safety hazards in- tion on designated representatives of
volved with moving the equipment in its employees, together with a list of
the direction of travel necessary to get the names and addresses of the persons
the equipment to a particular location. served.
(g) Designation of repair locations. (c) Petitions for special approval of pre-
Based on the guidance detailed in para- revenue service acceptance testing plan.
graph (f) of this section and consistent Each petition for special approval of a
with other requirements contained in pre-revenue service acceptance testing
this part, a railroad may submit a de- plan shall contain:
tailed petition, pursuant to the special (1) The name, title, address, and tele-
approval procedures contained in phone number of the primary person to
§ 232.17, containing a plan designating be contacted with regard to review of
locations where brake system repairs the petition; and
will be performed. Approval of such (2) The elements prescribed in
plans shall be made accordance with § 232.505.
the procedures contained in § 232.17, (d) Service. (1) Each petition for spe-
and shall be subject to any modifica- cial approval under paragraph (b) or (c)
tions determined by FRA to be nec- of this section shall be submitted to
essary to ensure consistency with the the Associate Administrator for Safe-
requirements and guidance contained ty, Federal Railroad Administration,
in this part. 1200 New Jersey Avenue, SE., Wash-
[66 FR 4193, Jan. 17, 2001, as amended at 67 ington, DC 20590.
FR 17580, Apr. 10, 2002] (2) Service of each petition for spe-
cial approval of a plan or an alter-
§ 232.17 Special approval procedure. native standard submitted under para-
(a) General. The following procedures graph (b) of this section shall be made
govern consideration and action upon on the following:
requests for special approval of a plan (i) Designated representatives of the
under § 232.15(g); an alternative stand- employees of the railroad submitting a
ard under § 232.305, § 232.603, or a single plan pursuant to § 232.15(g) or des-
car test procedure under § 232.611; and ignated representatives of the employ-
pre-revenue service acceptance testing ees responsible for the equipment’s op-
plans under subpart F of this part. eration, inspection, testing, and main-
(b) Petitions for special approval of an tenance under this part;

alternative standard or test procedure. (ii) Any organizations or bodies that
Each petition for special approval of a either issued the standard incorporated
604
in the section(s) of the rule to which standard, or the pre-revenue service

the special approval pertains or issued plan is not acceptable or justified, the
the alternative standard that is pro- petition will be denied, normally with-
posed in the petition; and in 90 days of its receipt.
(iii) Any other person who has filed (3) When FRA grants or denies a peti-
with FRA a current statement of inter- tion, or reopens consideration of the
est in reviewing special approvals petition, written notice is sent to the
under the particular requirement of petitioner and other interested parties.
this part at least 30 days but not more
than 5 years prior to the filing of the FR 17580, Apr. 10, 2002; 73 FR 61552, Oct. 16,
petition. If filed, a statement of inter- 2008; 74 FR 25174, May 27, 2009]
est shall be filed with FRA’s Associate
Administrator for Safety and shall ref- § 232.19 Availability of records.
erence the specific section(s) of this Except as otherwise provided, the
part in which the person has an inter- records and plans required by this part
est. shall be made available to representa-
(e) Federal Register notice. FRA will tives of FRA and States participating
publish a notice in the FEDERAL REG- under part 212 of this chapter for in-
ISTER concerning each petition under
spection and copying upon request.
paragraph (b) of this section.
(f) Comment. Not later than 30 days § 232.21 Information Collection.
from the date of publication of the no-
tice in the FEDERAL REGISTER con- (a) The information collection re-
cerning a petition under paragraph (b) quirements of this part were reviewed
of this section, any person may com- by the Office of Management and Budg-
ment on the petition. et pursuant to the Paperwork Reduc-
(1) A comment shall set forth specifi- tion Act of 1995 (44 U.S.C. 3501 et seq.)
cally the basis upon which it is made, and are assigned OMB control number
and contain a concise statement of the 2130–0008.
interest of the commenter in the pro- (b) The information collection re-
ceeding. quirements are found in the following
(2) The comment shall be submitted sections: §§ 229.27, 231.31, 232.1, 232.3,
to the Associate Administrator for 232.7, 232.11, 232.15, 232.17, 232.103,
Safety, Federal Railroad Administra- 232.105, 232.107, 232.109, 232.111, 232.203,
tion, 1200 New Jersey Avenue, SE., 232.205, 232.207, 232.209, 232.211, 232.213,
Washington, DC 20590. 232.303, 232.307, 232.309, 232.403, 232.405,
(3) The commenter shall certify that 232.407, 232.409, 232.503, 232.505.
a copy of the comment was served on
each petitioner. Subpart B—General Requirements
(g) Disposition of petitions. (1) If FRA
finds that the petition complies with § 232.101 Scope.
the requirements of this section and This subpart contains general oper-
that the proposed plan under § 232.15(g), ating, performance, and design require-
the alternative standard, or the pre- ments for each railroad that operates
revenue service plan is acceptable and freight or other non-passenger trains
justified, the petition will be granted, and for specific equipment used in
normally within 90 days of its receipt. those operations.
If the petition is neither granted nor
denied within 90 days, the petition re- § 232.103 General requirements for all
mains pending for decision. FRA may train brake systems.
attach special conditions to the ap- (a) The primary brake system of a
proval of any petition. Following the train shall be capable of stopping the
approval of a petition, FRA may re- train with a service application from
open consideration of the petition for its maximum operating speed within
cause. the signal spacing existing on the
(2) If FRA finds that the petition track over which the train is oper-
does not comply with the requirements ating.

of this section and that the proposed (b) If the integrity of the train line of
plan under § 232.15(g), the alternative a train brake system is broken, the
605
§ 232.103 49 CFR Ch. II (10–1–10 Edition)
train shall be stopped. If a train line of the equipment to observe brake ac-
uses other than solely pneumatic tech- tuation or release.
nology, the integrity of the train line (i) All trains shall be equipped with
shall be monitored by the brake con- an emergency application feature that
trol system. produces an irretrievable stop, using a
(c) A train brake system shall re- brake rate consistent with prevailing
spond as intended to signals from the adhesion, train safety, and brake sys-
train line. tem thermal capacity. An emergency
(d) One hundred percent of the brakes application shall be available at all
on a train shall be effective and opera- times, and shall be initiated by an un-
tive brakes prior to use or departure intentional parting of the train line or
from any location where a Class I loss of train brake communication.
brake test is required to be performed (j) A railroad shall set the maximum
on the train pursuant to § 232.205. main reservoir working pressure.
(e) A train shall not move if less than (k) The maximum brake pipe pres-
85 percent of the cars in that train sure shall not be greater than 15 psi
have operative and effective brakes. less than the air compressor governor
(f) Each car in a train shall have its starting or loading pressure.
air brakes in effective operating condi- (l) Except as otherwise provided in
tion unless the car is being moved for this part, all equipment used in freight
repairs in accordance with §§ 232.15 and or other non-passenger trains shall, at
232.609. The air brakes on a car are not a minimum, meet the Association of
in effective operating condition if its American Railroads (AAR) Standard S–
brakes are cut-out or otherwise inoper- 469–47, ‘‘Performance Specification for
ative or if the piston travel exceeds: Freight Brakes,’’ contained in the AAR
(1) 10 1/2 inches for cars equipped with Manual of Standards and Recommended
nominal 12-inch stroke brake cylinders; Practices, Section E (April 1, 1999). The
or incorporation by reference of this AAR
(2) The piston travel limits indicated standard was approved by the Director
on the stencil, sticker, or badge plate of the Federal Register in accordance
for the brake cylinder with which the with 5 U.S.C. 552(a) and 1 CFR part 51.
car is equipped. You may obtain a copy of the incor-
(g) Except for cars equipped with porated document from the Association
nominal 12-inch stroke (81⁄2 and 10-inch of American Railroads, 50 F Street,
diameters) brake cylinders, all cars NW, Washington, DC. 20001. You may
shall have a legible decal, stencil, or inspect a copy of the document at the
sticker affixed to the car or shall be Federal Railroad Administration,
equipped with a badge plate displaying Docket Clerk, 1200 New Jersey Avenue,
the permissible brake cylinder piston SE., Washington, DC or at the National
travel range for the car at Class I Archives and Records Administration
brake tests and the length at which the (NARA). For information on the avail-
piston travel renders the brake ineffec- ability of this material at NARA, call
tive, if different from Class I brake test 202–741–6030, or go to: http://
limits. The decal, stencil, sticker, or www.archives.gov/federallregister/
badge plate shall be located so that it codeloflfederallregulations/
may be easily read and understood by a ibrllocations.html.
person positioned safely beside the car. (m) If a train qualified by the Air
(h) All equipment ordered on or after Flow Method as provided for in subpart
August 1, 2002, or placed in service for C of this part experiences a brake pipe
the first time on or after April 1, 2004, air flow of greater than 60 CFM or
shall have train brake systems de- brake pipe gradient of greater than 15
signed so that an inspector can observe psi while en route and the movable
from a safe position either the piston pointer does not return to those limits
travel, an accurate indicator which within a reasonable time, the train
shows piston travel, or any other shall be stopped at the next available
means by which the brake system is location and be inspected for leaks in
actuated. The design shall not require the brake system.

the inspector to place himself or her- (n) Securement of unattended equip-
self on, under, or between components ment. A train’s air brake shall not be
606
depended upon to hold equipment tended locomotive consist outside of

standing unattended on a grade (in- yard limits.
cluding a locomotive, a car, or a train (iii) At a minimum, the hand brake
whether or not locomotive is attached). shall be fully applied on the lead loco-
For purposes of this section, ‘‘unat- motive in an unattended locomotive
tended equipment’’ means equipment consist within yard limits.
left standing and unmanned in such a (iv) A railroad shall develop, adopt,
manner that the brake system of the and comply with procedures for secur-
equipment cannot be readily controlled ing any unattended locomotive re-
by a qualified person. Unattended quired to have a hand brake applied
equipment shall be secured in accord- pursuant to paragraph (n)(3)(i) through
ance with the following requirements: (n)(3)(iii) when the locomotive is not
(1) A sufficient number of hand equipped with an operative hand brake.
brakes shall be applied to hold the (4) A railroad shall adopt and comply
equipment. Railroads shall develop and with a process or procedures to verify
implement a process or procedure to that the applied hand brakes will suffi-
verify that the applied hand brakes ciently hold an unattended locomotive
will sufficiently hold the equipment consist. A railroad shall also adopt and
with the air brakes released. comply with instructions to address
(2) Except for equipment connected throttle position, status of the reverse
to a source of compressed air (e.g., lo- lever, position of the generator field
comotive or ground air source), prior switch, status of the independent
to leaving equipment unattended, the brakes, position of the isolation
brake pipe shall be reduced to zero at a switch, and position of the automatic
rate that is no less than a service rate brake valve on all unattended loco-
reduction, and the brake pipe vented to motives. The procedures and instruc-
atmosphere by leaving the angle cock tion required in this paragraph shall
in the open position on the first unit of take into account winter weather con-
the equipment left unattended. ditions as they relate to throttle posi-
(3) Except for distributed power tion and reverser handle.
units, the following requirements apply (5) Any hand brakes applied to hold
to unattended locomotives: unattended equipment shall not be re-
(i) All hand brakes shall be fully ap- leased until it is known that the air
plied on all locomotives in the lead brake system is properly charged.
consist of an unattended train. (o) Air pressure regulating devices
(ii) All hand brakes shall be fully ap- shall be adjusted for the following pres-
plied on all locomotives in an unat- sures:
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 lo- (b) All locomotives ordered on or

comotives. after August 1, 2002, or placed in serv-
ice for the first time on or after April
(a) The air brake equipment on a lo-

comotive shall be in safe and suitable 1, 2004, shall be equipped with a hand or
condition for service. parking brake that is:
607
§ 232.107 49 CFR Ch. II (10–1–10 Edition)
(1) Capable of application or activa- (2) This plan shall require the rail-
tion by hand; road to:
(2) Capable of release by hand; and (i) Inspect each yard air source at
(3) Capable of holding the unit on a least two times per calendar year, no
three (3) percent grade. less than five months apart, to deter-
(c) On locomotives so equipped, the mine it operates as intended and does
hand or parking brake as well as its not introduce contaminants into the
parts and connections shall be in- brake system of the equipment it serv-
spected, and necessary repairs made, as ices.
often as service requires but no less (ii) Identify yard air sources found
frequently than every 368 days. The not to be operating as intended or
date of the last inspection shall be ei- found introducing contaminants into
ther entered on Form FRA F 6180–49A the brake system of the equipment it
or suitably stenciled or tagged on the services.
locomotive. (iii) Repair or take other remedial
(d) The amount of leakage from the action regarding any yard air source
equalizing reservoir on locomotives identified under paragraph (a)(2)(ii) of
and related piping shall be zero, unless this section.
the system is capable of maintaining (3) A railroad shall maintain records
the set pressure at any service applica- of the information and actions required
tion with the brakes control valve in by paragraph (a)(2). These records shall
the freight position. If such leakage is be maintained for a period of at least
detected en route, the train may be one year from the date of creation and
moved only to the nearest forward lo- may be maintained either electroni-
cation where the equalizing-reservoir cally or in writing.
leakage can be corrected. On loco- (b) Condensation and other contami-
motives equipped with electronic nants shall be blown from the pipe or
brakes, if the system logs or displays a hose from which compressed air is
fault related to equalizing reservoir taken prior to connecting the yard air
leakage, the train may be moved only line or motive power to the train.
to the nearest forward location where (c) No chemicals which are known to
the necessary repairs can be made. degrade or harm brake system compo-
(e) Use of the feed or regulating valve nents shall be placed in the train air
to control braking is prohibited. brake system.
(f) The passenger position on the lo- (d) Yard air reservoirs shall either be
comotive brake control stand shall be equipped with an operable automatic
used only if the trailing equipment is drain system or be manually drained at
designed for graduated brake release or least once each day that the devices
if equalizing reservoir leakage occurs are used or more often if moisture is
en route and its use is necessary to detected in the system.
safely control the movement of the (e) A railroad shall adopt and comply
train until it reaches the next forward with detailed written operating proce-
location where the reservoir leakage dures tailored to the equipment and
can be corrected. territory of that railroad to cover safe
(g) When taking charge of a loco- train operations during cold weather.
motive or locomotive consist, an engi- For purposes of this provision, ‘‘cold
neer must know that the brakes are in weather’’ means when the ambient
operative condition. temperature drops below 10 degrees
Fahrenheit (F) (minus 12.2 degrees Cel-
§ 232.107 Air source requirements and sius).
cold weather operations.
(a) Monitoring plans for yard air § 232.109 Dynamic brake require-
sources. (1) A railroad shall adopt and ments.
comply with a written plan to monitor (a) Except as provided in paragraph
all yard air sources, other than loco- (i) of this section, a locomotive engi-
motives, to determine that they oper- neer shall be informed of the oper-
ate as intended and do not introduce ational status of the dynamic brakes
contaminants into the brake system of on all locomotive units in the consist
freight equipment. at the initial terminal for a train and
608
at other locations where a locomotive unless the locomotive has the capa-
engineer first begins operation of a bility of:
train. The information required by this (1) Controlling the dynamic braking
paragraph may be provided to the loco- effort in trailing locomotives in the
motive engineer by any means deter- consist that are so equipped; and
mined to be appropriate by the rail- (2) Displaying to the locomotive en-
road; however, a written or electronic gineer the deceleration rate of the
record of the information shall be train or the total train dynamic brake
maintained in the cab of the control- retarding force.
ling locomotive. (g) All locomotives equipped with dy-
(b) Except as provided in paragraph namic brakes and ordered on or after
(e) of this section, all inoperative dy- April 1, 2006, or placed in service for
namic brakes shall be repaired within the first time on or after October 1,
30 calendar days of becoming inoper- 2007, shall be designed to:
ative or at the locomotive’s next peri- (1) Conduct an electrical integrity
odic inspection pursuant to § 229.23 of test of the dynamic brake to determine
this chapter, whichever occurs first. if electrical current is being received
(c) Except as provided in paragraph at the grids on the system; and
(e) of this section, a locomotive discov- (2) Display in real-time in the cab of
ered with inoperative dynamic brakes the controlling (lead) locomotive the
shall have a tag bearing the words ‘‘in- total train dynamic brake retarding
operative dynamic brake’’ securely at- force available in the train.
tached and displayed in a conspicuous (h) All rebuilt locomotives equipped
location in the cab of the locomotive. with dynamic brakes and placed in
This tag shall contain the following in- service on or after April 1, 2004, shall be
formation: designed to:
(1) The locomotive number; (1) Conduct an electrical integrity
(2) The name of the discovering car- test of the dynamic brake to determine
rier; if electrical current is being received
(3) The location and date where con- at the grids on the system; and
dition was discovered; and (2) Display either the train decelera-
(4) The signature of the person dis- tion rate or in real-time in the cab of
covering the condition. the controlling (lead) locomotive the
(d) An electronic or written record of total train dynamic brake retarding
repairs made to a locomotive’s dy- force available in the train.
namic brakes shall be retained for 92 (i) The information required by para-
days. graph (a) of this section is not required
(e) A railroad may elect to declare to be provided to the locomotive engi-
the dynamic brakes on a locomotive neer if all of the locomotives in the
deactivated without removing the dy- lead consist of a train are equipped in
namic brake components from the lo- accordance with paragraph (g) of this
comotive, only if all of the following section.
conditions are met: (j) A railroad operating a train with
(1) The locomotive is clearly marked a brake system that includes dynamic
with the words ‘‘dynamic brake deacti- brakes shall adopt and comply with
vated’’ in a conspicuous location in the written operating rules governing safe
cab of the locomotive; and train handling procedures using these
(2) The railroad has taken appro- dynamic brakes under all operating
priate action to ensure that the deacti- conditions, which shall be tailored to
vated locomotive is incapable of uti- the specific equipment and territory of
lizing dynamic brake effort to retard or the railroad. The railroad’s operating
control train speed. rules shall:
(f) If a locomotive consist is intended (1) Ensure that the friction brakes
to have its dynamic brakes used while are sufficient by themselves, without
in transit, a locomotive with inoper- the aid of dynamic brakes, to stop the
ative or deactivated dynamic brakes or train safely under all operating condi-
a locomotive not equipped with dy- tions.

namic brakes shall not be placed in the (2) Include a ‘‘miles-per-hour-over-
controlling (lead) position of a consist speed-stop’’ rule. At a minimum, this
609
§ 232.111 49 CFR Ch. II (10–1–10 Edition)
rule shall require that any train when brakes and the location where they
descending a section of track with an will be repaired;
average grade of one percent or greater (4) If a Class I or Class IA brake test
over a distance of three continuous is required prior to the next crew
miles shall be immediately brought to change point, the location at which
a stop, by an emergency brake applica- that test shall be performed; and
tion if necessary, when the train’s (5) Any train brake system problems
speed exceeds the maximum authorized encountered by the previous crew of
speed for that train by more than 5 the train.
miles per hour. A railroad shall reduce
the 5-miles-per-hour-overspeed-stop re- Subpart C—Inspection and Testing
striction if validated research indicates Requirements
the need for such a reduction. A rail-
road may increase the 5-miles-per- § 232.201 Scope.
hour-overspeed restriction only with This subpart contains the inspection
approval of FRA and based upon and testing requirements for brake sys-
verifiable data and research. tems used in freight and other non-pas-
(k) A railroad operating a train with senger trains. This subpart also con-
a brake system that includes dynamic tains general training requirements for
brakes shall adopt and comply with railroad and contract personnel used to
specific knowledge, skill, and ability perform the required inspections and
criteria to ensure that its locomotive tests.
engineers are fully trained in the oper-
ating rules prescribed by paragraph (j) § 232.203 Training requirements.
of this section. The railroad shall in-
(a) Each railroad and each contractor
corporate such criteria into its loco-
shall adopt and comply with a training,
motive engineer certification program
qualification, and designation program
pursuant to part 240 of this chapter.
for its employees that perform brake
[66 FR 4193, Jan. 17, 2001, as amended at 67 system inspections, tests, or mainte-
FR 17581, Apr. 10, 2002] nance. For purposes of this section, a
‘‘contractor’’ is defined as a person
§ 232.111 Train handling information. under contract with the railroad or car
(a) A railroad shall adopt and comply owner. The records required by this
with written procedures to ensure that section may be maintained either elec-
a train crew employed by the railroad tronically or in writing.
is given accurate information on the (b) As part of this program, the rail-
condition of the train brake system road or contractor shall:
and train factors affecting brake sys- (1) Identify the tasks related to the
tem performance and testing when the inspection, testing, and maintenance of
crew takes over responsibility for the the brake system required by this part
train. The information required by this that must be performed by the railroad
paragraph may be provided to the loco- or contractor and identify the skills
motive engineer by any means deter- and knowledge necessary to perform
mined appropriate by the railroad; each task.
however, a written or electronic record (2) Develop or incorporate a training
of the information shall be maintained curriculum that includes both class-
in the cab of the controlling loco- room and ‘‘hands-on’’ lessons designed
motive. to impart the skills and knowledge
(b) The procedures shall require that identified as necessary to perform each
each train crew taking charge of a task. The developed or incorporated
train be informed of: training curriculum shall specifically
(1) The total weight and length of the address the Federal regulatory require-
train, based on the best information ments contained in this part that are
available to the railroad; related to the performance of the tasks
(2) Any special weight distribution identified.
that would require special train han- (3) Require all employees to success-
dling procedures; fully complete a training curriculum

(3) The number and location of cars that covers the skills and knowledge
with cut-out or otherwise inoperative the employee will need to possess in
610
order to perform the tasks required by (b)(3) through (b)(5) of this section and
this part that the employee will be re- the test is documented as required in
sponsible for performing, including the paragraph (e) of this section; or
specific Federal regulatory require- (iii) The railroad or contractor cer-
ments contained in this part related to tifies that a group or segment of its
the performance of a task for which the employees has previously received
employee will be responsible; training or testing determined by the
(4) Require all employees to pass a railroad or contractor to meet the re-
written or oral examination covering quirements, or a portion of the require-
the skills and knowledge the employee ments, contained in paragraphs (b)(3)
will need to possess in order to perform through (b)(5) of this section and com-
the tasks required by this part that the plete records of such training are not
employee will be responsible for per- available, provided the following condi-
forming, including the specific Federal tions are satisfied:
regulatory requirements contained in (A) The certification is placed in the
this part related to the performance of employee’s training records required in
a task for which the employee will be paragraph (e) of this section;
responsible for performing; (B) The certification contains a brief
(5) Require all employees to individ- description of the training provided
ually demonstrate ‘‘hands-on’’ capa- and the approximate date(s) on which
bility by successfully applying the
the training was provided; and
skills and knowledge the employee will
(C) Any employee determined to be
need to possess in order to perform the
trained pursuant to this paragraph is
tasks required by this part that the
employee will be responsible for per- given a diagnostic oral, written, or
forming to the satisfaction of the em- ‘‘hands-on’’ test covering that training
ployee’s supervisor or designated in- for which this paragraph is relied upon
structor; at the time the employee receives his
(6) An employee hired or working or her first periodic refresher training
prior to June 1, 2001, for a railroad or under paragraph (b)(8) of this section.
contractor covered by this part will be (iv) Any combination of the training
considered to have met the require- or testing contained in paragraphs
ments, or a portion of the require- (b)(6)(i) through (b)(6)(iii) of this sec-
ments, contained in paragraphs (b)(3) tion and paragraphs (b)(3) through
through (b)(5) of this section if the em- (b)(5) of this section.
ployee receives training and testing on (7) Require supervisors to exercise
the specific Federal regulatory require- oversight to ensure that all the identi-
ments contained in this part related to fied tasks are performed in accordance
the performance of the tasks which the with the railroad’s written procedures
employee will be responsible for per- and the specific Federal regulatory re-
forming; and if: quirements contained in this part;
(i) The training or testing, including (8) Require periodic refresher train-
efficiency testing, previously received ing, at an interval not to exceed three
by the employee is determined by the years, that includes classroom and
railroad or contractor to meet the re- ‘‘hands-on’’ training, as well as testing;
quirements, or a portion of the require- except that employees that have com-
ments, contained in paragraphs (b)(3) pleted their initial training under para-
through (b)(5) of this section and such graphs (b)(3) through (b)(6) of this part
training or testing can be documented prior to April 1, 2004, shall not be re-
as required in paragraphs (e)(1) through quired to complete their first periodic
(e)(4) of this section; refresher training until four years after
(ii) The employee passes an oral, the completion of their initial train-
written, or practical, ‘‘hands-on’’ test ing, and every three years thereafter.
developed or adopted by the railroad or Observation and evaluation of actual
contractor which is determined by the performance of duties may be used to
railroad or contractor to ensure that meet the ‘‘hands-on’’ portion of this re-
the employee possesses the skills and quirement, provided that such testing
knowledge, or a portion of the skills or is documented as required in paragraph
knowledge, required in paragraphs (e) of this section; and
611
§ 232.205 49 CFR Ch. II (10–1–10 Edition)
(9) Add new brake systems to the essary to be considered qualified to

training, qualification and designation perform the tasks identified in para-
program prior to its introduction to graph (e)(7) of this section.
revenue service. (8) The date that the employee’s sta-
(c) A railroad that operates trains re- tus as qualified to perform the tasks
quired to be equipped with a two-way identified in paragraph (e)(7) of this
end-of-train telemetry device pursuant section expires due to the need for re-
to subpart E of this part, and each con- fresher training.
tractor that maintains such devices (f) A railroad or contractor shall
shall adopt and comply with a training adopt and comply with a plan to peri-
program which specifically addresses odically assess the effectiveness of its
the testing, operation, and mainte- training program. One method of vali-
nance of two-way end-of-train devices dation and assessment could be
for employees who are responsible for through the use of efficiency tests or
the testing, operation, and mainte- periodic review of employee perform-
nance of the devices. ance.
(d) A railroad that operates trains [66 FR 4193, Jan. 17, 2001, as amended at 67
under conditions that require the set- FR 17581, Apr. 10, 2002]
ting of air brake pressure retaining
valves shall adopt and comply with a § 232.205 Class I brake test-initial ter-
training program which specifically ad- minal inspection.
dresses the proper use of retainers for (a) Each train and each car in the
employees who are responsible for train shall receive a Class I brake test
using or setting retainers. as described in paragraph (c) of this
(e) A railroad or contractor shall section by a qualified person, as de-
maintain adequate records to dem- fined in § 232.5, at the following points:
onstrate the current qualification sta- (1) The location where the train is
tus of all of its personnel assigned to originally assembled (‘‘initial ter-
inspect, test, or maintain a train brake minal’’);
system. The records required by this (2) A location where the train consist
paragraph may be maintained either is changed other than by:
electronically or in writing and shall (i) Adding a single car or a solid
be provided to FRA upon request. block of cars, except as provided in
These records shall include the fol- paragraph (b)(2) of this section;
lowing information concerning each (ii) Removing a single car or a solid
such employee: block of cars;
(1) The name of the employee; (iii) Removing cars determined to be
(2) The dates that each training defective under this chapter; or
course was completed; (iv) A combination of the changes
(3) The content of each training listed in paragraphs (a)(2)(i) through
course successfully completed; (a)(2)(iii) of this section (See §§ 232.209
(4) The employee’s scores on each and 232.211 for requirements related to
test taken to demonstrate proficiency; the pick-up of cars and solid blocks of
(5) A description of the employee’s cars en route.);
‘‘hands-on’’ performance applying the (3) A location where the train is off
skills and knowledge the employee air for a period of more than four
needs to possess in order to perform hours;
the tasks required by this part that the (4) A location where a unit or cycle
employee will be responsible for per- train has traveled 3,000 miles since its
forming and the basis for finding that last Class I brake test; and
the skills and knowledge were success- (5) A location where the train is re-
fully demonstrated; ceived in interchange if the train con-
(6) The tasks required to be per- sist is changed other than by:
formed under this part which the em- (i) Removing a car or a solid block of
ployee is deemed qualified to perform; cars from the train;
and (ii) Adding a previously tested car or
(7) Identification of the person(s) de- a previously tested solid block of cars
termining that the employee has suc- to the train;
cessfully completed the training nec- (iii) Changing motive power;
612
(iv) Removing or changing the ca- (i) Leakage Test. The brake pipe leak-
boose; or age test shall be conducted as follows:
(v) Any combination of the changes (A) Charge the air brake system to
listed in paragraphs (a)(5) of this sec- the pressure at which the train will be
tion. operated, and the pressure at the rear
(A) If changes other than those con- of the train shall be within 15 psi of the
tained in paragraph (a)(5)(i)–(a)(5)(v) of pressure at which the train will be op-
this section are made to the train con- erated, but not less than 75 psi, as indi-
sist when it is received in interchange cated by an accurate gauge or end-of-
and the train will move 20 miles or train device at the rear end of train;
less, then the railroad may conduct a (B) Upon receiving the signal to
brake test pursuant to § 232.209 on those apply brakes for test, make a 20-psi
cars added to the train. brake pipe service reduction;
(B) [Reserved] (C) If the locomotive used to perform
(b) Except as provided in § 232.209, the leakage test is equipped with a
each car and each solid block of cars means for maintaining brake pipe pres-
added to a train shall receive a Class I sure at a constant level during a 20-psi
brake test as described in paragraph (c) brake pipe service reduction, this fea-
of this section at the location where it ture shall be cut out during the leak-
is added to a train unless: age test; and
(1) The solid block of cars is com- (D) With the brake valve lapped and
prised of cars from a single previous the pressure maintaining feature cut
train, the cars of which have pre- out (if so equipped) and after waiting
viously received a Class I brake test 45–60 seconds, note the brake pipe leak-
and have remained continuously and age as indicated by the brake-pipe
consecutively coupled together with gauge in the locomotive, which shall
the train line remaining connected, not exceed 5 psi per minute.
other than for removing defective (ii) Air Flow Method Test. When a lo-
equipment, since being removed from comotive is equipped with a 26-L brake
its previous train and have not been off valve or equivalent pressure maintain-
air for more than four hours; or ing locomotive brake valve, a railroad
(2) The solid block of cars is com- may use the Air Flow Method Test as
prised of cars from a single previous an alternate to the brake pipe leakage
train, the cars of which were required test. The Air Flow Method (AFM) Test
to be separated into multiple solid shall be performed as follows:
blocks of cars due to space or trackage (A) Charge the air brake system to
constraints at a particular location the pressure at which the train will be
when removed from the previous train, operated, and the pressure at the rear
provided the cars have previously re- of the train shall be within 15 psi of the
ceived a Class I brake test, have not pressure at which the train will be op-
been off air more than four hours, and erated, but not less than 75 psi, as indi-
the cars in each of the multiple blocks cated by an accurate gauge or end-of-
of cars have remained continuously train device at the rear end of train;
and consecutively coupled together and
with the train line remaining con- (B) Measure air flow as indicated by
nected, except for the removal of defec- a calibrated AFM indicator, which
tive equipment. Furthermore, these shall not exceed 60 cubic feet per
multiple solid blocks of cars shall be minute (CFM).
added to a train in the same relative (iii) The AFM indicator shall be cali-
order (no reclassification) as when re- brated for accuracy at periodic inter-
moved from the previous train, except vals not to exceed 92 days. The AFM in-
for the removal of defective equipment. dicator calibration test orifices shall
(c) A Class I brake test of a train be calibrated at temperatures of not
shall consist of the following tasks and less than 20 degrees Fahrenheit. AFM
requirements: indicators shall be accurate to within
(1) Brake pipe leakage shall not ex- ±3 standard cubic feet per minute
ceed 5 psi per minute or air flow shall (CFM).

not exceed 60 cubic feet per minute (2) The inspector(s) shall take a posi-
(CFM). tion on each side of each car sometime
613
§ 232.205 49 CFR Ch. II (10–1–10 Edition)
during the inspection process so as to If piston travel is found to be less than

be able to examine and observe the 6 inches or more than 9 inches, it must
functioning of all moving parts of the be adjusted to nominally 71⁄2 inches.
brake system on each car in order to For cars not equipped with 81⁄2-inch or
make the determinations and inspec- 10-inch diameter brake cylinders, pis-
tions required by this section. A ‘‘roll- ton travel shall be within the piston
by’’ inspection of the brake release as travel stenciled or marked on the car
provided for in paragraph (b)(8) of this or badge plate. Minimum brake cyl-
section shall not constitute an inspec- inder piston travel of truck-mounted
tion of that side of the train for pur- brake cylinders must be sufficient to
poses of this requirement; provide proper brake shoe clearance
(3) The train brake system shall be when the brakes are released. Piston
charged to the pressure at which the travel must be inspected on each
train will be operated, and the pressure freight car while the brakes are ap-
at the rear of the train shall be within plied;
15 psi of the pressure at which the train (6) Brake rigging shall be properly se-
will be operated, but not less than 75 cured and shall not bind or foul or oth-
psi, angle cocks and cutout cocks shall erwise adversely affect the operation of
be properly positioned, air hoses shall the brake system;
be properly coupled and shall not kink, (7) All parts of the brake equipment
bind, or foul or be in any other condi- shall be properly secured. On cars
tion that restricts air flow. An exam- where the bottom rod passes through
ination must be made for leaks and the truck bolster or is secured with
necessary repairs made to reduce leak- cotter keys equipped with a locking de-
age to the required minimum. Retain- vice to prevent their accidental re-
ing valves and retaining valve pipes moval, bottom rod safety supports are
shall be inspected and known to be in not required; and
proper condition for service;
(8) When the release is initiated by
(4) The brakes on each car shall apply
the controlling locomotive or yard test
in response to a 20-psi brake pipe serv-
device, the brakes on each freight car
ice reduction and shall remain applied
until a release of the air brakes has shall be inspected to verify that it did
been initiated by the controlling loco- release; this may be performed by a
motive or yard test device. The brakes ‘‘roll-by’’ inspection. If a ‘‘roll-by’’ in-
shall not be applied or released until spection of the brake release is per-
the proper signal is given. A car found formed, train speed shall not exceed 10
with brakes that fail to apply or re- MPH and the qualified person per-
main applied may be retested and re- forming the ‘‘roll-by’’ inspection shall
main in the train if the retest is con- communicate the results of the inspec-
ducted at an air pressure that is within tion to the operator of the train. The
15 psi of the air pressure at which the operator of the train shall note suc-
train will be operated. The retest may cessful completion of the release por-
be conducted from either the control- tion of the inspection on the record re-
ling locomotive, the head-end of the quired in paragraph (d) of this section.
consist, or with a suitable test device, (d) Where a railroad’s collective bar-
as described in § 232.217(a), positioned gaining agreement provides that a car-
at one end of the car(s) being retested, man is to perform the inspections and
and the brakes shall remain applied tests required by this section, a car-
until a release is initiated after a pe- man alone will be considered a quali-
riod which is no less than three min- fied person. In these circumstances, the
utes. If the retest is performed at the railroad shall ensure that the carman
car(s) being retested with a suitable de- is properly trained and designated as a
vice, the compressed air in the car(s) qualified person or qualified mechan-
shall be depleted prior to disconnecting ical inspector pursuant to the require-
the hoses between the car(s) to perform ments of this part.
the retest; (e) A railroad shall notify the loco-
(5) For cars equipped with 81⁄2-inch or motive engineer that the Class I brake
10-inch diameter brake cylinders, pis- test was satisfactorily performed and
ton travel shall be within 6 to 9 inches. provide the information required in
614
this paragraph to the locomotive engi- on each car in order to make the deter-
neer or place the information in the minations and inspections required by
cab of the controlling locomotive fol- this section;
lowing the test. The information re- (3) The air brake system shall be
quired by this paragraph may be pro- charged to the pressure at which the
vided to the locomotive engineer by train will be operated, and the pressure
any means determined appropriate by at the rear of the train shall be within
the railroad; however, a written or 15 psi of the pressure at which the train
electronic record of the information will be operated, but not less than 75
shall be retained in the cab of the con- psi, as indicated by an accurate gauge
trolling locomotive until the train or end-of-train device at rear end of
reaches its destination. The written or train;
electronic record shall contain the (4) The brakes on each car shall apply
date, time, number of freight cars in- in response to a 20-psi brake pipe serv-
spected, and identify the qualified per- ice reduction and shall remain applied
son(s) performing the test and the loca- until the release is initiated by the
tion where the Class I brake test was controlling locomotive. A car found
performed. with brakes that fail to apply or re-
(f) Before adjusting piston travel or main applied may be retested and re-
working on brake rigging, cutout cock
main in the train if the retest is con-
in brake pipe branch must be closed
ducted as prescribed in § 232.205(c)(4);
and air reservoirs must be voided of all
otherwise, the defective equipment
compressed air. When cutout cocks are
may only be moved pursuant to the
provided in brake cylinder pipes, these
provisions contained in § 232.15, if appli-
cutout cocks only may be closed and
cable;
air reservoirs need not be voided of all
compressed air. (5) Brake rigging shall be properly se-
cured and shall not bind or foul or oth-
[66 FR 4193, Jan. 17, 2001, as amended at 67 erwise adversely affect the operation of
FR 17582, Apr. 10, 2002; 73 FR 61553, Oct. 16, the brake system; and
2008]
(6) All parts of the brake equipment
§ 232.207 Class IA brake tests—1,000- shall be properly secured.
mile inspection. (c) A railroad shall designate the lo-
(a) Except as provided in § 232.213, cations where Class IA brake tests will
each train shall receive a Class IA be performed, and the railroad shall
brake test performed by a qualified furnish to the Federal Railroad Admin-
person, as defined in § 232.5, at a loca- istration upon request a description of
tion that is not more than 1,000 miles each location designated. A railroad
from the point where any car in the shall notify FRA’s Associate Adminis-
train last received a Class I or Class IA trator for Safety in writing 30 days
brake test. The most restrictive car or prior to any change in the locations
block of cars in the train shall deter- designated for such tests and inspec-
mine the location of this test. tions.
(b) A Class IA brake test of a train (1) Failure to perform a Class IA
shall consist of the following tasks and brake test on a train at a location des-
requirements: ignated pursuant to this paragraph
(1) Brake pipe leakage shall not ex- constitutes a failure to perform a prop-
ceed 5 psi per minute, or air flow shall er Class IA brake test if the train is
not exceed 60 cubic feet per minute due for such a test at that location.
(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
615
§ 232.209 49 CFR Ch. II (10–1–10 Edition)
performing Class IA brake tests, pro- (b) A Class II brake test shall consist
vided that the railroad notifies FRA’s of the following tasks and require-
Associate Administrator for Safety and ments:
the pertinent FRA Regional Adminis- (1) Brake pipe leakage shall not ex-
trator within 24 hours after the des- ceed 5 psi per minute, or air flow shall
ignation has been changed and the rea- not exceed 60 cubic feet per minute
son for that change. (CFM). The brake pipe leakage test or
air flow method test shall be conducted
FR 17582, Apr. 10, 2002] on the entire train pursuant to the re-
quirements contained in § 232.205(c)(1);
§ 232.209 Class II brake tests—inter- (2) The air brake system shall be
mediate inspection. charged to the pressure at which the
(a) At a location other than the ini- train will be operated, and the pressure
tial terminal of a train, a Class II at the rear of the train shall be within
brake test shall be performed by a 15 psi of the pressure at which the train
qualified person, as defined in § 232.5, on will be operated, but not less than 75
the following equipment when added to psi, as indicated by an accurate gauge
a train: or end-of-train device at the rear end of
(1) Each car or solid block of cars, as train;
defined in § 232.5, that has not pre- (3) The brakes on each car added to
viously received a Class I brake test or the train and on the rear car of the
that has been off air for more than four train shall be inspected to ensure that
hours; they apply in response to a 20-psi brake
(2) Each solid block of cars, as de- pipe service reduction and remain ap-
fined in § 232.5, that is comprised of plied until the release is initiated from
cars from more than one previous the controlling locomotive. A car found
train; and with brakes that fail to apply or re-
(3) Except as provided in paragraph main applied may be retested and re-
(a)(4) of this section, each solid block main in the train if the retest is con-
of cars that is comprised of cars from ducted as prescribed in § 232.205(c)(4);
only one previous train, the cars of otherwise, the defective equipment
which have not remained continuously may only be moved pursuant to the
and consecutively coupled together provisions of § 232.15, if applicable;
with the train line remaining con- (4) When the release is initiated, the
nected since being removed from the brakes on each car added to the train
previous train. A solid block of cars is and on the rear car of the train shall be
considered to have remained continu- inspected to verify that they did re-
ously and consecutively coupled to- lease; this may be performed by a
gether with the train line remaining ‘‘roll-by’’ inspection. If a ‘‘roll-by’’ in-
connected since being removed from spection of the brake release is per-
the previous train if it has been formed, train speed shall not exceed 10
changed only by removing defective MPH, and the qualified person per-
equipment. forming the ‘‘roll-by’’ inspection shall
(4) Each solid block of cars that is communicate the results of the inspec-
comprised of cars from a single pre- tion to the operator of the train; and
vious train, the cars of which were re- (5) Before the train proceeds the op-
quired to be separated into multiple erator of the train shall know that the
solid blocks of cars due to space or brake pipe pressure at the rear of the
trackage constraints at a particular lo- train is being restored.
cation when removed from the previous (c) As an alternative to the rear car
train, if they are not added in the same brake application and release portion
relative order as when removed from of the test, the operator of the train
the previous train or if the cars in each shall determine that brake pipe pres-
of the multiple blocks of cars have not sure of the train is being reduced, as
remained continuously and consecu- indicated by a rear car gauge or end-of-
tively coupled together with the train train telemetry device, and then that
line remaining connected, except for the brake pipe pressure of the train is
the removal of defective equipment. being restored, as indicated by a rear
616
car gauge or end-of-train telemetry de- (4) At a point other than the initial
vice. (When an end-of-train telemetry terminal for the train, where a solid
device is used to comply with any test block of cars that is comprised of cars
requirement in this part, the phrase from a single previous train is added to
‘‘brake pipe pressure of the train is a train, provided that the solid block of
being reduced’’ means a pressure reduc- cars was required to be separated into
tion of at least 5 psi, and the phrase multiple solid blocks of cars due to
‘‘brake pipe pressure of the train is space or trackage constraints at a par-
being restored’’ means a pressure in- ticular location when removed from
crease of at least 5 psi). If an electronic the previous train, and the cars have
communication link between a control- previously received a Class I brake
ling locomotive and a remotely con- test, have not been off air more than
trolled locomotive attached to the rear four hours, and the cars in each of the
end of a train is utilized to determine multiple blocks of cars have remained
that brake pipe pressure is being re- continuously and consecutively cou-
stored, the operator of the train shall pled together with the train line re-
know that the air brakes function as maining connected, except for the re-
intended on the remotely controlled lo- moval of defective equipment. Further-
comotive. more, these multiple solid blocks of
(d) Each car or solid block of cars cars must be added to the train in the
that receives a Class II brake test pur- same relative order (no reclassifica-
suant to this section when added to the tion) as when removed from the pre-
train shall receive a Class I brake test vious train, except for the removal of
at the next forward location where fa- defective equipment; or
cilities are available for performing (5) At a point other than the initial
such a test. terminal for the train, where a car or a
solid block of cars that has received a
[66 FR 4193, Jan. 17, 2001, as amended at 67 Class I or Class II brake test at that lo-
FR 17583, Apr. 10, 2002]
cation, prior to being added to the
§ 232.211 Class III brake tests-trainline train, and that has not been off air for
continuity inspection. more than four hours is added to a
train.
(a) A Class III brake test shall be per- (b) A Class III brake test shall con-
formed on a train by a qualified person, sist of the following tasks and require-
as defined in § 232.5, to test the train ments:
brake system when the configuration (1) The train brake system shall be
of the train has changed in certain charged to the pressure at which the
ways. In particular, a Class III brake train will be operated, and the pressure
test shall be performed at the location at the rear of the train shall not be less
where any of the following changes in than 60 psi, as indicated at the rear of
the configuration of the train occur: the train by an accurate gauge or end-
(1) Where a locomotive or a caboose of-train device;
is changed; (2) The brakes on the rear car of the
(2) Where a car or a block of cars is train shall apply in response to a 20-psi
removed from the train with the con- brake pipe service reduction and shall
sist otherwise remaining intact; remain applied until the release is ini-
(3) At a point other than the initial tiated by the controlling locomotive;
terminal for the train, where a car or a (3) When the release is initiated, the
solid block of cars that is comprised of brakes on the rear car of the train
cars from only one previous train the shall be inspected to verify that it did
cars of which have remained continu- release; and
ously and consecutively coupled to- (4) Before proceeding the operator of
gether with the trainline remaining the train shall know that the brake
connected, other than for removing de- pipe pressure at the rear of freight
fective equipment, since being removed train is being restored.
from its previous train that has pre- (c) As an alternative to the rear car
viously received a Class I brake test brake application and release portion
and that has not been off air for more of the test, it shall be determined that
than four hours is added to a train; the brake pipe pressure of the train is
617
§ 232.213 49 CFR Ch. II (10–1–10 Edition)
being reduced, as indicated by a rear (2) A Class I brake test pursuant to

car gauge or end-of-train telemetry de- § 232.205 shall be performed at the ini-
vice, and then that the brake pipe pres- tial terminal for the train by a quali-
sure of the train is being restored, as fied mechanical inspector as defined in
indicated by a rear car gauge or end-of- § 232.5.
train telemetry device. If an electronic (3) A freight car inspection pursuant
or radio communication link between a to part 215 of this chapter shall be per-
controlling locomotive and a remotely formed at the initial terminal for the
controlled locomotive attached to the train and shall be performed by an in-
rear end of a train is utilized to deter- spector designated under § 215.11 of this
mine that brake pipe pressure is being chapter.
restored, the operator of the train shall (4) All cars having conditions not in
know that the air brakes function as compliance with part 215 of this chap-
intended on the remotely controlled lo- ter at the initial terminal for the train
comotive. shall be either repaired or removed
(d) Whenever the continuity of the from the train. Except for a car devel-
brake pipe is broken or interrupted oping such a condition en route, no car
with the train consist otherwise re- shall be moved pursuant to the provi-
maining unchanged, it must be deter- sions of § 215.9 of this chapter in the
mined that the brake pipe pressure of train.
the train is being restored as indicated (5) The train shall have no more than
by a rear car gauge or end-of-train de- one pick-up and one set-out en route,
vice prior to proceeding. In the absence except for the set-out of defective
of an accurate rear car gauge or end-of- equipment pursuant to the require-
train telemetry device, it must be de- ments of this chapter.
termined that the brakes on the rear (i) Cars added to the train en route
car of the train apply and release in re- shall be inspected pursuant to the re-
sponse to air pressure changes made in quirements contained in paragraphs
the controlling locomotive. (a)(2) through (a)(5) of this section at
the location where they are added to
the train.
FR 17583, Apr. 10, 2002]
(ii) Cars set out of the train en route
§ 232.213 Extended haul trains. shall be inspected pursuant to the re-
quirements contained in paragraph
(a) A railroad may be permitted to (a)(6) of this section at the location
move a train up to, but not exceeding, where they are set out of the train.
1,500 miles between brake tests and in- (6) In order for an extended haul
spections if the railroad designates a train to proceed beyond 1,500 miles, the
train as an extended haul train. In following requirements shall be met:
order for a railroad to designate a train (i) If the train will move 1,000 miles
as an extended haul train, all of the or less from that location before re-
following requirements must be met: ceiving a Class IA brake test or reach-
(1) The railroad must designate the ing destination, a Class I brake test
train in writing to FRA’s Associate Ad- shall be conducted pursuant to § 232.205
ministrator for Safety. This designa- to ensure 100 percent effective and op-
tion must include the following: erative brakes. The inbound inspection
(i) The train identification symbol or required by paragraph (a)(6) of this sec-
identification of the location where ex- tion may be used to meet this require-
tended haul trains will originate and a ment provided it encompasses all the
description of the trains that will be inspection elements contained in
operated as extended haul trains from § 232.205.
those locations; (ii) If the train will move greater
(ii) The origination and destination than 1,000 miles from that location
points for the train; without another brake inspection, the
(iii) The type or types of equipment train must be identified as an extended
the train will haul; and haul train for that movement and shall
(iv) The locations where all train meet all the requirements contained in
brake and mechanical inspections and paragraphs (a)(1) through (a)(7) of this
tests will be performed. section. Such trains shall receive a
618
Class I brake test pursuant to § 232.205 retested and remain in the train if the
by a qualified mechanical inspector to retest is conducted as prescribed in
ensure 100 percent effective and opera- § 232.205(c)(4); otherwise, the defective
tive brakes, a freight car inspection equipment may be moved only pursu-
pursuant to part 215 of this chapter by ant to the provisions contained in
an inspector designated under § 215.11 of § 232.15, if applicable;
this chapter, and all cars containing (b) Cars added to transfer trains en
non-complying conditions under part route shall be inspected pursuant to
215 of this chapter shall either be re- the requirements contained in para-
paired or removed from the train. The graph (a) of this section at the location
inbound inspection required by para- where the cars are added to the train.
graph (a)(6) of this section may be used (c) If a train’s movement will exceed
to meet these inspection requirements 20 miles or is not a transfer train as de-
provided it encompasses all the inspec- fined in § 232.5, the train shall receive a
tion elements contained paragraphs Class I brake test in accordance with
(a)(2) through (a)(4) of this section. § 232.205 prior to departure.
(7) FRA inspectors shall have phys-
ical access to visually observe all [66 FR 4193, Jan. 17, 2001, as amended at 67
brake and freight car inspections and FR 17583, Apr. 10, 2002]
tests required by this section.
(b) Failure to comply with any of the § 232.217 Train brake tests conducted
using yard air.
requirements contained in paragraph
(a) of this section will be considered an (a) When a train air brake system is
improper movement of a designated tested from a yard air source, an engi-
priority train for which appropriate neer’s brake valve or a suitable test de-
civil penalties may be assessed as out- vice shall be used to provide any in-
lined in appendix A to this part. Fur- crease or reduction of brake pipe air
thermore, FRA’s Associate Adminis- pressure at the same, or slower, rate as
trator for Safety may revoke a rail- an engineer’s brake valve.
road’s ability to designate any or all (b) The yard air test device must be
trains as extended haul trains for re- connected to the end of the train or
peated or willful noncompliance with block of cars that will be nearest to the
any of the requirements contained in controlling locomotive. However, if the
this section. Such a determination will railroad adopts and complies with writ-
be made in writing and will state the ten procedures to ensure that potential
basis for such action. overcharge conditions to the train
brake system are avoided, the yard air
FR 17583, Apr. 10, 2002; 73 FR 61553, Oct. 16, test device may be connected to other
2008] than the end nearest to the controlling
locomotive.
§ 232.215 Transfer train brake tests. (c) Except as provided in this section,
(a) A transfer train, as defined in when yard air is used the train air
§ 232.5, shall receive a brake test per- brake system must be charged and
formed by a qualified person, as defined tested as prescribed by § 232.205(c) and
in § 232.5, that includes the following: when practicable should be kept
(1) The air brake hoses shall be cou- charged until road motive power is
pled between all freight cars; coupled to train, after which, a Class
(2) After the brake system is charged III brake test shall be performed as
to not less than 60 psi as indicated by prescribed by § 232.211.
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.
619
§ 232.219 49 CFR Ch. II (10–1–10 Edition)
(3) If the air pressure of the yard test comotive that can be operated from the
device is less than 80 psi, then a brake engineer’s usual position during oper-
pipe leakage or air flow test shall be ation of the locomotive. Alternatively,
conducted at the operating pressure of the helper locomotive or the device
the train when the locomotives are at- shall be equipped with a means to auto-
tached in accordance with matically reset the device, provided
§ 232.205(c)(1). that the automatic reset occurs within
(d) Mechanical yard air test devices the period time permitted for manual
and gauges shall be calibrated every 92 reset of the device; and
days. Electronic yard test devices and
(3) The device shall be tested for ac-
gauges shall be calibrated annually.
curacy and calibrated if necessary ac-
Mechanical and electronic yard air test
devices and gauges shall be calibrated cording to the manufacturer’s speci-
so that they are accurate to within ±3 fications and procedures every 365
psi. days. This shall include testing radio
(e) If used to test a train, a yard air frequencies and modulation of the de-
test device and any yard air test equip- vice. A legible record of the date and
ment shall be accurate and function as location of the last test or calibration
intended. shall be maintained with the device.
[66 FR 4193, Jan. 17, 2001, as amended at 67 [66 FR 4193, Jan. 17, 2001, as amended at 67
FR 17583, Apr. 10, 2002] FR 17584, Apr. 10, 2002]
§ 232.219 Double heading and helper

service. Subpart D—Periodic Maintenance
and Testing Requirements
(a) When more than one locomotive
is attached to a train, the engineer of § 232.301 Scope.
the controlling locomotive shall oper-
ate the brakes. In case it becomes nec- This subpart contains the periodic
essary for the controlling locomotive brake system maintenance and testing
to give up control of the train short of requirements for equipment used in
the destination of the train, a Class III freight and other non-passenger trains.
brake test pursuant to § 232.211 shall be
made to ensure that the brakes are op- § 232.303 General requirements.
erative from the automatic brake valve (a) Definitions. The following defini-
of the locomotive taking control of the tions are intended solely for the pur-
train. pose of identifying what constitutes a
(b) When one or more helper loco- shop or repair track under this subpart.
motives are placed in a train, a visual (1) Shop or repair track means:
inspection shall be made of each helper (i) A fixed repair facility or track
locomotive brake system to determine designated by the railroad as a shop or
that the brake system operates as in- repair track;
tended in response to a 20-psi reduction
(ii) A fixed repair facility or track
initiated from the controlling loco-
which is regularly and consistently
motive of the train. A helper loco-
used to perform major repairs;
motive with inoperative or ineffective
brakes shall be repaired prior to use or (iii) Track which is used at a location
removed from the train. to regularly and consistently perform
(c) If a helper locomotive utilizes a both minor and major repairs where
Helper Link device or a similar tech- the railroad has not designated a cer-
nology, the locomotive and device shall tain portion of that trackage as a re-
be equipped, designed, and maintained pair track;
as follows: (iv) A track designated by a railroad
(1) The locomotive engineer shall be as a track where minor repairs will be
notified by a distinctive alarm of any conducted or used by a railroad to reg-
loss of communication between the de- ularly and consistently perform minor
vice and the two-way end-of-train de- repairs during the period when the
vice of more than 25 seconds; track is used to conduct major repairs;

(2) A method to reset the device shall however, such trackage is considered a
be provided in the cab of the helper lo- shop or repair track only for each car
620
receiving major repairs on such track- (5) Brake indicators, on cars so

age and not for a car receiving only equipped, are accurate and operate as
minor repairs; and intended.
(v) The facilities and tracks identi- (e) If the single car air brake test re-
fied in paragraphs (a)(1)(i) through quired by § 232.305 cannot be conducted
(a)(1)(iv) shall be considered shop or re- at the point where repairs can be made
pair tracks regardless of whether a mo- to the car, the car may be moved after
bile repair vehicle is used to conduct the repairs are made to the next for-
the repairs. ward location where the test can be
(2) Major repair means a repair that performed. Inability to perform a sin-
normally would require greater than gle car air brake test does not con-
four person-hours to accomplish or stitute an inability to make the nec-
would involve the use of specialized essary repairs.
tools and equipment. Major repairs in- (1) If it is necessary to move a car
clude such activities as coupler re- from the location where the repairs are
placement, draft gear repair, and re- performed in order to perform a single
pairs requiring the use of an air jack car air brake test required by this part,
but exclude changing wheels on inter- a tag or card shall be placed on both
modal loading ramps either with or sides of the equipment, or an auto-
without an air jack. mated tracking system approved for
(3) Minor repair means repairs, other use by FRA, shall contain the fol-
than major repairs, that can be accom- lowing information about the equip-
plished in a short period of time with ment:
limited tools and equipment. Minor re- (i) The reporting mark and car num-
pairs would include such things as safe- ber;
ty appliance straightening, handhold (ii) The name of the inspecting rail-
replacement, air hose replacement, lad- road;
ing adjustment, and coupler knuckle or (iii) The location where repairs were
knuckle pin replacement. performed and date;
(b) A car on a shop or repair track (iv) Indication whether the car re-
shall be tested to determine that the quires a single car air brake test;
air brakes apply and remain applied (v) The location where the appro-
until a release is initiated. priate test is to be performed; and
(c) A car on a shop or repair track (vi) The name, signature, if possible,
shall have its piston travel inspected. and job title of the qualified person ap-
For cars equipped with 81⁄2-inch or 10- proving the move.
inch diameter brake cylinders, piston (2) The tag or card required by para-
travel shall be within 6 to 9 inches. If graph (e)(1) of this section shall remain
piston travel is found to be less than 6 affixed to the equipment until the nec-
inches or more than 9 inches, it must essary test has been performed.
be adjusted to nominally 71⁄2 inches. (3) An electronic or written record or
For cars not equipped with 81⁄2-inch or copy of each tag or card attached to or
10-inch diameter brake cylinders, pis- removed from a car or locomotive shall
ton travel shall be within the piston be retained for 90 days and, upon re-
travel stenciled or marked on the car quest, shall be made available within 15
or badge plate. calendar days for inspection by FRA or
(d) Before a car is released from a State inspectors.
shop or repair track, a qualified person (4) The record or copy of each tag or
shall ensure: card removed from a car or locomotive
(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
621
§ 232.305 49 CFR Ch. II (10–1–10 Edition)
industry may use an electronic or chives and Records Administration

automated tracking system to track (NARA). For information on the avail-
the required information and the per- ability of this material at NARA, call
formance of the test required by 202–741–6030, or go to: http://
§ 232.305. www.archives.gov/federallregister/
(1) Electronic or automated tracking codeloflfederallregulations/
systems used to meet the requirement ibrllocations.html.
contained in this paragraph shall be ca- (b) Except as provided in § 232.303(e), a
pable of being reviewed and monitored railroad shall perform a single car air
by FRA at any time to ensure the in- brake test on a car when:
tegrity of the system. FRA’s Associate (1) A car has its brakes cut-out or in-
Administrator for Safety may prohibit operative when removed from a train
or revoke the railroad industry’s au- or when placed on a shop or repair
thority to utilize an electronic or auto- track, as defined in § 232.303(a);
mated tracking system in lieu of sten- (2) A car is on a shop or repair track,
ciling or marking if FRA finds that the as defined in § 232.303(a), for any reason
electronic or automated tracking sys- and has not received a single car air
tem is not properly secure, is inacces- brake test within the previous 12-
sible to FRA or railroad employees, or month period;
fails to adequately track and monitor (3) A car is found with missing or in-
the equipment. FRA will record such a complete single car air brake test in-
determination in writing, include a formation;
statement of the basis for such action, (4) One or more of the following con-
and will provide a copy of the docu- ventional air brake equipment items is
ment to the affected railroads. removed, repaired, or replaced:
(2) [Reserved] (i) Brake reservoir;
[66 FR 4193, Jan. 17, 2001, as amended at 66 (ii) Control valve mounting gasket;
FR 39687, Aug. 1, 2001; 67 FR 17584, Apr. 10, (iii) Pipe bracket stud;
2002; 73 FR 61553, Oct. 16, 2008] (iv) Service portion;
(v) Emergency portion; or
§ 232.305 Single car air brake tests. (vi) Pipe bracket.
(a) Single car air brake tests shall be (5) A car is found with one or more of
performed by a qualified person in ac- the following wheel defects:
cordance with either Section 3.0, (i) Built-up tread, unless known to be
‘‘Tests-Standard Freight Brake Equip- caused by hand brake left applied;
ment,’’ and Section 4.0, ‘‘Special (ii) Slid flat wheel, unless known to
Tests,’’ of the Association of American be caused by hand brake left applied; or
Railroads Standard S–486–04, ‘‘Code of (iii) Thermal cracks.
Air Brake System Tests for Freight (c) Except as provided in paragraph
Equipment,’’ contained in the AAR (d) of this section, each car shall re-
Manual of Standards and Recommended ceive a single car air brake test no less
Practices, Section E (January 1, 2004); an than every 5 years.
alternative procedure approved by FRA (d) Each car shall receive a single car
pursuant to § 232.17; or a modified pro- air brake test no less than 8 years from
cedure approved in accordance with the the date the car was built or rebuilt.
provisions contained in § 232.307. The (e) A single car air brake test shall be
incorporation by reference of these two performed on each new or rebuilt car
sections of this AAR standard was ap- prior to placing or using the car in rev-
proved by the Director of the Federal enue service.
Register in accordance with 5 U.S.C. [66 FR 39688, Aug. 1, 2001, as amended at 73
552(a) and 1 CFR part 51. You may ob- FR 61553, Oct. 16, 2008; 74 FR 25174, May 27,
tain a copy of the incorporated docu- 2009]
ment from the Association of American
Railroads, 50 F Street, NW., Wash- § 232.307 Modification of the single car
ington, DC 20001. You may inspect a air brake test procedures.
copy of the document at the Federal (a) Request. The AAR or other author-
Railroad Administration, Docket ized representative of the railroad in-

Clerk, 1200 New Jersey Avenue, SE., dustry may seek modification of the
Washington, DC or at the National Ar- single car air brake test procedures
622
prescribed in § 232.305(a). The request (i) If FRA finds that the request com-
for modification shall be submitted to plies with the requirements of this sec-
the Associate Administrator for Safe- tion and that the proposed modifica-
ty, Federal Railroad Administration, tion is acceptable and justified, the re-
1200 New Jersey Avenue, SE., Wash- quest will be granted, normally within
ington, DC 20590 and shall contain: 90 days of its receipt. If the request for
(1) The name, title, address, and tele- modification is neither granted nor de-
phone number of the primary person to nied within 90 days, the request re-
be contacted with regard to review of mains pending for decision. FRA may
the modification; attach special conditions to the ap-
(2) The modification, in detail, to be proval of any request for modification.
substituted for a particular procedure Following the approval of a request for
prescribed in § 232.305(a); modification, FRA may reopen consid-
(3) Appropriate data or analysis, or eration of the request for cause.
both, for FRA to consider in deter- (ii) If FRA finds that the request does
mining whether the modification will not comply with the requirements of
provide at least an equivalent level of this section and that the proposed
safety; and modification is not acceptable or justi-
fied, the requested modification will be
(4) A statement affirming that the
denied, normally within 90 days of its
railroad industry has served a copy of
receipt.
the request on the designated rep-
(iii) When FRA grants or denies a re-
resentatives of the employees respon-
quest for modification, or reopens con-
sible for the equipment’s operation, in-
sideration of the request, written no-
spection, testing, and maintenance
tice is sent to the requesting party and
under this part, together with a list of
other interested parties.
the names and addresses of the persons
served. [66 FR 39688, Aug. 1, 2001, as amended at 74
(b) Federal Register document. Upon FR 25174, May 27, 2009]
receipt of a request for modification,
FRA will publish a document in the § 232.309 Equipment and devices used
to perform single car air brake
FEDERAL REGISTER containing the re- tests.
quested modification. The document
will permit interested parties 60 days (a) Equipment and devices used to
to comment on any requested modi- perform single car air brake tests shall
fication. be tested for correct operation at least
(c) FRA review. During the 60 days once each calendar day of use.
provided for public comment, FRA will (b) Except for single car test devices,
review the petition. If FRA objects to mechanical test devices such as pres-
the requested modification, written no- sure gauges, flow meters, orifices, etc.
tification will be provided, within this shall be calibrated once every 92 days.
60-day period, to the party requesting (c) Electronic test devices shall be
the modification detailing FRA’s ob- calibrated at least once every 365 days.
jection. (d) Test equipment and single car
(d) Disposition. (1) If no comment ob- test devices placed in service shall be
jecting to the requested modification is tagged or labeled with the date its next
received during the 60-day comment calibration is due.
period, provided by paragraph (b) of (e) Each single car test device shall
this section, or if FRA does not issue a be tested not less frequently than
written objection to the requested every 92 days after being placed in
modification, the modification will be- service and may not continue in serv-
come effective 15 days after the close of ice if more than one year has passed
the 60-day comment period. since its last 92-day test.
(2) If an objection is raised by an in- (f) Each single car test device shall
terested party, during the 60-day com- be disassembled and cleaned not less
ment period, or if FRA issues a written frequently than every 365 days after
being placed in service.
objection to the requested modifica-

tion, the requested modification will be [66 FR 4193, Jan. 17, 2001, as amended at 66
handled as follows: FR 39689, Aug. 1, 2001]
623
§ 232.401 49 CFR Ch. II (10–1–10 Edition)
Subpart E—End-of-Train Devices formance requirements of paragraphs

(b) and (c) of this section under the fol-
§ 232.401 Scope. lowing environmental conditions:
This subpart contains the require- (1) At temperatures from ¥40 °C to 60
ments related to the performance, op- °C;
eration, and testing of end-of-train de- (2) At a relative humidity of 95% non-
vices. Unless expressly excepted in this condensing at 50 °C;
subpart, the requirements of this sub- (3) At altitudes of zero to 12,000 feet
part apply to all trains operating on mean sea level;
track which is part of the general rail- (4) During vertical and lateral vibra-
road system of transportation. tions of 1 to 15 Hz., with 0.5 g. peak to
peak, and 15 to 500 Hz., with 5 g. peak
§ 232.403 Design standards for one-way to peak;
end-of-train devices. (5) During the longitudinal vibrations
(a) General. A one-way end-of-train of 1 to 15 Hz., with 3 g. peak to peak,
device shall be comprised of a rear-of- and 15 to 500 Hz., with 5 g. peak to
train unit (rear unit) located on the peak; and
last car of a train and a front-of-train (6) During a shock of 10 g. peak for 0.1
unit (front unit) located in the cab of second in any axis.
the locomotive controlling the train. (e) Unique code. Each rear unit shall
(b) Rear unit. The rear unit shall be have a unique and permanent identi-
capable of determining the brake pipe fication code that is transmitted along
pressure on the rear car and transmit- with the pressure message to the front-
ting that information to the front unit of-train unit. A code obtained from the
for display to the locomotive engineer. Association of American Railroads, 50
The rear unit shall be— F Street, NW., Washington, DC 20036
(1) Capable of measuring the brake shall be deemed to be a unique code for
pipe pressure on the rear car with an purposes of this section. A unique code
accuracy of ±3 pounds per square inch also may be obtained from the Office of
(psig) and brake pipe pressure vari- Safety Assurance and Compliance
ations of ±1 psig; (RRS–10), Federal Railroad Adminis-
(2) Equipped with a ‘‘bleeder valve’’ tration, Washington, DC 20590.
that permits the release of any air (f) Front unit. (1) The front unit shall
under pressure from the rear of train be designed to receive data messages
unit or the associated air hoses prior to from the rear unit and shall be capable
detaching the rear unit from the brake of displaying the rear car brake pipe
pipe; pressure in increments not to exceed
(3) Designed so that an internal fail- one pound.
ure will not cause an undesired emer- (2) The display shall be clearly visi-
gency brake application; ble and legible in daylight and dark-
(4) Equipped with either an air gauge ness from the engineer’s normal oper-
or a means of visually displaying the ating position.
rear unit’s brake pipe pressure meas- (3) The front device shall have a
urement; and means for entry of the unique identi-
(5) Equipped with a pressure relief fication code of the rear unit being
safety valve to prevent explosion from used. The front unit shall be designed
a high pressure air leak inside the rear so that it will display a message only
unit. from the rear unit with the same code
(c) Reporting rate. Multiple data as entered into the front unit.
transmissions from the rear unit shall (4) The front unit shall be designed to
occur immediately after a variation in meet the requirements of paragraphs
the rear car brake pipe pressure of ±2 (d)(2), (3), (4), and (5) of this section. It
psig and at intervals of not greater shall also be designed to meet the per-
than 70 seconds when the variation in formance requirements in this para-
the rear car brake pipe pressure over graph under the following environ-
the 70-second interval is less than ±2 mental conditions:
(i) At temperatures from 0 °C to 60 °C;
psig.
(d) Operating environment. The rear (ii) During a vertical or lateral shock
unit shall be designed to meet the per- of 2 g. peak for 0.1 second; and
624
(iii) During a longitudinal shock of 5 ‘‘Emergency’’ and shall be protected so

g. peak for 0.1 second. that there will exist no possibility of
(g) Radio equipment. (1) The radio accidental activation.
transmitter in the rear unit and the (f) All locomotives ordered on or
radio receiver in the front unit shall after August 1, 2001, or placed in serv-
comply with the applicable regulatory ice for the first time on or after August
requirements of the Federal Commu- 1, 2003, shall be designed to automati-
nications Commission (FCC) and use of cally activate the two-way end-of-train
a transmission format acceptable to device to effectuate an emergency
the FCC. brake application whenever it becomes
(2) If power is supplied by one or necessary for the locomotive engineer
more batteries, the operating life shall to place the train air brakes in emer-
be a minimum of 36 hours at 0 °C. gency.
(g) The availability of the front-to-
§ 232.405 Design and performance rear communications link shall be
standards for two-way end-of-train checked automatically at least every
devices. 10 minutes.
Two-way end-of-train devices shall be (h) Means shall be provided to con-
designed and perform with the features firm the availability and proper func-
applicable to one-way end-of-train de- tioning of the emergency valve.
vices described in § 232.403, except those (i) Means shall be provided to arm
included in § 232.403(b)(3). In addition, a the front and rear units to ensure the
two-way end-of-train device shall be rear unit responds to an emergency
designed and perform with the fol- command only from a properly associ-
lowing features: ated front unit.
(a) An emergency brake application
command from the front unit of the de- § 232.407 Operations requiring use of
vice shall activate the emergency air two-way end-of-train devices; prohi-
valve at the rear of the train within bition on purchase of noncon-
one second. forming devices.
(b) The rear unit of the device shall (a) Definitions. The following defini-
send an acknowledgment message to tions are intended solely for the pur-
the front unit immediately upon re- pose of identifying those operations
ceipt of an emergency brake applica- subject to the requirements for the use
tion command. The front unit shall lis- of two-way end-of-train devices.
ten for this acknowledgment and re- (1) Heavy grade means:
peat the brake application command if (i) For a train operating with 4,000
the acknowledgment is not correctly trailing tons or less, a section of track
received. with an average grade of two percent
(c) The rear unit, on receipt of a or greater over a distance of two con-
properly coded command, shall open a tinuous miles; and
valve in the brake line and hold it open (ii) For a train operating with great-
for a minimum of 15 seconds. This er than 4,000 trailing tons, a section of
opening of the valve shall cause the track with an average grade of one per-
brake line to vent to the exterior. cent or greater over a distance of three
(d) The valve opening shall have a continuous miles.
minimum diameter of 3⁄4 inch and the (2) Train means one or more loco-
internal diameter of the hose shall be motives coupled with one or more rail
5⁄8 inch to effect an emergency brake cars, except during switching oper-
application. ations or where the operation is that of
(e) The front unit shall have a manu- classifying cars within a railroad yard
ally operated switch which, when acti- for the purpose of making or breaking
vated, shall initiate an emergency up trains.
brake transmission command to the (3) Local train means a train assigned
rear unit or the locomotive shall be to perform switching en route which
equipped with a manually operated operates with 4,000 trailing tons or less
switch on the engineer control stand and travels between a point of origin
designed to perform the equivalent and a point of final destination, for a
function. The switch shall be labeled distance that is no greater than that
625
§ 232.407 49 CFR Ch. II (10–1–10 Edition)
which can normally be operated by a (5) Trains that do not operate over
single crew in a single tour of duty. heavy grades and do not exceed 30 mph;
(4) Work train means a non-revenue (6) Local trains, as defined in para-
service train of 4,000 trailing tons or graph (a)(3) of this section, that do not
less used for the administration and operate over heavy grades;
upkeep service of the railroad. (7) Work trains, as defined in para-
(5) Trailing tons means the sum of the graph (a)(4) of this section, that do not
gross weights—expressed in tons—of operate over heavy grades;
the cars and the locomotives in a train (8) Trains that operate exclusively on
that are not providing propelling power track that is not part of the general
to the train. railroad system;
(b) General. All trains not specifically (9) Trains that must be divided into
excepted in paragraph (e) of this sec- two sections in order to traverse a
tion shall be equipped with and shall grade (e.g., doubling a hill). This excep-
use either a two-way end-of-train de- tion applies only to the extent nec-
vice meeting the design and perform- essary to traverse the grade and only
ance requirements contained in § 232.405 while the train is divided in two for
or a device using an alternative tech- such purpose;
nology to perform the same function. (10) Passenger trains in which all of
(c) New devices. Each newly manufac- the cars in the train are equipped with
tured end-of-train device purchased by an emergency brake valve readily ac-
a railroad after January 2, 1998 shall be cessible to a crew member;
a two-way end-of-train device meeting (11) Passenger trains that have a car
the design and performance require- at the rear of the train, readily acces-
ments contained in § 232.405 or a device sible to one or more crew members in
using an alternative technology to per- radio contact with the engineer, that is
form the same function. equipped with an emergency brake
(d) Grandfathering. Each two-way valve readily accessible to such a crew
end-of-train device purchased by any member; and
person prior to July 1, 1997 shall be (12) Passenger trains that have twen-
deemed to meet the design and per- ty-four (24) or fewer cars (not including
formance requirements contained in locomotives) in the consist and that
§ 232.405. are equipped and operated in accord-
(e) Exceptions. The following types of ance with the following train-configu-
trains are excepted from the require- ration and operating requirements:
ment for the use of a two-way end-of- (i) If the total number of cars in a
train device: passenger train consist is twelve (12) or
(1) Trains with a locomotive or loco- fewer, a car located no less than half-
motive consist located at the rear of way through the consist (counting
the train that is capable of making an from the first car in the train) must be
emergency brake application, through equipped with an emergency brake
a command effected by telemetry or by valve readily accessible to a crew mem-
a crew member in radio contact with ber;
the controlling locomotive; (ii) If the total number of cars in a
(2) Trains operating in the push mode passenger train consist is thirteen (13)
with the ability to effectuate an emer- to twenty-four (24), a car located no
gency brake application from the rear less than two-thirds (2⁄3) of the way
of the train; through the consist (counting from the
(3) Trains with an operational ca- first car in the train) must be equipped
boose placed at the rear of the train, with an emergency brake valve readily
carrying one or more crew members in accessible to a crew member;
radio contact with the controlling lo- (iii) Prior to descending a section of
comotive, that is equipped with an track with an average grade of two per-
emergency brake valve; cent or greater over a distance of two
(4) Trains operating with a sec- continuous miles, the engineer of the
ondary, fully independent braking sys- train shall communicate with the con-
tem capable of safely stopping the ductor, to ensure that a member of the
train in the event of failure of the pri- crew with a working two-way radio is
mary system; stationed in the car with the rearmost
626
readily accessible emergency brake this paragraph. If a two-way end-of-

valve on the train when the train be- train device or equivalent device fails
gins its descent; and en route (i.e., is unable to initiate an
(iv) While the train is descending a emergency brake application from the
section of track with an average grade rear of the train due to certain losses
of two percent or greater over a dis- of communication (front to rear) or due
tance of two continuous miles, a mem- to other reasons, the speed of the train
ber of the train crew shall occupy the on which it is installed shall be limited
car that contains the rearmost readily to 30 mph until the ability of the de-
accessible emergency brake valve on vice to initiate an emergency brake ap-
the train and be in constant radio com- plication from the rear of the train is
munication with the locomotive engi- restored. This limitation shall apply to
neer. The crew member shall remain in a train using a device that uses an al-
this car until the train has completely ternative technology to serve the pur-
traversed the heavy grade. pose of a two-way end-of-train device.
(f) Specific requirements for use. If a With regard to two-way end-of-train
train is required to use a two-way end- devices, a loss of communication be-
of-train device: tween the front and rear units is an en
(1) That device shall be armed and route failure only if the loss of commu-
operable from the time the train de- nication is for a period greater than 16
parts from the point where the device minutes and 30 seconds. Based on the
is installed until the train reaches its existing design of the devices, the dis-
destination. If a loss of communication play to an engineer of a message that
occurs at the location where the device there is a communication failure indi-
is installed, the train may depart the cates that communication has been
location at restricted speed for a dis- lost for 16 minutes and 30 seconds or
tance of no more than one mile in more.
order to establish communication. (1) If a two-way end-of-train device
When communication is established, fails en route, the train on which it is
the quantitative values of the head and installed, in addition to observing the
rear unit shall be compared pursuant 30-mph speed limitation, shall not op-
to § 232.409(b) and the device tested pur- erate over a section of track with an
suant to § 232.409(c), unless the test was average grade of two percent or greater
performed prior to installation. for a distance of two continuous miles,
(2) The rear unit batteries shall be unless one of the following alternative
sufficiently charged at the initial ter- measures is provided:
minal or other point where the device (i) Use of an occupied helper loco-
is installed and throughout the train’s motive at the end of the train. This al-
trip to ensure that the end-of-train de- ternative may be used only if the fol-
vice will remain operative until the lowing requirements are met:
train reaches its destination. (A) The helper locomotive engineer
(3) The device shall be activated to shall initiate and maintain two-way
effectuate an emergency brake applica- voice radio communication with the
tion either by using the manual toggle engineer on the head end of the train;
switch or through automatic activa- this contact shall be verified just prior
tion, whenever it becomes necessary to passing the crest of the grade.
for the locomotive engineer to initiate (B) If there is a loss of communica-
an emergency application of the air tion prior to passing the crest of the
brakes using either the automatic grade, the helper locomotive engineer
brake valve or the conductor’s emer- and the head-end engineer shall act im-
gency brake valve. mediately to stop the train until voice
(g) En route failure of device on a communication is resumed, in accord-
freight or other non-passenger train. Ex- ance with the railroad’s operating
cept on passenger trains required to be rules.
equipped with a two-way end-of-train (C) If there is a loss of communica-
device (which are provided for in para- tion once the descent has begun, the
graph (h) of this section), en route fail- helper locomotive engineer and the
ures of a two-way end-of-train device head-end engineer shall act to stop the
shall be handled in accordance with train, in accordance with the railroad’s
627
§ 232.409 49 CFR Ch. II (10–1–10 Edition)
operating rules, if the train has (2) Except as provided in paragraph

reached a predetermined rate of speed (h)(1) of this section, a passenger train
that indicates the need for emergency required to be equipped with a two-way
braking. end-of-train device that develops an en
(D) The brake pipe of the helper loco- route failure of the device (as explained
motive shall be connected and cut into in paragraph (g) of this section) shall
the train line and tested to ensure op- be operated in accordance with the fol-
eration. lowing:
(ii) Use of an occupied caboose at the (i) A member of the train crew shall
end of the train with a tested, func- be immediately positioned in the car
tioning brake valve capable of initi- which contains the rearmost readily
ating an emergency brake application accessible emergency brake valve on
from the caboose. This alternative may the train and shall be equipped with an
be used only if the train service em- operable two-way radio that commu-
ployee in the caboose and the engineer nicates with the locomotive engineer;
on the head end of the train establish and
and maintain two-way voice radio com-
(ii) The locomotive engineer shall pe-
munication and respond appropriately
riodically make running tests of the
to the loss of such communication in
train’s air brakes until the failure is
the same manner as prescribed for
helper locomotives in paragraph corrected; and
(g)(1)(i) of this section. (3) Each en route failure shall be cor-
(iii) Use of a radio-controlled loco- rected at the next location where the
motive at the rear of the train under necessary repairs can be conducted or
continuous control of the engineer in at the next location where a required
the head end by means of telemetry, brake test is to be performed, which-
but only if such radio-controlled loco- ever is reached first.
motive is capable of initiating an [66 FR 4193, Jan. 17, 2001, as amended at 67
emergency application on command FR 17584, Apr. 10, 2002]
from the lead (controlling) locomotive.
(2) If a two-way end-of-train device § 232.409 Inspection and testing of
fails en route while the train on which end-of-train devices.
it is installed is operating over a sec- (a) After each installation of either
tion of track with an average grade of the front or rear unit of an end-of-train
two percent or greater for a distance of device, or both, on a train and before
two continuous miles, the train shall the train departs, the railroad shall de-
be brought safely to a stop at the first termine that the identification code
available location in accordance with entered into the front unit is identical
the railroad’s operating rule, except
to the unique identification code on
the train may continue in operation if
the rear unit.
the railroad provides one of the alter-
native measures detailed in paragraph (b) After each installation of either
(g)(1) of this section. the front or rear unit of an end-of-train
device, or both, on a train and before
(h) En route failure of device on a pas-
senger train. (1) A passenger train re- the train departs, the functional capa-
quired to be equipped with a two-way bility of the device shall be deter-
end-of-train device that develops an en mined, after charging the train, by
route failure of the device (as explained comparing the quantitative value of
in paragraph (g) of this section) shall the air pressure displayed on the front
not operate over a section of track unit with the quantitative value of the
with an average grade of two percent air pressure displayed on the rear unit
or greater over a distance of two con- or on a properly calibrated air gauge.
tinuous miles until an operable two- The end-of-train device shall not be
way end-of-train device is installed on used if the difference between the two
the train or an alternative method of readings exceeds three pounds per
initiating an emergency brake applica- square inch.

tion from the rear of the train is (c) A two-way end-of-train device
achieved. shall be tested at the initial terminal
628
or other point of installation to deter- tion of a new brake component or ma-

mine that the device is capable of initi- terial.
ating an emergency power brake appli-
cation from the rear of the train. If § 232.503 Process to introduce new
this test is conducted by a person other brake system technology.
than a member of the train crew, the (a) Pursuant to the procedures con-
locomotive engineer shall be notified tained in § 232.17, each railroad shall
that a successful test was performed. obtain special approval from the FRA
The notification required by this para- Associate Administrator for Safety of a
graph may be provided to the loco- pre-revenue service acceptance testing
motive engineer by any means deter- plan, developed pursuant to § 232.505,
mined appropriate by the railroad; for the new brake system technology,
however, a written or electronic record prior to implementing the plan.
of the notification shall be maintained
(b) Each railroad shall complete a
in the cab of the controlling loco-
pre-revenue service demonstration of
motive and shall include the date and
time of the test, the location where the the new brake system technology in
test was performed, and the name of accordance with the approved plan,
the person conducting the test. shall fulfill all of the other require-
(d) The telemetry equipment shall be ments prescribed in § 232.505, and shall
tested for accuracy and calibrated if obtain special approval from the FRA
necessary according to the manufac- Associate Administrator for Safety
turer’s specifications and procedures at under the procedures of § 232.17 prior to
least every 368 days. The 368 days shall using such brake system technology in
not include a shelf-life of up to 92 days revenue service.
prior to placing the unit in service.
This test shall include testing radio § 232.505 Pre-revenue service accept-
ance testing plan.
frequencies and modulation of the de-
vice. The date and location of the last (a) General; submission of plan. Except
calibration or test as well as the name as provided in paragraph (f) of this sec-
of the person performing the calibration, before using a new brake system
tion or test shall be legibly displayed technology for the first time on its sys-
on a weather-resistant sticker or other tem the operating railroad or railroads
marking device affixed to the outside shall submit a pre-revenue service ac-
of both the front unit and the rear ceptance testing plan containing the
unit; however, if the front unit is an in- information required by paragraph (e)
tegral part of the locomotive or is in- of this section and obtain the approval
accessible, then the information may of the FRA Associate Administrator
recorded on Form FRA F6180–49A in- for Safety, under the procedures speci-
stead, provided that the serial number fied in § 232.17.
of the unit is recorded. (b) Compliance with plan. After receiv-
[66 FR 4193, Jan. 17, 2001, as amended at 66 ing FRA approval of the pre-revenue
FR 29502, May 31, 2001; 67 FR 17584, Apr. 10, service testing plan and before intro-
2002] ducing the new brake system tech-
nology into revenue service, the oper-
Subpart F—Introduction of New ating railroad or railroads shall:
Brake System Technology (1) Adopt and comply with such FRA-
approved plan, including fully exe-
§ 232.501 Scope. cuting the tests required by the plan;
This subpart contains general re- (2) Report to the FRA Associate Ad-
quirements for introducing new brake ministrator for Safety the results of
system technologies. This subpart is the pre-revenue service acceptance
intended to facilitate the introduction tests;
of new complete brake system tech- (3) Correct any safety deficiencies
nologies or major upgrades to existing identified by FRA in the design of the
systems which the current regulations equipment or in the inspection, test-
do not adequately address (i.e., elec- ing, and maintenance procedures or, if
tronic brake systems). This subpart is safety deficiencies cannot be corrected
not intended for use in the introduc- by design or procedural changes, agree
629
§ 232.601 49 CFR Ch. II (10–1–10 Edition)
to comply with any operational limita- cess or failure of the tests. If accept-
tions that may be imposed by the Asso- ance is to be based on extrapolation of
ciate Administrator for Safety on the less than full level testing results, the
revenue service operation of the equip- analysis to be done to justify the valid-
ment; and ity of the extrapolation shall be de-
(4) Obtain FRA approval to place the scribed.
new brake system technology in rev- (11) A description of any special safe-
enue service. ty precautions to be observed during
(c) Compliance with limitations. The the testing.
operating railroad shall comply with (12) A written set of standard oper-
each operational limitation, if any, im- ating procedures to be used to ensure
posed by the Associate Administrator
that the testing is done safely.
for Safety.
(d) Availability of plan. The plan shall (13) Quality control procedures to en-
be made available to FRA for inspec- sure that the inspection, testing, and
tion and copying upon request. maintenance procedures are followed.
(e) Elements of plan. The plan shall in- (14) Criteria to be used for the rev-
clude all of the following elements: enue service operation of the equip-
(1) An identification of each waiver, ment.
if any, of FRA or other Federal safety (15) A description of all testing of the
regulations required for the tests or for equipment that has previously been
revenue service operation of the equip- performed, if any.
ment. (f) Exception. For brake system tech-
(2) A clear statement of the test ob- nologies that have previously been
jectives. One of the principal test ob- used in revenue service in the United
jectives shall be to demonstrate that States, the railroad shall test the
the equipment meets the safety design equipment on its system, prior to plac-
and performance requirements speci- ing it in revenue service, to ensure the
fied in this part when operated in the compatibility of the equipment with
environment in which it is to be used. the operating system (track, signals,
(3) A planned schedule for conducting etc.) of the railroad. A description of
the tests. such testing shall be retained by the
(4) A description of the railroad prop- railroad and made available to FRA for
erty or facilities to be used to conduct inspection and copying upon request.
the tests.
(5) A detailed description of how the
tests are to be conducted. This descrip- Subpart G—Electronically Con-
tion shall include: trolled Pneumatic (ECP) Brak-
(i) An identification of the equipment ing Systems
to be tested;
(ii) The method by which the equip- SOURCE: 73 FR 61553, Oct. 16, 2008, unless
ment is to be tested; otherwise noted.
(iii) The criteria to be used to evalu-
ate the equipment’s performance; and § 232.601 Scope.
(iv) The means by which the test re-
This subpart contains specific re-
sults are to be reported to FRA.
quirements applicable to freight trains
(6) A description of any special in-
and freight cars equipped with ECP
strumentation to be used during the
brake systems. This subpart also con-
tests.
(7) A description of the information tains specific exceptions from various
or data to be obtained. requirements contained in this part for
(8) A description of how the informa- freight trains and freight cars equipped
tion or data obtained is to be analyzed with ECP brake systems.
or used.
§ 232.602 Applicability.
(9) A description of any criteria to be
used as safety limits during the test- This subpart applies to all railroads
ing. that operate a freight car or freight

(10) A description of the criteria to be train governed by this part and
used to measure or determine the suc- equipped with an ECP brake system.
630
Unless specifically excepted or modi- (4) AAR S–4230, ‘‘Intratrain Commu-

fied in this section, all of the other re- nication (ITC) Specification for Cable-
quirements contained in this part are Based Freight Train Control System,’’
applicable to a freight car or freight Version 3.0 (Adopted: 1999; Revised:
train equipped with an ECP brake sys- 2002, 2004);
tem. (5) AAR S–4240, ‘‘ECP Brake Equip-
ment—Approval Procedure’’ (Adopted:
§ 232.603 Design, interoperability, and 2007);
configuration management require-
ments. (6) AAR S–4250, ‘‘Performance Re-
quirements for ITC Controlled Cable-
(a) General. A freight car or freight Based Distributed Power Systems,’’
train equipped with an ECP brake sys- Version 2.0 (Adopted: 2003; Revised:
tem shall, at a minimum, meet the As- 2004);
sociation of American Railroads (AAR) (7) AAR S–4260, ‘‘ECP Brake and Wire
standards contained in the AAR Man-
Distributed Power Interoperability
ual of Standards and Recommended
Test Procedures’’ (Adopted: 2007); and
Practices related to ECP brake sys-
(8) AAR S–4270, ‘‘ECP Brake System
tems listed below; an alternate stand-
ard approved by FRA pursuant to Configuration Management’’ (Adopted:
§ 232.17; or a modified standard ap- 2008).
proved in accordance with the provi- (b) Approval. A freight train or
sions contained in paragraph (f) of this freight car equipped with an ECP brake
section. The incorporation by reference system and equipment covered by the
of the AAR standards identified in this AAR standards incorporated by ref-
section was approved by the Director of erence in this section shall not be used
the Federal Register in accordance without conditional or final approval
with 5 U.S.C. 552(a) and 1 CFR part 51. by AAR in accordance with AAR
Copies of the incorporated documents Standard S–4240, ‘‘ECP Brake Equip-
may be obtained from the Association ment—Approval Procedures’’ (2007).
of American Railroads, 50 F Street, (c) Configuration management. A rail-
NW., Washington, DC 20001, 202–639– road operating a freight train or
2100, www.aar.org. You may inspect a freight car equipped with ECP brake
copy at the Federal Railroad Adminis- systems shall adopt and comply with
tration, 1200 New Jersey Avenue, SE., the configuration management plan de-
Washington, DC, 202–493–6300 or at the veloped in accordance with the AAR
National Archives and Records Admin- standards incorporated by reference in
istration (NARA). For information on this section. FRA reserves the right to
the availability of this material at audit a manufacturer’s configuration
NARA, call 202–741–6030, or go to: http:// management plan at any time.
www.archives.gov/federallregister/ (d) Exceptions. (1) A freight car or
codeloflfederallregulations/ freight train equipped with a stand-
ibrllocations.html. The applicable alone ECP brake system shall be ex-
standards, which are incorporated into cepted from the requirement in
this regulation by reference, include § 232.103(l) referencing AAR Standard
the following: S–469–47, ‘‘Performance Specification
(1) AAR S–4200, ‘‘Electronically Con- for Freight Brakes.’’
trolled Pneumatic (ECP) Cable-Based (2) The provisions addressing the in-
Brake Systems—Performance Require- troduction of new brake system tech-
ments,’’ (Adopted 1999; Revised: 2002, nology contained in subpart F of this
2004, 2008); part are not applicable to a freight car
(2) AAR S–4210, ‘‘ECP Cable-Based or freight train equipped with an ECP
Brake System Cable, Connectors, and brake system approved by AAR in ac-
Junction Boxes—Performance Speci- cordance with paragraph (b) of this sec-
fications,’’ (Adopted: 1999; Revised 2002, tion, conditionally or otherwise, as of
2007); the effective date of this rule.
(3) AAR S–4220, ‘‘ECP Cable-Based (e) New technology. Upon written re-
Brake DC Power Supply—Performance quest supported by suitable justifica-

Specification,’’ Version 2.0 (Adopted: tion and submitted pursuant to the
1999; Revised: 2002); special approval procedures in § 232.17,
631
§ 232.605 49 CFR Ch. II (10–1–10 Edition)
the Associate Administrator may ex- equipment and territory of the rail-
cept from the requirements of subpart road.
F of this part the testing of new ECP
brake technology, demonstration of § 232.607 Inspection and testing re-
new ECP brake technology, or both, quirements.
where testing or demonstration, or (a) Trains at initial terminal. A freight
both, will be conducted pursuant to an train operating in ECP brake mode
FRA-recognized industry standard and shall receive the following inspections
FRA is invited to monitor the testing at its point of origin (initial terminal):
or demonstration, or both. (1) A Class I brake test as described
(f) Modification of standards. The AAR in § 232.205(c) by a qualified mechanical
or other authorized representative of inspector (QMI); and
the railroad industry may seek modi- (2) A pre-departure inspection pursu-
fication of the industry standards iden- ant to part 215 of this chapter by an in-
tified in or approved pursuant to para- spector designated under § 215.11 of this
graph (a) of this section. The request chapter.
for modification will be handled and
(b) Trains en route. (1) Except for a
shall be submitted in accordance with
unit or cycle train, a train operating in
the modification procedures contained
ECP brake mode shall not operate a
in § 232.307.
distance that exceeds its destination or
§ 232.605 Training requirements. 3,500 miles, whichever is less, unless in-
spections meeting the requirements of
(a) Inspection, testing and mainte- paragraph (a) of this section are per-
nance. A railroad that operates a formed on the train.
freight car or freight train equipped
(2) A unit or cycle train operating in
with an ECP brake system and each
ECP brake mode shall receive the in-
contractor that performs inspection,
spections required in paragraph (a) of
testing, or maintenance on a freight
this section at least every 3,500 miles.
car or freight train equipped with an
ECP brake system shall adopt and (3) The greatest distance that any car
comply with a training, qualification, in a train has traveled since receiving
and designation program for its em- a Class I brake test by a qualified me-
ployees that perform inspection, test- chanical inspector will determine the
ing or maintenance of ECP brake sys- distance that the train has traveled.
tems. The training program required (4) A freight train operating in ECP
by this section shall meet the require- brake mode shall receive a Class I
ments in §§ 232.203(a), (b), (e), and (f). brake test as described in § 232.205(c) by
(b) Operating rules. A railroad oper- a qualified person at a location where
ating a freight train or freight car the train is off air for a period of more
equipped with an ECP brake system than:
shall amend its operating rules to gov- (i) 24 hours, or
ern safe train handling procedures re- (ii) 80 hours, if the train remains in-
lated to ECP brake systems and equip- accessible to the railroad and in an ex-
ment under all operating conditions tended-off-air facility. For the purpose
and shall tailor its operating rules to of this section, an extended-off-air fa-
the specific equipment and territory of cility means a location controlled by a
the railroad. sole shipper or consignee which re-
(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;
632
(ii) Information identified in the train crew must ensure that the
§ 232.205(e) relating to the performance total number of cars indicated by the
of the previously received Class I brake ECP brake system is the same as the
test is provided to the train crew; total number of cars indicated on the
(iii) The car has not been off air for train consist.
more than 24 hours or for more than 80 (f) Modifications to existing brake in-
hours, if that train remains in an ex- spections. (1) In lieu of the specific
tended-off-air facility; and brake pipe service reductions and in-
(iv) A visual inspection of the car’s creases required in this part, an elec-
brake systems is conducted to ensure tronic signal that provides an equiva-
that the brake equipment is intact and lent application and release of the
properly secured. This may be accom- brakes shall be utilized when con-
plished as part of the inspection re- ducting any required inspection or test
quired under § 215.13 of this chapter and on a freight car or freight train
may be conducted while the car is off equipped with an ECP brake system
air. and operating in ECP brake mode.
(2) Each car and each solid block of
(2) In lieu of the specific piston travel
cars not equipped with an ECP brake
ranges contained in this part, the pis-
system that is added to a train oper-
ton travel on freight cars equipped
ating in ECP brake mode shall receive
with ECP brake systems shall be with-
a visual inspection to ensure it is prop-
erly placed in the train and safe to op- in the piston travel limits stenciled or
erate and shall be moved and tagged in marked on the car or badge plate con-
accordance with the provisions consistent with the manufacturers rec-
tained in § 232.15. ommended limits, if so stenciled or
(d) Class III brake test (1) A Class III marked.
brake test shall be performed on a (g) ECP brake system train line cable.
freight train operating in ECP brake Each ECP brake system train line
mode by a qualified person, as defined cable shall:
in § 232.5, to test the train’s brake sys- (1) Be located and guarded to provide
tem whenever the continuity of the sufficient vertical clearance;
brake pipe or electrical connection is (2) Not cause any tripping hazards;
broken or interrupted. (3) Not hang with one end free when-
(2) In lieu of observing the brake pipe ever the equipment is used in a train
changes at the rear of a freight train movement;
with the end-of-train telemetry device (4) Not be positioned to interfere
referred to in §§ 232.211(c) and (d), the with the use of any safety appliance; or
operator shall verify that the brakes (5) Not have any of the following con-
applied and released on the rear car of ditions:
the freight train by observing the ECP (i) Badly chafed or broken insulation.
brake system’s display in the loco-
(ii) Broken plugs, receptacles or ter-
motive cab.
minals.
(e) Initialization. (1) A freight train
operating in ECP brake mode shall be (iii) Broken or protruding strands of
initialized as described in paragraph wire.
(e)(2) whenever the following occurs: (h) Exceptions. A freight car or a
(i) Class I brake test. freight train shall be exempt from the
(ii) Class III brake test. requirements contained in §§ 232.205(a)
(iii) Whenever the ECP brake system and (b), 232.207, 232.209, and 232.211(a)
is powered on. when it is equipped with an ECP brake
(2) Initialization shall, at a min- system and operating in ECP brake
imum: mode.
(i) initialize the ECP brake system
pursuant to AAR Series Standard S– § 232.609 Handling of defective equip-
ment with ECP brake systems.
4200; and
(ii) be performed in the sequential (a) Ninety-five percent of the cars in
order of the vehicles in the train. a train operating in ECP brake mode
(3) Whenever an ECP brake system is shall have effective and operative
initialized pursuant to this paragraph, brakes prior to use or departure from
633
§ 232.609 49 CFR Ch. II (10–1–10 Edition)
the train’s initial terminal or any loca- (3) A qualified person determines
tion where a Class I brake test is re- that it is safe to move the train; and
quired to be performed on the entire (4) The train is moved in ECP brake
train by a qualified mechanical inspec- Switch Mode to the nearest or nearest
tor pursuant to § 232.607. forward location where necessary re-
(b) A freight car equipped with an pairs or changes to the consist can be
ECP brake system that is known to made.
have arrived with ineffective or inoper- (e) A freight car or locomotive
ative brakes at initial terminal of the equipped with an ECP brake system
next train which the car is to be in- that is found with inoperative or inef-
cluded or at a location where a Class I fective brakes for the first time during
brake test is required under the performance of a Class I brake test
§§ 232.607(b)(1) through (b)(3) shall not or while en route may be used or
depart that location with ineffective or hauled without civil penalty liability
inoperative brakes in a train operating under this part to its destination, not
in ECP brake mode unless: to exceed 3,500 miles; provided, all ap-
(1) The location does not have the plicable provisions of this section are
ability to conduct the necessary re- met and the defective car or loco-
pairs; motive is hauled in a train operating in
ECP brake mode.
(2) The car is hauled only for the pur-
(f) A freight car equipped with an
pose of repair to the nearest forward
ECP brake system that is part of a
location where the necessary repairs
train operating in ECP brake mode:
can be performed consistent with the
(1) That is found with a defective
guidance contained in § 232.15(f);
non-brake safety appliance may be
(3) The car is not being placed for used or hauled without civil penalty
loading or unloading while being under this part to the nearest or near-
moved for repair unless unloading is est forward location where the nec-
necessary for the safe repair of the car; essary repairs can be performed con-
and sistent with the guidelines contained
(4) The car is properly tagged in ac- in § 232.15(f).
cordance with § 232.15(b). (2) That is found with an ineffective
(c) A freight car equipped with only or inoperative brake shall be hauled in
conventional pneumatic brakes shall accordance with the following:
not move in a freight train operating (i) § 232.15(e)(1).
in ECP brake mode unless it would oth- (ii) No more than two freight cars
erwise have effective and operative with brakes pneumatically cut out or
brakes if it were part of a conventional five freight cars or five units in a
pneumatic brake-equipped train or multi-unit articulated piece of equip-
could be moved from the location in ment with brakes electronically cut
defective condition under the provi- out shall be consecutively placed in the
sions contained in, and tagged in ac- same train.
cordance with, § 232.15. (g) A train operating with conven-
(d) A freight train operating in ECP tional pneumatic brakes shall not oper-
brake mode shall not move if less than ate with freight cars equipped with
85 percent of the cars in the train have stand-alone ECP brake systems unless:
operative and effective brakes. How- (1) The train has at least the min-
ever, after experiencing a penalty stop imum percentage of operative brakes
for having less than 85 percent opera- required by paragraph (h) of this sec-
tive and effective brakes, a freight tion when at an initial terminal or
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
634
available location where the necessary Safety a list of locations on its system
repairs can be made in accordance with where ECP brake system repairs will
§§ 232.15(a)(7) and (f); be performed. A railroad shall notify
(ii) Tagged in accordance with FRA’s Associate Administrator for
§ 232.15(b); and Safety in writing 30 days prior to any
(iii) Placed in the train in accordance change in the locations designated for
with § 232.15(e). such repairs. A sufficient number of lo-
(h) A train equipped and operated cations shall be identified to ensure
with conventional pneumatic brakes compliance with the requirements re-
may depart an initial terminal with lated to the handling of defective
freight cars that are equipped with equipment contained in this part.
stand-alone ECP brake systems pro- (k) Exceptions: All freight cars and
vided all of the following are met: trains that are specifically identified,
(1) The train has 100 percent effective operated, and handled in accordance
and operative brakes on all cars with this section are excepted from the
equipped with conventional pneumatic movement of defective equipment re-
brake systems; quirements contained in § 232.15(a)(2),
(2) The train has at least 95 percent (a)(5) through (a)(8), and 232.103(d) and
effective and operative brakes when in- (e).
cluding the freight cars equipped with
stand-alone ECP brake systems; and § 232.611 Periodic maintenance.
(3) The requirements contained in (a) In addition to the maintenance
paragraph (g) of this section are met. requirements contained in § 232.303(b)
(i) Tagging of defective equipment. A through (d), a freight car equipped with
freight car equipped with an ECP brake an ECP brake system shall be in-
system that is found with ineffective or spected and repaired before being re-
inoperative brakes will be considered leased from a shop or repair track to
electronically tagged under ensure the proper and safe condition of
§ 232.15(b)(1) and (b)(5) if the car is used the following:
or hauled in a train operating in ECP (1) ECP brake system wiring and
brake mode and the ECP brake system brackets;
meets the following: (2) ECP brake system electrical con-
(1) The ECP brake system is able to nections; and
display information in the cab of the (3) Car mounted ECP brake system
lead locomotive regarding the location components.
and identification of the car with de- (b) Single car air brake test procedures.
fective brakes; Prior to placing a freight car equipped
(2) The information is stored or with an ECP brake system into rev-
downloaded and is accessible to FRA enue service, a railroad or a duly au-
and appropriate operating and inspec- thorized representative of the railroad
tion personnel; and industry shall submit a procedure for
(3) An electronic or written record of conducting periodic single car air
the stored or downloaded information brake tests to FRA for its approval
is retained and maintained in accord- pursuant to § 232.17.
ance with § 232.15(b)(3). (c) Except as provided in § 232.303(e), a
(j) Procedures for handling ECP brake single car air brake test conducted in
system repairs and designation of repair accordance with the procedure sub-
locations. (1) Each railroad operating mitted and approved in accordance
freight cars equipped with ECP brake with paragraph (b) of this section shall
systems shall adopt and comply with be performed by a qualified person on a
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
635
§ 232.613 49 CFR Ch. II (10–1–10 Edition)
shall be performed by a qualified per- terminal circuit, and monitor, confirm,

son on each freight car retrofitted with and report train, brake pipe, and train
a newly installed ECP brake system line cable continuity, cable voltage,
prior to placing or using the car in rev- brake pipe pressure, and the status of
enue service. the ECP–EOT device battery charge.
(e) Modification of single car test stand- The ECP–EOT device shall transmit a
ard. A railroad or a duly authorized status message (EOT Beacon) at least
representative of the railroad industry once per second, contain a means of
may seek modification of the single car communicating with the HEU, and be
test standard approved in accordance equipped with a brake pipe pressure
with paragraph (b) of this section. The transducer and a battery that charges
request for modification will be han- from the train line cable.
dled and shall be submitted in accord- (b) A railroad shall not move or use a
ance with the modification procedures freight train equipped with an ECP
contained in § 232.307. brake system unless that train is
(f) Exceptions. A freight car equipped equipped with a functioning ECP–EOT
with a stand-alone or dual mode ECP device designed and operated in accord-
brake system is excepted from the sin- ance with this subpart. The ECP–EOT
gle car air brake test procedures con- device must be properly connected to
tained in § 232.305(a). A freight car the network and to the train line cable
equipped with a stand-alone ECP brake at the rear of the train.
system is excepted from the single car (c) A locomotive equipped with ECP
test requirements contained in brakes can be used in lieu of an ECP–
§ 232.305(b)(2). EOT device, provided it is capable of
(g) For purposes of paragraphs (c) and performing all of the functions of a
(d) of this section, if a single car air functioning ECP–EOT device.
brake test is conducted on a car prior (d) Exception. A freight train oper-
to June 15, 2009, pursuant to the then ating in ECP brake mode is excepted
existing AAR standards, it shall be from the end-of-train device require-
considered the last single car air brake ments contained in subpart E of this
test for that car, if necessary. part, provided that it is equipped with
an ECP–EOT device complying with
§ 232.613 End-of-train devices.
this section.
(a) An ECP–EOT device shall, at a
minimum, serve as the final node on APPENDIX A TO PART 232—SCHEDULE OF
the ECP brake circuit, provide a cable CIVIL PENALTIES 1
Willful
Section Violation violation
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
636
Federal Railroad Administration, DOT Pt. 232, App. A
Willful
(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
(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:
637
Pt. 232, App. A 49 CFR Ch. II (10–1–10 Edition)
Willful
(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
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)
638
Federal Railroad Administration, DOT Pt. 232, App. B
Willful
(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
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 69 232.15 Double heading and helper service.
FR 30594, May 28, 2004; 72 FR 51197, Sept. 6, 232.16 Running tests.
2007; 73 FR 61556, Oct. 16, 2008; 73 FR 79703, 232.17 Freight and passenger train car
Dec. 30, 2008; 74 FR 15388, Apr. 6, 2009] brakes.
232.19 End of train device.
APPENDIX B TO PART 232—PART 232 APPENDIX A TO PART 232
PRIOR TO MAY 31, 2001 AS CLARIFIED APPENDIX B TO PART 232
EFFECTIVE APRIL 10, 2002
AUTHORITY: 45 U.S.C. 1, 3, 5, 6, 8–12, and 16,
PART 232—RAILROAD POWER BRAKES as amended; 45 U.S.C. 431, 438, as amended; 49
AND DRAWBARS app. U.S.C. 1655(e), as amended; Pub. L. 100–
342; and 49 CFR 1.49(c), (g), and (m).
Sec.
232.0 Applicability and penalties. I. PART 232 PRIOR TO MAY 31, 2001.
232.1 Power brakes; minimum percentage.
232.2 Drawbars; standard height. § 232.0 Applicability and penalties.
232.3 Power brakes and appliances for oper-
ating power-brake systems. (a) Except as provided in paragraph (b),
232.10 General rules; locomotives. this part applies to all standard gage rail-
232.11 Train air brake system tests. roads.
232.12 Initial terminal road train airbrake (b) This part does not apply to:
tests. (1) A railroad that operates only on track
232.13 Road train and intermediate terminal inside an installation which is not part of
train air brake tests. the general railroad system of transpor-
232.14 Inbound brake equipment inspection. tation; or
639
Pt. 232, App. B 49 CFR Ch. II (10–1–10 Edition)
(2) Rapid transit operations in an urban Rules for Inspection, Testing and
area that are not connected with the general Maintenance of Air Brake Equipment
railroad system of transportation.
(c) As used in this part, carrier means § 232.10 General rules; locomotives.
‘‘railroad,’’ as that term is defined below. (a) Air brake and hand brake equipment on
(d) Railroad means all forms of non-high- locomotives including tender must be in-
way ground transportation that run on rails spected and maintained in accordance with
or electromagnetic guideways, including (1) the requirements of the Locomotive Inspec-
commuter or other short-haul rail passenger tion and United States Safety Appliance
service in a metropolitan or suburban area, Acts and related orders and regulations of
and (2) high speed ground transportation sys- the Federal Railroad Administrator (FRA).
tems that connect metropolitan areas, with- (b) It must be known that air brake equip-
out regard to whether they use new tech- ment on locomotives is in a safe and suitable
condition for service.
nologies not associated with traditional rail-
(c) Compressor or compressors must be
roads. Such term does not include rapid
tested for capacity by orifice test as often as
transit operations within an urban area that
conditions require but not less frequently
are not connected to the general railroad than required by law and orders of the FRA.
system of transportation. (d) Main reservoirs shall be subjected to
(e) Any person (including a railroad and tests periodically as required by law and or-
any manager, supervisor, official, or other ders of the FRA.
employee or agent of a railroad) who violates (e) Air gauges must be tested periodically
any requirement of this part or causes the as required by law and orders of the FRA,
violation of any such requirement is subject and whenever any irregularity is reported.
to a civil penalty of at least $250 and not They shall be compared with an accurate
more than $10,000 per violation, except that: deadweight tester, or test gauge. Gauges
Penalties may be assessed against individ- found inaccurate or defective must be re-
uals only for willful violations, and, where a paired or replaced.
grossly negligent violation or a pattern of (f)(1) All operating portions of air brake
repeated violations has created an imminent equipment together with dirt collectors and
hazard of death or injury to persons, or has filters must be cleaned, repaired and tested
caused death or injury, a penalty not to ex- as often as conditions require to maintain
ceed $20,000 per violation may be assessed. them in a safe and suitable condition for
Each day a violation continues shall con- service, and not less frequently than re-
quired by law and orders of the FRA.
stitute a separate offense.
(2) On locomotives so equipped, hand
§ 232.1 Power brakes; minimum percentage. brakes, parts, and connections must be in-
spected, and necessary repairs made as often
On and after September 1, 1910, on all rail- as the service requires, with date being suit-
roads used in interstate commerce, when- ably stenciled or tagged.
ever, as required by the Safety Appliance (g) The date of testing or cleaning of air
Act as amended March 2, 1903, any train is brake equipment and the initials of the shop
operated with power or train brakes, not less or station at which the work was done shall
than 85 percent of the cars of such train shall be placed on a card displayed under trans-
have their brakes used and operated by the parent covering in the cab of each loco-
engineer of the locomotive drawing such motive unit.
train, and all power-brake cars in every such (h)(1) Minimum brake cylinder piston trav-
train which are associated together with the el must be sufficient to provide proper brake
85 percent shall have their brakes so used shoe clearance when brakes are released.
and operated. (2) Maximum brake cylinder piston travel
when locomotive is standing must not exceed
§ 232.2 Drawbars; standard Height. the following:
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
Engine trailer truck brake .................... 8
(a) The specifications and requirement for Tender brake (truck mounted and ten-
power brakes and appliances for operating der bed mounted) ............................ 8
power-brake systems for freight service set Tender brake (body mounted) ............ 9
forth in the appendix to the report on fur- Locomotives other than steam:
Driving wheel brake ............................ 6
ther hearing, of May 30, 1945, are hereby

Swivel type truck brake with brakes
adopted and prescribed. (See appendix to this on more than one truck operated by
part for order in Docket 13528.) one brake cylinder ........................... 7
640
Inches (l) Enginemen when taking charge of loco-

motives must know that the brakes are in
Swivel type truck brake equipped with operative condition.
one brake cylinder ........................... 8
(m) In freezing weather drain cocks on air
Swivel type truck brake equipped with
two or more brake cylinders ............ 6
compressors of steam locomotives must be
left open while compressors are shut off.
(n) Air pressure regulating devices must be
(i)(1) Foundation brake rigging, and safety
adjusted for the following pressures:
supports, where used, must be maintained in
a safe and suitable condition for service. Le- Pounds
vers, rods, brake beams, hangars and pins
must be of ample strength and must not bind Locomotives:
or foul in any way that will affect proper op- (1) Minimum brake pipe air pressure:
eration of brakes. All pins must be properly Road Service ........................ 70
applied and secured in place with suitable Switch Service ...................... 60
locking devices. Brake shoes must be prop- (2) Minimum differential between
erly applied and kept approximately in line brake pipe and main reservoir air
pressures, with brake valve in run-
with treads of wheels or other braking sur- ning position .................................... 15
faces. (3) Safety valve for straight air brake 30–55
(2) No part of the foundation brake rigging (4) Safety valve for LT, ET, No. 8–EL,
and safety supports shall be closer to the No. 14 El, No. 6–DS, No. 6–BL and
rails than specified by law and orders of the No. 6–SL equipment ........................ 30–68
FRA. (5) Safety valve for HSC and No. 24–
RL equipment .................................. 30–75
(j)(1) Main reservoir leakage: Leakage from
(6) Reducing valve for independent or
main air reservoir and related piping shall straight air brake .............................. 30–50
not exceed an average of 3 pounds per minute (7) Self-lapping portion for electro-
in a test of three minutes’ duration, made pneumatic brake (minimum full ap-
after the pressure has been reduced 40 per- plication pressure) ........................... 50
cent below maximum pressure. (8) Self-lapping portion for inde-
(2) Brake pipe leakage: Brake pipe leakage pendent air brake (full application
pressure) .......................................... 30–50
must not exceed 5 pounds per minute after a
(9) Reducing valve for air signal ......... 40–60
reduction of 10 pounds has been made from
(10) Reducing valve for high-speed
brake pipe air pressure of not less than 70 brake (minimum) .............................. 50
pounds. Cars:
(3) Brake cylinder leakage: With a full (11) Reducing valve for high-speed
service application of brakes, and with com- brake ................................................ 58–62
munication to the brake cylinders closed, (12) Safety valve for PS, LN, UC,
brakes must remain applied not less than AML, AMU and AB–1–B air brakes 58–62
five minutes. (13) Safety valve for HSC air brake ... 58–77
(4) The main reservoir system of each unit (14) Governor valve for water raising
system ............................................. 60
shall be equipped with at least one safety
(15) Reducing valve for water raising
valve, the capacity of which shall be suffi- system ............................................. 20–30
cient to prevent an accumulation of pressure
of more than 10 pounds per square inch above
the maximum setting of the compressor gov- § 232.11 Train Air Brake System Tests.
ernor fixed by the chief mechanical officer of (a) Supervisors are jointly responsible with
the carrier operating the locomotive. inspectors, enginemen and trainmen for con-
(5) A suitable governor shall be provided dition of train air brake and air signal equip-
that will stop and start the air compressor ment on motive power and cars to the extent
within 5 pounds above or below the pressures that it is possible to detect defective equip-
fixed. ment by required air tests.
(6) Compressor governor when used in con- (b) Communicating signal system on pas-
nection with the automatic air brake system senger equipment trains must be tested and
shall be so adjusted that the compressor will known to be in a suitable condition for serv-
start when the main reservoir pressure is not ice before leaving terminal.
less than 15 pounds above the maximum (c) Each train must have the air brakes in
brake-pipe pressure fixed by the rules of the effective operating condition, and at no time
carrier and will not stop the compressor shall the number and location of operative
until the reservoir pressure has increased air brakes be less than permitted by Federal
not less than 10 pounds. requirements. When piston travel is in excess
(k) The communicating signal system on of 101⁄2 inches, the air brakes cannot be con-
locomotives when used in passenger service sidered in effective operating condition.
must be tested and known to be in a safe and (d) Condensation must be blown from the
suitable condition for service before each pipe from which air is taken before con-
trip. necting yard line or motive power to train.
641
§ 232.12 Initial Terminal Road Train Airbrake dicated by an accurate gauge at rear end of
Tests. train, and on a passenger train when charged
to not less than 70 pounds, and upon receiv-
(a)(1) Each train must be inspected and
ing the signal to apply brakes for test, a 15-
tested as specified in this section by a quali-
pound brake pipe service reduction must be
fied person at points—
made in automatic brake operations, the
(i) Where the train is originally made up
brake valve lapped, and the number of
(initial terminal);
pounds of brake pipe leakage per minute
(ii) Where train consist is changed, other
noted as indicated by brake pipe guage, after
than by adding or removing a solid block of which brake pipe reduction must be in-
cars, and the train brake system remains creased to full service. Inspection of the
charged; and train brakes must be made to determine that
(iii) Where the train is received in inter- angle cocks are properly positioned, that the
change if the train consist is changed other brakes are applied on each car, that piston
than by— travel is correct, that brake rigging does not
(A) Removing a solid block of cars from bind or foul, and that all parts of the brake
the head end or rear end of train; equipment are properly secured. When this
(B) Changing motive power; inspection has been completed, the release
(C) Removing or changing the caboose; or signal must be given and brakes released and
(D) Any combination of the changes listed each brake inspected to see that all have re-
in (A), (B), and (C) of this subparagraph. leased.
Where a carman is to perform the inspec- (2) When a passenger train is to be oper-
tion and test under existing or future collec- ated in electro-pneumatic brake operation
tive bargaining agreement, in those cir- and after completion of test of brakes as pre-
cumstances a carman alone will be consid- scribed by paragraph (d)(1) of this section the
ered a qualified person. brake system must be recharged to not less
(2) A qualified person participating in the than 90 pounds air pressure, and upon receiv-
test and inspection or who has knowledge ing the signal to apply brakes for test, a
that it was made shall notify the engineer minimum 20 pounds electro-pneumatic brake
that the initial terminal road train air brake application must be made as indicated by the
test has been satisfactorily performed. The brake cylinder gage. Inspection of the train
qualified person shall provide the notifica- brakes must then be made to determine if
tion in writing if the road crew will report brakes are applied on each car. When this in-
for duty after the qualified person goes off spection has been completed, the release sig-
duty. The qualified person also shall provide nal must be given and brakes released and
the notification in writing if the train that each brake inspected to see that all have re-
has been inspected is to be moved in excess leased.
of 500 miles without being subjected to an- (3) When the locomotive used to haul the
other test pursuant to either this section or train is provided with means for maintaining
§ 232.13 of this part. brake pipe pressure at a constant level dur-
(b) Each carrier shall designate additional ing service application of the train brakes,
inspection points not more than 1,000 miles this feature must be cut out during train air-
apart where intermediate inspection will be brake tests.
made to determine that— (e) Brake pipe leakage must not exceed 5
(1) Brake pipe pressure leakage does not pounds per minute.
exceed five pounds per minute; (f)(1) At initial terminal piston travel of
(2) Brakes apply on each car in response to body-mounted brake cylinders which is less
a 20-pound service brake pipe pressure reduc- than 7 inches or more than 9 inches must be
tion; and adjusted to nominally 7 inches.
(3) Brake rigging is properly secured and (2) Minimum brake cylinder piston travel
does not bind or foul. of truck-mounted brake cylinders must be
(c) Train airbrake system must be charged sufficient to provide proper brake shoe clear-
to required air pressure, angle cocks and cut- ance when brakes are released. Maximum
out cocks must be properly positioned, air piston travel must not exceed 6 inches.
hose must be properly coupled and must be (3) Piston travel of brake cylinders on
in condition for service. An examination freight cars equipped with other than stand-
must be made for leaks and necessary repairs ard single capacity brake, must be adjusted
made to reduce leakage to a minimum. Re- as indicated on badge plate or stenciling on
taining valves and retaining valve pipes car located in a conspicuous place near the
must be inspected and known to be in condi- brake cylinder.
tion for service. If train is to be operated in (g) When test of airbrakes has been com-
electro-pneumatic brake operation, brake pleted the engineman and conductor must be
circuit cables must be properly connected. advised that train is in proper condition to
(d)(1) After the airbrake system on a proceed.
freight train is charged to within 15 pounds (h) During standing test, brakes must not
of the setting of the feed valve on the loco- be applied or released until proper signal is
motive, but to not less than 60 pounds, as in- given.
642
(i)(1) When train airbrake system is tested absence of a rear car gauge or device, an air
from a yard test plant, an engineer’s brake brake test must be made to determine that
valve or an appropriate test device shall be the brakes on the rear car apply and release.
used to provide increase and reduction of (c)(1)At a point other than an initial ter-
brake pipe air pressure or electro-pneumatic minal where a locomotive or caboose is
brake application and release at the same or changed, or where one or more consecutive
a slower rate as with engineer’s brake valve cars are cut off from the rear end or head end
and yard test plant must be connected to the of a train with the consist otherwise remain-
end which will be nearest to the hauling road ing intact, after the train brake system is
locomotive. charged to within 15 pounds of the feed valve
(2) When yard test plant is used, the train setting on the locomotive, but not less than
airbrakes system must be charged and tested 60 pounds as indicated at the rear of a freight
as prescribed by paragraphs (c) to (g) of this train and 70 pounds on a passenger train, a
section inclusive, and when practicable 20-pound brake pipe reduction must be made
should be kept charged until road motive and it must be determined that the brakes
power is coupled to train, after which, an on the rear car apply and release. As an al-
automatic brake application and release test ternative to the rear car brake application
of airbrakes on rear car must be made. If and release test, it shall be determined that
train is to be operated in electro-pneumatic brake pipe pressure of the train is being re-
brake operation, this test must also be made duced as indicated by a rear car gauge or de-
in electro-pneumatic brake operation before vice and then that brake pipe pressure of the
proceeding. train is being restored as indicated by a rear
(3) If after testing the brakes as prescribed car gauge or device.
in paragraph (i)(2) of this section the train is
(2) Before proceeding it must be known
not kept charged until road motive power is
that brake pipe pressure as indicated at rear
attached, the brakes must be tested as pre-
of freight train is being restored.
scribed by paragraph (d)(1) of this section
and if train is to be operated in electro-pneu- (3) On trains operating with electro-pneu-
matic brake operation as prescribed by para- matic brakes, with brake system charged to
graph (d)(2) of this section. not less than 70 pounds, test must be made to
(j) Before adjusting piston travel or work- determine that rear brakes apply and release
ing on brake rigging, cutout cock in brake properly from a minimum 20 pounds electro-
pipe branch must be closed and air reservoirs pneumatic brake application as indicated by
must be drained. When cutout cocks are pro- brake cylinder gauge.
vided in brake cylinder pipes, these cutout (d)(1) At a point other than a terminal
cocks only may be closed and air reservoirs where one or more cars are added to a train,
need not be drained. after the train brake system is charged to
not less than 60 pounds as indicated by a
§ 232.13 Road train and intermediate terminal gauge or device at the rear of a freight train
train air brake tests. and 70 pounds on a passenger train. A brake
(a) Passenger trains. Before motive power is test must be made by a designated person as
detached or angle cocks are closed on a pas- described in § 232.12 (a)(1) to determine that
senger train operated in either automatic or brake pipe leakage does not exceed five (5)
electro-pneumatic brake operation, except pounds per minute as indicated by the brake
when closing angle cocks for cutting off one pipe gauge after a 20-pound brake pipe reduc-
or more cars from the rear end of train, tion has been made. After the test is com-
automatic air brake must be applied. After pleted, it must be determined that piston
recouping, brake system must be recharged travel is correct, and the train airbrakes of
to required air pressure and before pro- these cars and on the rear car of the train
ceeding and upon receipt of proper request or apply and remain applied, until the release
signal, application and release tests of signal is given. As an alternative to the rear
brakes on rear car must be made from loco- car brake application and release portion of
motive in automatic brake operation. If the test, it shall be determined that brake
train is to be operated in electro-pneumatic pipe pressure of the train is being reduced as
brake operation, this test must also be made indicated by a rear car gauge or device and
in electro-pneumatic brake operation before then that brake pipe pressure of the train is
proceeding. Inspector or trainman must de- being restored as indicated by a rear car
termine if brakes on rear car of train prop- gauge or device. Cars added to a train that
erly apply and release. have not been inspected in accordance with
(b) Freight trains. Before motive power is § 232.12 (c) through (j) must be so inspected
detached or angle cocks are closed on a and tested at the next terminal where facili-
freight train, brakes must be applied with ties are available for such attention.
not less than a 20-pound brake pipe reduc- (d)(2)(i) At a terminal where a solid block
tion. After recoupling, and after angle cocks of cars, which has been previously charged
are opened, it must be known that brake and tested as prescribed by § 232.13 (c)
pipe air pressure is being restored as indi- through (j), is added to a train, it must be
cated by a rear car gauge or device. In the determined that the brakes on the rear car
643
of the train apply and release. As an alter- special instructions provide for immediate
native to the rear car application and release brake inspection and repairs, trains shall be
test, it shall be determined that brake pipe left with air brakes applied by a service
pressure of the train is being reduced as indi- brake pipe reduction of 20 pounds so that in-
cated by a rear car gauge or device and then spectors can obtain a proper check of the pis-
that brake pipe pressure of the train is being ton travel. Trainmen will not close any
restored as indicated by a rear car gauge or angle cock or cut the locomotive off until
device. the 20 pound service reduction has been
(d)(2)(ii) When cars which have not been made. Inspection of the brakes and needed
previously charged and tested as prescribed repairs should be made as soon thereafter as
by § 232.12 (c) through (j) are added to a train, practicable.
such cars may either be given inspection and
tests in accordance with § 232.12 (c) through § 232.15 Double Heading and Helper Service.
(j), or tested as prescribed by paragraph (a) When more than one locomotive is at-
(d)(1) of this section prior to departure in tached to a train, the engineman of the lead-
which case these cars must be inspected and ing locomotive shall operate the brakes. On
tested in accordance with § 232.12 (c) through all other motive power units in the train the
(j) at next terminal. brake pipe cutout cock to the brake valve
(3) Before proceeding it must be known must be closed, the maximum main reservoir
that the brake pipe pressure at the rear of pressure maintained and brake valve handles
freight train is being restored. kept in the prescribed position. In case it be-
(e)(1) Transfer train and yard train move- comes necessary for the leading locomotive
ments not exceeding 20 miles, must have the to give up control of the train short of the
air brake hose coupled between all cars, and destination of the train, a test of the brakes
after the brake system is charged to not less must be made to see that the brakes are op-
than 60 pounds, a 15 pound service brake pipe erative from the automatic brake valve of
reduction must be made to determine that the locomotive taking control of the train.
the brakes are applied on each car before re- (b) The electro-pneumatic brake valve on
leasing and proceeding. all motive power units other than that which
(2) Transfer train and yard train move- is handling the train must be cut out, handle
ments exceeding 20 miles must have brake of brake valve kept in the prescribed posi-
inspection in accordance with § 232.12 (c)–(j). tion, and air compressors kept running if
(f) The automatic air brake must not be
practicable.
depended upon to hold a locomotive, cars or
train, when standing on a grade, whether lo- § 232.16 Running Tests.
comotive is attached or detached from cars
or train. When required, a sufficient number When motive power, engine crew or train
of hand brakes must be applied to hold train, crew has been changed, angle cocks have
before air brakes are released. When ready to been closed except for cutting off one or
start, hand brakes must not be released until more cars from the rear end of train or
it is known that the air brake system is electro-pneumatic brake circuit cables be-
properly charged. tween power units and/or cars have been dis-
(g) As used in this section, device means a connected, running test of train air brakes
system of components designed and in- on passenger train must be made, as soon as
spected in accordance with § 232.19. speed of train permits, by use of automatic
(h) When a device is used to comply with brake if operating in automatic brake oper-
any test requirement in this section, the ation or by use of electro-pneumatic brake if
phrase brake pipe pressure of the train is operating in electro-pneumatic brake oper-
being reduced means a pressure reduction of ation. Steam or power must not be shut off
at least five pounds and the phrase brake unless required and running test must be
pipe pressure of the train is being restored made by applying train air brakes with suffi-
means a pressure increase of at least five cient force to ascertain whether or not
pounds. brakes are operating properly. If air brakes
do not properly operate, train must be
§ 232.14 Inbound Brake Equipment Inspection. stopped, cause of failure ascertained and cor-
(a) At points where inspectors are em- rected and running test repeated.
ployed to make a general inspection of trains
§ 232.17 Freight and passenger train car
upon arrival at terminals, visual inspection
brakes.
must be made of retaining valves and retain-
ing valve pipes, release valves and rods, (a) Testing and repairing brakes on cars while
brake rigging, safety supports, hand brakes, on shop or repair tracks. (1) When a freight car
hose and position of angle cocks and make having brake equipment due for periodic at-
necessary repairs or mark for repair tracks tention is on shop or repair tracks where fa-
any cars to which yard repairs cannot be cilities are available for making air brake
promptly made. repairs, brake equipment must be given at-

(b) Freight trains arriving at terminals tention in accordance with the requirements
where facilities are available and at which of the currently effective AAR Code of Rules
644
for cars in interchange. Brake equipment II. CLARIFICATION EFFECTIVE APRIL 10, 2002.
shall then be tested by use of a single car
testing device as prescribed by the currently This subdivision II contains the following
effective AAR Code of Tests. clarifications of 49 CFR part 232 as it read
(2)(i) When a freight car having an air before May 31, 2001. Section 232.13(d)(2)(i) is
brake defect is on a shop or repair track, amended to correct a typographical error
brake equipment must be tested by use of a made in 1986. See 33 FR 19679, 51 FR 17303.
single car testing device as prescribed by Section 232.17(a)(2)(iii) is amended to clarify
currently effective AAR Code of Tests. that the single car test required to be per-
(ii) All freight cars on shop or repair formed pursuant to this paragraph may be
tracks shall be tested to determine that the conducted in accordance with the applicable
air brakes apply and release. Piston travel AAR Code of Tests or the American Public
on a standard body mounted brake cylinder Transportation Association standard ref-
which is less than 7 inches or more than 9 erenced in 49 CFR 238.311(a). Section
inches must be adjusted to nominally 7 232.17(b)(3) is amended by inserting FRA’s
inches. Piston travel of brake cylinders on current address as the location where the
all freight cars equipped with other than standards and procedures referenced in
standard single capacity brake, must be ad- § 232.17 can be obtained.
justed as indicated on badge plate or sten-
ciling on car located in a conspicuous place § 232.13 Road train and intermediate terminal
near brake cylinder. After piston travel has train air brake tests.
been adjusted and with brakes released, suf-
ficient brake shoe clearance must be pro-
vided. * * * * *
(iii) When a car is equipped for use in pas- (d) * * *
senger train service not due for periodical air
(2)(i) At a terminal where a solid block of
brake repairs, as indicated by stenciled or re-
cars, which has been previously charged and
corded cleaning dates, is on shop or repair
tracks, brake equipment must be tested by tested as prescribed by § 232.12 (c) through (j),
use of single car testing device as prescribed is added to a train, it must be determined
by currently effective AAR Code of Tests. that the brakes on the rear car of the train
Piston travel of brake cylinders must be ad- apply and release. As an alternative to the
justed if required, to the standard travel for rear car application and release test, it shall
that type of brake cylinder. After piston be determined that brake pipe pressure of
travel has been adjusted and with brakes re- the train is being reduced as indicated by a
leased, sufficient brake shoe clearance must rear car gauge or device and then that brake
be provided. pipe pressure of the train is being restored as
(iv) Before a car is released from a shop or indicated by a rear car gauge or device.
repair track, it must be known that brake
pipe is securely clamped, angle cocks in
proper position with suitable clearance, * * * * *
valves, reservoirs and cylinders tight on sup-
§ 232.17 Freight and passenger train car
ports and supports securely attached to car.
brakes.
(b)(1) Brake equipment on cars other than
passenger cars must be cleaned, repaired, lu- (a) * * *
bricated and tested as often as required to (2) * * *
maintain it in a safe and suitable condition (iii) When a car equipped for use in pas-
for service but not less frequently than as re- senger train service not due for periodical air
quired by currently effective AAR Code of brake repairs, as indicated by stenciled or re-
Rules for cars in interchange.
corded cleaning dates, is on shop or repair
(2) Brake equipment on passenger cars
tracks, brake equipment must be tested by
must be clean, repaired, lubricated and test-
use of single car testing device as prescribed
ed as often as necessary to maintain it in a
safe and suitable condition for service but by the applicable AAR Code of Tests or by
not less frequently than as required in the American Public Transportation Asso-
Standard S–045 in the Manual of Standards ciation (APTA) standard referenced in
and Recommended Practices of the AAR. § 238.311(a) of this chapter. Piston travel of
(3) Copies of the materials referred to in brake cylinders must be adjusted if required,
this section can be obtained from the Asso- to the standard travel for that type of brake
ciation of American Railroads, 1920 L Street, cylinder. After piston travel has been ad-
NW., Washington, DC 20036. justed and with brakes released, sufficient
brake shoe clearance must be provided.
§ 232.19 through § 232.25 Provisions related to
end-of-train devices.
* * * * *
Not included in this Appendix as they are
contained in Subpart E of this rule. (b) * * *
645
Pt. 233 49 CFR Ch. II (10–1–10 Edition)
(3) Copies of the materials referred to in dition hazardous to the movement of a
this section may be obtained from the Fed- train.
eral Railroad Administration, Office of Safe-
ty, RRS–14, 1120 Vermont Avenue, NW., Stop EFFECTIVE DATE NOTE: At 49 FR 3379, Jan.
25, Washington DC 20590. 26, 1984, part 233 was revised. This section
contains information collection and record-
[69 FR 29666, May 25, 2004, as amended at 67
keeping requirements and will not become
FR 17584, Apr. 10, 2002]
effective until approval has been given by
the Office of Management and Budget.
PART 233—SIGNAL SYSTEMS
REPORTING REQUIREMENTS § 233.7 Signal failure reports.
Each carrier shall report within 15
Sec. days each failure of an appliance, de-
233.1 Scope. vice, method, or system to function or
233.3 Application.
indicate as required by part 236 of this
233.5 Accidents resulting from signal fail-
ure. title that results in a more favorable
233.7 Signal failure reports. aspect than intended or other condi-
233.9 Reports. tion hazardous to the movement of a
233.11 Civil penalties. train. Form FRA F6180–14, ‘‘Signal
233.13 Criminal penalty. Failure Report,’’ shall be used for this
APPENDIX A TO PART 233—SCHEDULE OF CIVIL purpose and completed in accordance
PENALTIES with instructions printed on the form.
AUTHORITY: 49 U.S.C. 20103, 20107; 28 U.S.C. (Approved by the Office of Management and
2461, note; and 49 CFR 1.49. Budget under control number 2130–0007)
SOURCE: 49 FR 3379, Jan. 26, 1984, unless
otherwise noted. § 233.9 Reports.
Not later than April 1, 1997 and every
§ 233.1 Scope.
5 years thereafter, each carrier shall
This part prescribed reporting re- file with FRA a signal system status
quirements with respect to methods of report ‘‘Signal System Five-year Re-
train operation, block signal systems, port’’ on a form to be provided by FRA
interlockings, traffic control systems, in accordance with instructions and
automatic train stop, train control, definitions provided on the report.
and cab signal systems, or other simi-
lar appliances, methods, and systems. [61 FR 33872, July 1, 1996]
§ 233.3 Application. § 233.11 Civil penalties.

(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 on standard gage not limited to the following: a railroad;
track which is part of the general rail- a manager, supervisor, official, or
road system of transportation. other employee or agent of a railroad;
(b) This part does not apply to rail any owner, manufacturer, lessor, or
rapid transit operations conducted over lessee of railroad equipment, track, or
track that is used exclusively for that facilities; any independent contractor
purpose and that is not part of the gen- providing goods or services to a rail-
eral system of railroad transportation. road; and any employee of such owner,
manufacturer, lessor, lessee, or inde-
§ 233.5 Accidents resulting from signal pendent contractor) who violates any
failure. requirement of this part or causes the
Each carrier shall report within 24 violation of any such requirement is
hours to the Federal Railroad Adminis- subject to a civil penalty of at least
tration by toll free telephone, number $650 and not more than $25,000 per vio-
800–424–0201, whenever it learns of the lation, except that: Penalties may be
occurrence of an accident/incident aris- assessed against individuals only for
ing from the failure of an appliance, willful violations, and, where a grossly
device, method or system to function negligent violation or a pattern of re-
or indicate as required by part 236 of peated violations has created an immi-

this title that results in a more favor- nent hazard of death or injury to per-
able aspect than intended or other con- sons, or has caused death or injury, a
646

CFR Title 49 Part 232 Brake System Safety Standards For Freight and Other Non-Passenger Trains and Equipment - End-of-Train Devices

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CFR Title 49 Part 232 Brake System Safety Standards For Freight and Other Non-Passenger Trains and Equipment - End-of-Train Devices

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Pt. 232 49 CFR Ch.

136.B2 Ladder Tread or Handhold Wrong Dimensions ..................................................................... 2,500 5,000

Sec. Subpart C—Inspection and Testing

otherwise noted. tained in part 238 of this chapter or

Brake, primary means those compo- train.

pneumatic control valve or in an ECP required under § 232.203, instruction and

Rebuilt equipment means equipment modity or destination; assembling of

person’s responsibility for compliance ployee of such owner, manufacturer,

visions. tion where necessary repairs can be

properly secure, is inaccessible to FRA (3) Multi-unit articulated equipment

with either inoperative brakes or not locations:

(ii) A location where a mobile repair plan under § 232.15(g); an alternative

(b) Petitions for special approval of an tenance under this part;

in the section(s) of the rule to which standard, or the pre-revenue service

does not comply with the requirements ating.

actuated. The design shall not require the brake system.

depended upon to hold equipment tended locomotive consist outside of

(1) Minimum brake pipe air pressure:

§ 232.105 General requirements for lo- (b) All locomotives ordered on or

(a) The air brake equipment on a lo-

a locomotive not equipped with dy- tions.

dling procedures; fully complete a training curriculum

(9) Add new brake systems to the essary to be considered qualified to

ceed 5 psi per minute or air flow shall (CFM).

during the inspection process so as to If piston travel is found to be less than

inspection process, so as to be able to where a Class IA brake test is per-

being reduced, as indicated by a rear (2) A Class I brake test pursuant to

§ 232.219 Double heading and helper

vice of more than 25 seconds; track is used to conduct major repairs;

receiving major repairs on such track- (5) Brake indicators, on cars so

are securely attached to the car; marked, or labeled in two-inch high

industry may use an electronic or chives and Records Administration

Railroad Administration, Docket ized representative of the railroad in-

objection to the requested modifica-

Subpart E—End-of-Train Devices formance requirements of paragraphs

(iii) During a longitudinal shock of 5 ‘‘Emergency’’ and shall be protected so

readily accessible emergency brake this paragraph. If a two-way end-of-

operating rules, if the train has (2) Except as provided in paragraph

initiating an emergency brake applica- square inch.

or other point of installation to deter- tion of a new brake component or ma-

ing. that operate a freight car or freight

Unless specifically excepted or modi- (4) AAR S–4230, ‘‘Intratrain Commu-

Brake DC Power Supply—Performance quest supported by suitable justifica-

ated to the location where necessary or to a location for placement in a

shall be performed by a qualified per- terminal circuit, and monitor, confirm,

implement procedure to verify number applied ............................................ 5,000 7,500

(a) Failure to perform inspection .................................................................................... 5,000 7,500

Not included in this Appendix. Moved to 49 Inches

ther hearing, of May 30, 1945, are hereby

Inches (l) Enginemen when taking charge of loco-

promptly made. repairs, brake equipment must be given at-

§ 233.3 Application. § 233.11 Civil penalties.

or indicate as required by part 236 of peated violations has created an immi-

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